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Contents

Consensus Accountable
oriented

Participatory Transparent
GOOD
GOVERNANCE
Follows the Responsive
rule of law

Equitable and
inclusive
Souce: Unescap (2005)

03 11 20 29
Chapter 1 Chapter 2 Chapter 3 Chapter 4
Important Aspects Probity in Right to Information Citizen Centric
of Governance Governance Administration/
Citizen Charter

of Problem agenda

6.
of the policy

5.
the policy

50 55 64 79
Chapter 5 Chapter 6 Chapter 7 Chapter 8
e-Governance Corporate Role of Civil Public Policy
Governance Services in a
Democracy

1
88 98 104 121
Chapter 9 Chapter 10 Chapter 11 Chapter 12
Civil Society Regulatory and Administrative Police Reforms
Quasi-Judicial Reforms
Bodies

129 131 144 147

Chapter 13 Chapter 14 Chapter 15 Previous Year
‘Case Studies’ Recent Governance in Questions
Related to Good Developments Times of Covid-19
Governance Related to Pandemic
Governance

2
 CHAPTER - 1
IMPORTANT ASPECTS OF GOVERNANCE
World Bank’s
Definition of
Governance
• Governance is generally defined as “the
manner in which the power is exercised
in the administration and management
of a country’s economic and social
resources for growth and development”.
• It drew a clear distinction between the
political and economic dimensions of
good governance.
• Three distinct aspects of governance
are:
» It is a form of the political regime,
» It is the process by which authority is
exercised in the management of a
country’s economic and social resources
for growth and development, and
» It is the capacity of the government to
design and implement policies.
• In its 1994 report “Governance: The
World Bank’s Experience”, the progress
made in this area is outlined under four
different aspects:
1. Public-sector management: It includes
changing the organisational structure
of a sector agency to reflect new
objectives, making budgets work better
and placing public-enterprise managers
under performance contracts.
2. Accountability: The government and its
employees should be held responsible
for their actions.
3. Legal framework for development:
Appropriate legal systems that provide
stability and predictability, which is
3
essential in creating an economic
environment for business.
4. Transparency and information: It
reinforces accountability because
access to information is essential for the
various stakeholders to understand the
government's decision-making process.
Actors in
Governance
• One of the players in governance
is the government. Other players in
governance differ depending on the
level of government. For example,
other actors in rural areas, for example,
could include powerful landlords,
NGOs, finance institutions, peasant
farmer societies, cooperatives, research
institutes, religious leaders, political
parties and military etc.
• In addition to the aforementioned
actors, media, lobbyists, international
donors and multi-national companies
etc., may play a role in decision-making
or affecting decision-making at the
national level.
• The term "civil society" refers to all
actors other than the government and
the military.
Government Vs.
Governance
• Governance is derived from the Greek
words Kubernetes and kybenan. It
means ‘to steer’ and ‘pilot’ or ‘helmsman’.
It is the process under which ‘an
 Governance

Mixes state and non-state participants

(including e.g. NG0s).

Network model.

Multi-layer.

Evolving and ongoing processes.

Power is dispersed or opaque.

Acceptance of and support for decisions

by all players arises out of wide participation
in earlier debate.

organisation steers itself. The dynamics Good Governance

of control and communication are
central to the process.
• Government is a narrower, more rigid
and set of activities among a more
limited set of participants (usually
elected politicians and civil servants).
• Good Governance, in addition to
Government and Governance, also
includes value components in it.
Governance has to be beneficial to
the people; it should be participatory,
consensus-based etc.
• Good governance has 8 important
features. It is participatory, accountable,
transparent, responsive, consensus
oriented, effective and efficient,
equitable and inclusive and follows the
rule of law.
• It ensures that corruption is reduced,
minorities' perspectives are considered,
and the voices of society's most
marginalised are heard in decision-
making. It is also open to society's
current and future needs.

Governance vs. Good Governance:

• Recently, in development literature, the terms "Governance" and "Good Governance"
are increasingly being used. The concept of "governance" is not new. It is as old as
human civilization.
• In simple terms, "Governance" means the process of decision-making and the
process by which decisions are implemented (or not implemented). Governance
can be used in several contexts such as corporate governance, international
governance, national governance and local governance. Governance involves a
number of formal and informal actors in decision-making and implementation.
• But, Governance is a ‘value neutral term’. Governance may be good, or bad
governance. Governance may be accompanied with high level of corruption.
In contrast to governance, Good Governance is a ‘value laden’ concept. Good
Governance involves Governance that is necessarily good, which takes care of all
the sections of Society.

4
• Good governance has eight major characteristics. It is participatory, consensus
oriented, accountable, transparent, responsive, effective and efficient, equitable
and inclusive and follows the rule of law. It assures that corruption is minimized, the
views of minorities are taken into account and that the voices of the most vulnerable
in society are heard in decision-making. It is also responsive to the present and
future needs of society.
Characteristics of
Good Governance
Given by UNESCO
As given by UNESCO, Good Governance
has the following characteristics:
1. Participation by both women and
men is central to good governance.
Participation could be either direct or
indirect, i.e. through representatives.
2. Rule of Law: Legal framework should
be enforced impartially, especially on
human rights laws.
3. Transparency means that enforcement
of decisions is done in accordance
with rules. Also, information is freely
available to those who are affected by
such decisions.
4. Equity and Inclusiveness: People
should have opportunities to improve
or maintain their well-being.
5. Effectiveness and efficiency: Processes
produce results that meet society’s
needs while making the best use of
resources.
6. Responsiveness: Institutions and
processes serve stakeholders within a
reasonable time-frame.
7. Accountability: Institutions must be
accountable to the public. Who is
accountable to whom depends on
whether decisions taken are internal or
external to an institution.
8. Consensus oriented: Good Governance
requires conciliation of the different
interests to reach an agreement on
5
what is in the community’s best interest.
Consensus
oriented
Accountable
Participatory Transparent
GOOD
GOVERNANCE
Follows the Responsive
rule of law
Equitable and
inclusive
Souce: Unescap (2005)
Steps Taken by
Government
• The Central Government has scrapped
around 1,500 obsolete rules and laws
intending to bring about transparency
and improve efficiency.
• Various programs were launched under
the e-Governance Programme like,
Pro-Active Governance and Timely
Implementation (PRAGATI), Digital
India Program, Passport Seva Kendra
(PSK), Common Service Centres (CSC),
online filing of Income-tax return, etc.
• The Planning Commission, in which
the role of states was limited, was
abolished. NITI Aayog has been
constituted to actualize the important
goal of cooperative federalism and to
enable good governance in India to
build a strong nation state.
• The Good Governance Index (GGI) Was
launched in 2019 on Good Governance
Day (25 December).
• Important parameters/sectors under
Good Governance Index are Social
Welfare & Development, Commerce &
Industries, Judicial & Public Security,
Environment, Human Resource
Development, Public Health, Agriculture
and Allied Sectors, Public Infrastructure
& Utilities, Economic Governance and
Citizen-Centric Governance.
• Good Governance Day is observed
on the twenty-fifth day of December,
the birth anniversary of former Prime
Minister Atal Bihari Vajpayee.
Minimum
Government,
Maximum
Governance
• The new NDA Government endorsed
this idea as a guiding principle way
back in 2014.
• The role of a Government in businesses
should be of a facilitator. Gujrat
government implemented this motto in
Gujarat, which emerged as one of the
prosperous states of India.
• Gujarat has small-size state machinery,
which is efficient in protecting human
life and property. The justice mechanism
is efficient, as seen by the completion
rate of cases by the judiciary. The police
investigation is also fast here.
• It shows that an entrepreneur-friendly
environment with a suitable justice
delivery mechanism is possible, even
with a small & less intrusive government.
• It also involves adherence to Gandhiji’s
principle of Swaraj, i.e. every village
must be empowered to deal with local
issues. Decentralisation is the essential
pillar in this model where adequate
powers are given to people.
6
Steps to Achieve
Minimum
Government,
Maximum
Governance
• What can be done? – Government
should do less in areas where the market
works (or can work) and should do more
in those areas where the market can’t
be relied upon. These areas are:
» Establishing law & order.
» Investing in basic infrastructure.
»
»
Maintaining macroeconomic stability.
Delivering basic social services.
» Protecting the vulnerable.
» Protecting the environment.
Steps required to achieve minimum
government and maximum governance
with respect to the various types of
Government Interaction:
• G2G (reforming internal functioning)
» Downsizing the Government structure
(we need less government and more
governance).
» Reforming personnel administration
(improving pay, performance-
linked incentives, exposing them to
competition; changing their mind-
set that they are not rulers (Maalik,
Mai-Baap), rather servants, should
be unbiased, have empathy towards
vulnerable sections.
» Increase internal accountability while
giving freedom to eliminate corruption
and improving efficiency.
» Decentralisation up to the local self-
governance.
» Use of e-governance for better service
delivery.
• G2B (dealing with the market) globalisation, debate on the respective
role of state and market has revived.
» Speedy process for starting a new
business or related to existing business
• Arguments in favour of more market
role:
(bankruptcy laws).
» Single window-clearance. » According to the public choice
» Contract out tasks to them which they approach, administrators/politicians
can do better. are concerned with self-interest instead
of public interest.
» Infuse competition in the market so
that quality service is provided at the » According to new public management
least cost. (entrepreneurial government), the
government should play an enabling
• G2C (dealing with citizens) role rather than participating in the
market.
» Focus on the client (focus on their » The countries which follow excessive
needs, given them a voice on what to state intervention lead to inflated
provide them). bureaucracy, corruption, skewed
» Involving citizens in governance; distortions.
allowing them to influence governments
decision-making. • Arguments in favour of more role of
the state:
» Being accountable to them, improving
transparency. » The great depression of the 1930s
» Empower citizens to involve them in and the recession of 2008-09 showed
their own problem-solving. that we could not leave it solely to
market forces. Keynesian theory of
macro-economic states that massive
investment by government is necessary.
Government
» The role of government is needed in
third-world and developing countries
to provide basic infrastructure and
facilities in which the market can
Corporate
Civil operate.
Society
» The market ignores equity.
» The market can not ensure optimal
allocation of resources; It can't ensure
equilibrium between demand and
Ci zen
supply.

• Balanced view - government should

I m a g e 1.1: S ta k e h o l d e r s of G o o d G ov e r n a n c e
do less in areas where market work (or
can work) and should do more in those

States Vs. Market areas where the market can’t be relied

upon. These areas are:

Debate » Establishing law & order,

» Investing in basic infrastructure,
• In the 21st century, in the era of
liberalisation, privatisation and » Maintaining macroeconomic stability,

7
» Delivering basic social services,
» Protecting the vulnerable and
» Protecting the environment.
• A better example of State vs market
debate is Indian Railways. Presently,
the Railways is being operated by the
Government alone. Thus, it can provide
affordable transportation facilities to
the general public. But at the same
time, the opposing argument is that,
due to the non-intervention by the
private sector, Indian Railways has not
developed up to the expectations. It
faces many issues like delays, safety
issues, poor quality of infrastructure etc.
• Conclusion - This notion of state vs
market debate is a wrong one, both
are irreplaceable, and both need each
other.
NPM-New Public
Management
• It is a new perspective in public
administration. Osborne and Gaebler
gave this concept in their book
‘Reinventing Government’ published in
1992.
• It is a synthesis of public and private
administration by taking ‘what’ & ‘why’
from public administration and ‘how’
from public administration.
• Its central theme is that we do not
need more government; we need better
governance.
India’s Ranking on
Good Governance
Index - 2019
• The Good Governance Index (GGI) is a
unique tool which is used by all the states
8
to assess the Status of Governance. It
uniformly assesses the initiatives taken
by the State Governments and Union
Territories.
• The Index’s objectives are to provide
quantifiable data to compare the state
of governance in all States Governments
and Union Territories, enabling states
and Union Territories to formulate and
thus implement appropriate strategies
for improving governance and shift
to result-oriented administration
Governance.
• The Good Governance Index is
calculated with the help of following
ten sectors:
1. Agriculture and Allied Sectors,
2. Commerce & Industries,
3. Human Resource Development,
4. Public Health,
5. Public Infrastructure & Utilities,
6. Economic Governance,
7. Social Welfare & Development,
8. Judicial & Public Security,
9. Environment and
10. Citizen-Centric Governance.
• According to data provided by the
central Ministry of Personnel, Tamil
Nadu, followed by Maharashtra and
Karnataka, bagged the top position in
the Good Governance Index (GGI).
• States/Union Territories are divided into
three groups for rankings: big states,
north-east and hill states, and Union
Territories.
• In the North-East and hill category,
the state of Himachal Pradesh has
topped the ranking. In Union Territories,
Puducherry has got the first position.
• GGI also gave sector-wise rankings.
• Under the agriculture sector, Madhya
Pradesh has got the first position in
the big states. Mizoram has bagged
the first position in North-East, and hill
 states category and the Union Territory
of Daman and Diu has bagged the top
slot in the UT category.
• In the commerce and industries sector,
Jharkhand got the first position in
the big states category. Uttarakhand
achieved the top rank among the north-
east and hill states, whereas Delhi is at
the first rank in the union territories.
Good Governance Initiatives in India:
• Local Self Government: Through 73rd
and 74th Constitutional Amendment-
Transferring power closer to people.
• Welfare Programs – MGNREGA,
Public Distribution Scheme, UJJWALA.
• E- governance through Digital India.
• Sevottam Model.
• Citizen Charters.
• Right to Information.
• Social Audits.
Challenges to Good
Governance
When we evaluate India’s stand globally, we
can see that India is compared favourably
with many developing countries. However,
there is a lot more to do for India to attain
the level of governance in developed
countries. Following are the various
challenges to Good Governance in India:
• The criminalisation of politics and
corruption are the two most important
challenges of good governance in India.
These challenges need to be addressed
on an urgent basis.
9
» Corruption has practically got spread
in almost all walks of public life. It
hinders globalisation’s benefits from
reaching the ordinary people and
averts transparency, accessibility, and
accountability. The vested interests
bend the rules and procedures.
» In this light, the Supreme Court of India
in 2002 has given a historic judgement.
Every candidate contesting an election
to Parliament, State Legislatures,
or even Municipal Corporations
has to provide valid declarations of
educational qualifications and criminal
charges besides financial records.
» Many commissions and committees
are constituted to bring improvement
(Eg. The Administrative Reforms
Commission (ARC)-II); these reformative
measures are just a drop in the ocean.
• Social and Environmental Issues
» Denial of essential services to a
substantial proportion of the population.
» Marginalisation and exclusion of people
on account of social, religious, caste
and gender affiliation.
» Existence of a significant number of
voiceless poor with little opportunity for
participation in governance.
• Legal/Judicial Issues
» Delayed Justice, Non-accessibility and
affordability.
• Administrative Issues
» Administrative apathy, desensitisation
and self-serving attitude.
» Red Tape, Resistance to change.
Some important recommendations of Second ARC related to good governance:
• There should be a clear & concise statement of values and ethical standards that a
civil servant must imbibe. These values should be related to maintaining the highest
ethical standards, political impartiality and accountability for actions.
• Values and Code of Ethics should be given statutory backing.
• With respect to RTI, Second ARC has suggested that documents classified as ‘top
secret’ and ‘secret’ should remain classified not exceeding 30 years. Documents
classified as ‘confidential’ and ‘restricted’ should remain classified not exceeding
ten years. However, they can remain classified if their disclosure causes damage to
the national interest, but the competent authority should give reasons in writing.
• There is a need for more excellent uniformity about the appointment, retention and
removal of different regulatory authorities.

10
 CHAPTER - 2
PROBITY IN GOVERNANCE
Meaning of Probity
• Probity means adhering to the highest
standards and principles.
• Probity, which is derived from the Latin
term ‘Probus’, which means "honest," i.e.
tried and proven integrity or honesty.
• Probity is synonyms with honesty,
honour and integrity. It means
uprightness of action or character and
refusal to deceive or lie in any way.
• It suggests active regard for the
standards of one's position, profession
or calling.
• Integrity implies incorruptibility and
trustworthiness to the degree that one
is incapable of being false to a pledge,
trust or responsibility.
• Unfortunately for India, discipline is
disappearing fast from public life,
and without it, as the Scandinavian
economist-sociologist, Gunnar Myrdal
has pointed out, no real progress is
possible.
• Probity in governance is substantial
requirement for an effective system of
governance and for socio economic
development.
• Some of the important attributes of
probity in Governance, as elucidated
by the Nolan Committee report
in the UK include: Selflessness,
Integrity, Objectivity, Accountability,
Transparency and Confidentiality etc.
• It leads to prudent and ethical outcomes
and building of trust over time.
• It aids in the prevention of corruption
and misuse of power by various
government organs such as the
11
judiciary, police, and all other providers
of public services such as PWD, health,
education, and so on.
Concept of Public
Service
• Public service is associated with
government and is provided by
administrative structures for the people
living in its jurisdiction and is considered
essential to modern life.
• It involves the services rendered, as
well as the interactions that occur in
the course of those services and the
grievance resolution that occurs as a
result of those interactions.
• Public service is also taught to the
students in education courses at colleges
and universities such as fire-fighters,
police, soldiers and paramedics.
• It is reported that the provision of
public services, for example, health
care, education, sanitation and
criminal justice, is a primary function of
government. People care about public
services and rely on good delivery.
• The public service provides the most
common communication between the
people and the State, and its operation
shapes the people's sense of trust and
expectation of the government. At the
national level, public services support
human well-being and economic growth.
• “Community service” is a common
phrase; as we begin to understand the
principles on which public service is
built, we can better understand what it
means to be a public servant.
Values That Underlie
Public Service
• Honesty: A person who wants to
promote the community’s interests must
always be close to the truth, whether
unpopular or uncomfortable. The desire
for public service must always be honest
to them and others.
• Legitimacy and Benevolence:
Government's job is about enforcing
laws in a way that benefits citizens,
rather than restricting them or their
rights. A public servant should never
forget that the law is there to help, not
to harm the community.
• Self-sacrifice: Public service, which
means putting others ahead of yourself.
Profits from public service are not
always more with respect to monetary
terms, but they are still worth it. A
public servant wants to make the world
a better place for everyone, keeping
these critical principles in mind.
Philosophical Basis
of Governance and
Probity
In Western Philosophy,
Three People Have Different
Viewpoints:
1. Aristotle
a. He says qualities such as justice,
empathy, compassion, etc., guide
a person in the right direction to
benefit the community he is a part
of.
b. He also supported Socrates and
Plato’s theoretical framework in
taking positive values into the centre
of a healthy life. He respected all
12
moral values such as compassion,
kindness, justice, courage, and
gentleness as part of a person's
emotional and social well-being.
c. But at the same time, he was
contradicting Plato's scientific
views. For him, scientific training
and metaphysics were not an
essential requirement for your good
understanding of yourself and
others.
2. Immanuel Kant
a. He gave the concept of duty being
central to morality.
b. Humans are bound by a moral
obligation of respecting others with
whom they are interacting. Any act
which is wrong on morality grounds
is not worthy for this world.
3. Jeremy Bentham
a. The best action done is that one
that maximises utility.
b. The higher version of
consequentialism states that the
consequences of any measures are
the only standard of wrong and
right.
View of Kautilya:
• The famous Indian philosopher Kautilya
in his work Arthashastra, wrote about
a king or emperor. He said the leader
or king is a person who looks after his
community, gives them benefits, and
protects them from any harm. He also
said that the King is a source of wealth.
• It is an economic activity performed
under his rule that benefits its
community and brings future growth.
Kautilya, therefore, said the ethical
reasons for management were essential
to its management.
• Kautilya also wrote about the Cabinet
of Ministers. He said that these are the
 people who work with the king to bring
good to the community.
• According to Kautilya, agreements are
an essential part of the administration.
In his own words, the Agreement is ‘The
choice of the joint activity partner being
made by relative strength a king should
terminate prudently such arrangement,
in such a manner that he preserves his
independence and power.’
Code of Conduct
and Code of Ethics
Code of Conduct
• These are guidelines about the standard
of behaviour, practices for an individual
or an organisation that guides the
decision, procedure and system of an
organisation in a way that:
» Contribute to the welfare of its key
stakeholders.
» Respect the rights of all constituents
affected by its operations.
• These guidelines ensure the social
standard and rules and responsibility
or proper practices for an individual or
an organisation.
• They are a legally enforceable standard
of behaviour expected of those working
in the public sector.
Examples
• The Election Commission of India
publishes the Model code of conduct
(MCC) that deals with different stages
of the election.
• Similarly, a civil servant is also
provided with a code of conduct; it
includes guidelines on accepting gifts
by government servants and specific
behaviour regulating codes.
13
Elements of Code of conducts
• A code of conduct must address all-
important ethical issues and legal duties
concerning civil servants’ behaviour
and conduct.
• Following are the elements of the code
of conduct:
» The general standard of accountability.
» Compliance with all applicable laws.
» Maintaining confidentiality.
» Political impartiality.
» Probity.
» Commitment to public service.
» Addressing conflict of interests.
Code of Ethics
• Code of ethics is referred to as values
that outline a set of principles that
affects the decision. They are minimum
requirements for conduct and
behavioural expectations instead of
providing specific activities.
• They generally include the principles of
integrity, impartiality, commitment etc.
Examples
• When a civil servant is faced with
ethical dilemmas, a code of ethics can
help make ethical decisions.
• The Code of Ethics states that a public
servant’s decision should be guided by
the larger common good, which helps
a public servant choose what is most
beneficial to society.
The code of ethics is based on
following important principles:
1. Integrity
2. Objectivity
3. Professional Competence
4. Confidentiality
 5. Professional Behaviour
Similarities between code of
conduct and code of ethics
1. Both are used as measures to promote
certain kinds of behaviour in the
employees.
2. Code of conduct is derived from
code of ethics. It converts basic rules
enshrined in the code of ethics to
specific rules that have to be followed
by the organisation’s members.
3. Both rules guide employees to handle
particular situations that may arise
when they are executing their duties.
Consider the case when an employee
encounters conflict of interest that may
arise from his action in those crucial
times; these rules guide them in the
correct direction.

The Code of Ethics and Code of Conduct can be compared on following

grounds:
Code of Ethics Code of Conduct
Code of Ethics contains general and Code of conduct is a legally enforceable,
broad declarations, reflecting the public specific standard of behaviour expected
expectation of the relationship between of those working in the public sector.
civil servant, government and other
members of public service.
Code of Ethics is publicly available and Code of conduct is generally available
addressed to anyone who takes an interest and intended for the employees.
in an institution’s activities.
Code of ethics has an angle of morality Code of conduct has angle of
and value principles. professionalism and office rules.
Code of ethics is non-specific; It is designed Code of conduct generally provides a clear
to provide values that help in decision- set of expectations about the required and
making. acceptable actions and prohibited actions.
There are no specific rules where the code The current set of Ethical norms is mainly
of ethics is being derived from. derived from Central Services (Conduct)
Rules, 1964 and some other applicable
rules to members of All India services or
employees of various state governments.

Indian Scenario norms like:

» Maintaining the integrity and absolute

• In India, the Civil Servants are bound to
follow the Conduct Rules, provided in
the Central Services (Conduct) Rules,
1964, and analogous rules apply to the
officers of the All India Services and
State Governments.
• As enunciated in the Conduct Rules, the
code of behaviour contains following
devotion to duty and
» Not indulging in ‘conduct unbecoming
of a government servant’.
• The code of behaviour is generally
directed towards cataloguing specific
activities deemed undesirable for
public servants.

14
Draft Public Services Bill, 2007
• The Draft Public Services Bill, 2007
proposes the first step towards evolving
a code of ethics.
• The Bill provides for:
» Appointment to public services based
on the principle of merit, and fair &
open competition.
» Public Service Code of Ethics and public
service values.
» A performance management system
for public service employees.
» Periodical review of pay structures,
incentive etc.
» The Constitution of the Central Public
Services Authority has to submit
an annual report to the Central
Government telling the compliance
with the bill’s provisions.
• Values of Public Service: According
to the draft bill, some specified values
should guide the discharge of the
functions of the Public Service and the
Public Servants, these are as follows:
» Upholding national pride and
patriotism.
» Allegiance to the Indian Constitution
and law of the land.
» Impartiality, objectivity, honesty,
courtesy, diligence and transparency.
» Maintaining absolute integrity.
2nd ARC Recommendations:
• Apex level: There should be a clear &
concise statement of values and ethical
standards that a civil servant must
imbibe. These values should be related
to maintaining the highest ethical
standards, political impartiality and
accountability for actions.
• Second level: At this level, the broad
principles that must govern a civil
15
servant’s behaviour should be outlined.
This will constitute the Code of Ethics.
• Third level: There must be a specific
Code of Conduct stipulating a list
of unacceptable and acceptable
behaviour & actions unambiguously.
• Values and Code of Ethics should be
given statutory backing by including
them in the proposed Civil Services Bill.
Soft Society/State
The Scandinavian economist-sociologist,
Gunnar Myrdal, had described the Indian
society as a ‘soft society’. He also clarified
what the expression ‘soft society’ means.
According to him, a soft society is:
(a) one which does not have the political
will to enact the laws necessary for
its progress and development and/or
does not possess the political will to
implement the laws, even when made,
and
(b) Where there is no discipline. In fact, he
has stressed the second aspect more
than the first. According to him, if there
is no discipline in the society, no real or
meaningful development or progress
is possible. It is the lack of discipline in
the society (which expression includes
the administration and structures
of governance at all levels) that is
contributing to corruption.
Transparency and
Accountability
• Accountability means the
administrator’s obligation to give
a satisfactory account of their
performance and how they have
exercised their powers. The wrong and
arbitrary administrative actions can be
checked and an increase in the efficiency
and effectiveness of administrative
processes can be achieved.
• Transparency means Openness in the » Will improve relations between
decision-making process and freedom government and clients (citizens &
of information to members of the public business houses) + citizens will be
and media. able to participate in the governance
• Importance of information/ process.
transparency: » It’s the basis of democracy.
» Makes the government more • Mechanism to achieve transparency
accountable; citizens can monitor the and accountability:
government’s performance.
» Parliamentary accountability (Via
» Will ensure Careful utilisation of funds questions hours, various motions,
will reduce corruption and increase
budgetary system and committee
economy, i.e. less wastage.
system).
» Will take decisions objectively; less » Judicial accountability (Via judicial
nepotism.
review, enforcing writs, appeals against
» Will expose rules/procedures that make governments action).
government slow.

Institutions and Mechanisms That Promote Accountability

Outside the State (Vertical)

• To the people through elections

High effectiveness
• Through RTI Act to citizens

• Citizens oversight committees

• Civil society/watchdog bodies Low effectiveness
• Media

• Service delivery surveys

Low to medium effectiveness
• Citizens charters

Within the State (horizontal)

• Parliament
• Judiciary
External
• Lokayukta
(Outside the Executive)
• CAG
• CVC

16

Internal
(Within the Executive)
Public Finance
Management (PFM)
Significance in Governance
• Public Finance Management (PFM)
deals with various aspects of resource
mobilisation and expenditure
management in government.
• It includes resource mobilisation,
prioritisation of programmes,
the budgetary process, efficient
management of resources and
exercising controls.
• Managing the public finances is one of
the important processes of governance.
• Reforms in the financial management
system are a core part of the governance
reforms in achieving the national
development objectives.
List of Issues in the Utilization
of Public Funds
• Corruption in the form of Acquiring
Benami properties, holding black
money in Swiss banks and money
laundering.
• Implementation of Multiple schemes on
a single issue by Centre and States leads
to the division of funds and energy.
• Then there is an issue of wrong
17
• Superior officers:
» Rewards/punishments
» Disciplinary procedures
» Performance management systems
• CBI/Police/vigilance
• Internal audit
• Grievance Redressal Mechanisms
priorities. E.g. it was argued that
instead of organising significant
sporting events like commonwealth
games, the government should first
focus on improving the basic sporting
infrastructure in India.
• There is a proliferation of centrally
sponsored schemes.
• Also, it has been observed that there
is a considerable delay in receiving
funds from the implementing agencies
because detailed documentation is
required to receive funds.
• The transfer of Central resources
to States through various types of
schemes and multiple modes of transfer
has posed problems in obtaining a
comprehensive overview of transfers
to States and effective monitoring
of expenditure. There are also issues
concerning the accountability of funds
directly transferred to implementing
agencies in the States.
• Misuse of funds in the name of organising
the political rally, advertisements in
newspapers and
» Advertisements in the newspapers
favouring our politicians cost a great
deal of money.
» There are hoardings and ceremonial
gates all over the city because an office-
bearer of a political party is visiting the
city. That is the way of dictatorships.
Centrally Sponsored Schemes
(CSS)
• The Centrally Sponsored Schemes (CSS)
are funded entirely or partly by the
central government but implemented
by the states. E.g. Mid-Day Meal,
Swachh Bharat Mission and MNREGA.
• The jurisdiction of The Centrally
Sponsored Schemes (CSS) lies outside
the subjects allocated to the Union
Government in List I of the Seventh
Schedule of the Constitution.
• Problems with it:
» The 14th Finance Commission
recommended increasing the state's
share of the divisible pool of taxes from
32% to 42%. But to ensure that the
centre’s finances are not affected, there
is a need to reduce CSS to balance out
the loss.
» Instead of thinking and acting locally,
the Government of India is thinking and
even acting centrally.
» Centre lacks the knowledge of local
conditions and thus cannot properly
monitor its implementation.
» It is against the principles of Federalism
and devolution as the centre is infringing
on state subjects.
» In the 1950s, state governments did not
have finances, so implementing CSS
seemed logical. But now the situation
has changed.
» It puts an additional burden on state
governments for funds allocation and
its implementation.
» Further, when funds are transferred
directly to implementing agencies in
States, the irregular advanced payments
have resulted into accumulation of
funds in the supply pipeline.
» Also, the focus of the government should
be on strengthening Panchayati Raj
18
Institutions (PRIs). But instead of that,
parallel structures are being created to
implement them.
• Recommendations: In this background,
PM Modi formed a NITI Aayog sub-
group consisting of a panel of CM’s
which submitted its draft report in 2015
in which it recommended the following:
» Reduce the total number of CSS from
72 to 30.
» Divided these CSSs into two broad
groups:
− Core Schemes: will include
legislatively-backed schemes like
Mid-Day Meal, Swachh Bharat
Mission and MNREGA.
− Optional Schemes: The schemes
for themes like social inclusion and
social protection.
Lokpal and
Lokayuktas
What are Lokpal and
Lokayuktas?
• The Lokpal and Lokayukta Act, 2013
authorised the establishment of Lokpal
at the Union level and Lokayukta at
the State level. Lokpal and Lokayuktas
are official statutory bodies, and these
have no constitutional status.
• These institutions perform the function
of the "Ombudsman" (the official
appointed to investigate public
complaints about a company or
organisation, especially a government
official).
• They investigate allegations of
corruption against certain public
institutions/organisations and other
related matters.
Lokpal and Lokayuktas
and Other Related Law
(Amendment) Bills, 2014
• This bill proposes to amend the Lokpal
and Lokayuktas Act, 2013 and the Delhi
Special Police Establishment Act, 1946.
• Lokpal Act provides for a selection
Committee to nominate Lokpal. The
Committee includes the Leader of the
Opposition (LoP) in Lok Sabha. The Bill
amends this provision to mean that
Leader of the single largest Opposition
party in the House will be a member of
the Selection Committee if there is no
known LoP in Lok Sabha.
• The Lokpal Act states that one eminent
legal expert, who other members
of the Selection Committee will
recommend, will also be a member
of that Committee. The bill adds that
such distinguished legal experts will be
nominated for three years.
• The law states that no nomination for
the Chairperson or member of Lokpal
shall be invalidated on the grounds of
a vacancy on the Selection Committee.
The bill adds that what the Committee
has done would not be effective again
due to the absence of a member.
• Lokpal law requires the Selection
Committee to establish a Search
Committee to make recommendations
for Lokpal nominations. The bill
stipulates that no further proceedings
relating to the Search Committee may
be invalidated on the grounds of (i) the
vacancy or absence of a member of the
Selection Committee or (ii) the absence
of a person from the Search Committee.
• Under the Lokpal Act, the Secretary of
the Lokpal is of the rank of Secretary.
19
The Bill amends this provision to now
designate Lokpal Secretary to be at the
level of Additional Secretary.
• Lokpal law requires that the Director
of Investigation and the Director of
Public Prosecutions be at least at an
Additional Secretary’s level. According
to this bill, it is expected that officers of
rank not below the Joint Secretary level
are appointed for these posts.
Lokpal and Lokayuktas
(Amendment) Act, 2016.
• The act has amended the Lokpal and
Lokayuktas Act, 2013, concerning the
declaration of assets and liabilities by
public servants. The provisions of the
act will apply later, from the effective
date of the 2013 Act.
• Lokpal law requires a public servant to
declare assets and liabilities of himself
or herself and also their spouses.
• These announcements must be made
to competent authorities within 30
days of taking office. A public servant
must also file an annual return on these
assets and liabilities by no later than 31
July of each year.
• The Lokpal law also authorises the
statements of those announcements
to be published on the relevant
Department's website before August 31
of that year.
• The act has replaced these regulations
to mean that a public servant will be
required to declare their assets and
liabilities. However, the method and
procedure for making that declaration
will be determined by the central
government.
 CHAPTER - 3
RIGHT TO INFORMATION
Right to Information Summary Provisions
• It is a Fundamental Right that is
guaranteed under the Constitution
under Article 19 [specifically Article
19(1) (a)] and Article 21 (Right to Life and
Personal Liberty) of the Constitution of
India.
• It is a human right to access information
that is related to the person’s day-to-
day utilities.
• Availability of relevant information
makes a citizen responsible and keeps
him informed about the Government’s
functionalities (public authorities).
• The RTI promotes the principle of good
governance, since it is seen as a gateway
to improving participatory democracy,
which is used for the people's benefit.
In a democracy, access to information
empowers citizens by encouraging
them to scrutinise the government's
decisions and policies.
Right to Information
Act
• The objective of RTI is to set out
the practical regime of the right to
information for citizens and bring in
the era of openness. It replaces the
erstwhile Freedom of Information Act,
2002.
• Aim: It aims to set out the practical
regime of Right to Information for
India’s citizens to allow citizens to
access the information related to public
authorities to promote transparency
and accountability in their working.
20
• Any citizen may request information
from a body that is declared as a "public
authority". The Act provides for the
appointment of Information Officers
in every Public Authority for providing
information to the public on request.
• It provides a 30-day deadline for
providing information. The deadline is
48 hours if the information is concerning
the life or liberty of an individual.
• Information is free for people below
the poverty line. For others, the fees for
information are reasonable.
• The Act imposes an obligation on
bodies declared as public authorities
to disclose the information suo-moto
such that the citizens will have as much
as possible ready-made information
available without having to specifically
apply for it. For this, it requires the Public
Authorities to computerise their records
for wide and proactive dissemination.
• It provides for establishing a Central
Information Commission (CIC) at
the Centre and State Information
Commissions (at the level of states).
They are independent high-level bodies
to act as appellate authorities and are
vested with a civil court’s powers. The
jurisdiction of the CIC extends over all
Central Public Authorities.
• The information commissions can
allow access to such information
not disclosed by a public authority if
public interest outweighs the harm to
protected persons.
• The Act has been put above the Official
Secrets Act, 1923. RTI says that if there
is any conflict between the RTI and
 OSA, the RTI will prevail.
• All categories of exempted information
should be disclosed after 20 years. The
exception for this includes information
related to cabinet deliberations and
information that affects security,
strategic, scientific or economic
interests, relations with foreign states or
leads to incitement of an offence.
Bodies covered
under the RTI Act
Types of Bodies Covered Under
the Act (Public Authorities) •
• It covers all Constitutional authorities,
including the three government organs:
the executive, legislature and judiciary.
• It includes any institution or body
constituted or established by an act of
Parliament or that of a state legislature.
• According to the Act, bodies or
authorities established or constituted
by order or notification of appropriate
government and including bodies that
are "owned, controlled or substantially
financed" by the government are
covered.
• Non-Government Organisations
(NGOs), which are "substantially
financed, directly or indirectly by funds"
provided by the government, are also
covered in the Act.
Are Private bodies included?
• Private bodies and entities are not
directly within the ambit of the RTI Act.
• In Sarabjit Roy vs Delhi Electricity
Regulatory Commission, the CIC
(Central Information Commission) has
also reaffirmed that privatised public
utility companies are not within the
purview of RTI.
21
Bodies That Are Excluded by
the Act
• Specific Central Intelligence and
Security agencies that are specified
in the Second Schedule of the Act like
Intelligence Bureau (IB), Directorate
General of Income-tax (Investigation),
Central Bureau of Investigation (CBI),
Directorate of Revenue Intelligence,
Central Economic Intelligence Bureau,
BSF, CRPF, ITBP, CISF, NSG, Assam Rifles,
Directorate of Enforcement, Narcotics
Control Bureau, RAW, Aviation Research
Centre, Special Frontier Force etc. will
be excluded.
Agencies that the State Governments
specify through a notification will also
be excluded from its purview.
• However, the above exclusion is not
absolute, and even these organisations
have an obligation under the Act to
provide information about allegations
of corruption or human rights violations.
• Further, the information relating to
allegations of human rights violation
could be provided only with the Central
Information Commission or State
Information Commission’s approval.
Political Parties and
the RTI
• There has been non-compliance
of political parties to the Central
Information Commission’s order in
2013 and then in March 2015. In 2013,
the CIC had declared that all national
and regional political parties are public
authorities under Section 2 (h) of RTI. In
March 2015, it had reiterated the order
as “final and binding.”
• According to the CIC, the Political
Parties enjoy ‘substantial public funding’
like subsidised tax-free land allotment
to these parties, free air-time on official
 media, government accommodation,
Income Tax exemptions etc.
• Besides, the nature of the duties
performed by the Political Parties also
points towards their public character.
Reasons Given by Political
Parties for Not Falling Under
RTI
1. Political parties are not constituted or
established under the Constitution or
by any other law made by Parliament.
2. There are already relevant provisions
in the Income Tax Act, 1961, and
Representation of the People Act,
1951, which provide for “necessary
transparency regarding political
parties’ financial aspects.”
3. Registration of a political party under
the RP Act of 1951 Act is not the same
as establishing a government body.
4. Information regarding the political
parties is already in the public
domain on the website of the Election
Commission.
5. Confidential information related to the
internal meetings of a political party
in which discussion of party strategy
or suitability of candidates for ticket
distribution is discussed cannot be
made public.
Counter-Arguments
• The objection of Political Parties
against not coming under the purview
of the Act does not stand the test of
reasoning. The RTI Act provides for
various exceptions under Section 8 (4).
Using such exceptions, Political Parties
can keep information related to internal
meetings of political parties and other
such matters out of the public domain.
22
• In contrast, if Political parties are
brought under the Act, it will help deal
with non-transparent political funding,
criminalisation of politics etc.
Process of Filing an
RTI
• Any person may submit an RTI request
to the PIO for information.
• Each authority that is covered under
the RTI Act must appoint its Public
Information Officer (PIO). The PIO must
provide information to citizens of India
who request such information under
the Act.
• Suppose the information that is
requested pertains to another public
authority (in whole or part). In that case,
it is the PIO’s responsibility to transfer
the concerned portions of the request
to the PIO of the concerned authority
within five working days.
• The Central Information Commission
has been constituted under the Right to
Information Act, 2005. The jurisdiction
of the CIC extends to all Central Public
Authorities. The Commission has
powers and functions broadly related to
adjudication in the second appeal for
giving information; direction for record-
keeping, suo motu disclosures, receiving
and enquiring into a complaint on
inability to file RTI etc.
• The respective State Governments
constitute the State Information
Commission through a Gazette
notification. It has one State Chief
Information Commissioner (SCIC) and
not more than 10 State Information
Commissioners (SIC) appointed by the
Governor.
Time Limits for Replying to the
Request
• The Act specifies different time limits
for replying to the information requests:
» When the request for information
has been made to the PIO (Public
Information Officer), the reply is to be
provided within 30 days of receipt of
the request.
» If the request has been made to
Assistant Public Information Officer
(APIO), the reply is to be provided within
35 days of receipt of the request.
» If the PIO transfers the request to
another Public Authority, the time
allowed to reply is 30 days. But this time
is computed from the day after the PIO
of the transferee authority receives it.
» When the Information is concerning
corruption and Human Rights violations
by scheduled Security agencies (those
listed in the Second Schedule) is to
be provided within 45 days but with
the prior approval of the Central
Information Commission.
» However, when any person’s life or
liberty is involved, the PIO is expected to
reply within 48 hours of request receipt.
• If information is not provided within the
above periods, it is treated as deemed
refusal. And, the refusal with or without
reasons may be a ground for appeal
or complaint. Besides, information not
provided in the time limits prescribed is
to be provided free of charge.
Information
Exclusions Under the
RTI Act
Section 8 of the Act exempts from the
23
disclosure of various kinds of information:
• Information, which when disclosed,
may cause threat to the sovereignty,
integrity, security, "strategic, scientific
or economic" interests and foreign
relations of India.
• When any court specifically forbids the
publication of any information.
• Information, the disclosure of which
would cause a breach of privilege of
Parliament/State Legislature.
• Confidential information related to
commerce, trade secrets, patents
or intellectual property, which when
disclosed, can affect the third party.
• The information available to a person
in his fiduciary relationship.
• Confidential information received while
dealing with foreign Government.
• Information, the disclosure of which
would endanger the life of any person
or identify the source of information or
assistance given in confidence for law
enforcement or security purposes.
• The information which would impede the
process of investigation/apprehension/
the prosecution of culprits.
• Confidential papers which contains
records of deliberations of the Council
of Ministers, Secretaries and other
officers.
• The personal information, which has
no relation to any public interests and
disclosure of which may cause invasion
of privacy of the individual.
Notwithstanding any of the above
exemptions, a public authority may allow
access to information if the public interest
in disclosing the information is of more
importance than the harm to the protected
interests. However, this does not apply
to the disclosure of "trade or commercial
secrets that are protected by law ".
In Rakesh Sanghi v. International
Advanced Centre for Powder Metallurgy
& New Materials, Hyderabad case,
the CIC held that the citizen’s right to
seek information is not absolute but is
conditioned by the Government’s right
to invoke exemptions, wherever such
exemption is applicable.
Powers and
Functions of
Information
Commissions
1. Any person can file a complaint with
the Central Information Commission/
State Information Commission:
a. Who is unable to file a request due
to vacancy of the post of PIO.
b. Whose request for information has
been refused.
c. Who did not receive information
within the specified time limits.
d. If the fees charged seem
unreasonable and excessive to the
applicant.
e. If the information given to applicant
is incomplete or false or misleading
for him/her.
f. Any other matter under this law
that may arise while accessing the
information.
2. Power to order inquiry if there are
reasonable grounds.
3. CIC/SIC will have powers of the Civil
Court, such as summoning and enforcing
persons’ attendance. They can compel
them to give oral or written evidence on
oath and produce documents or things.
4. It is bound on that person to provide all
records covered by this law (including
those covered by exemptions) to CIC/
24
SIC during the inquiry.
5. The Information Commission has power
to ensure compliance of its decisions
from the Public Authority. It may ask
the Public Authority:
a. To provide information in a specified
form.
b. To direct the public authority to fill
the vacancies of PIO/APIO.
c. To publish information of different.
d. To update the practices relating to
management, maintenance and
destruction of records whenever
necessary.
e. Demand an annual report from the
public authority about how the law
is followed.
f. Payment of compensation for any
losses suffered by the applicant.
g. Reject the application altogether.
Achievements in
Last 15 Years
1. Around five to eight million RTI
applications are filed every year,
showing the popularity of the law.
2. “RTI laga denge” (we will file an RTI
application) has become a rallying call.
The argumentative Indian, who is now
speaking truth to power, cannot and
will not be gagged.
3. This ensures that the Government is
held accountable every day instead of
once in 5 years.
4. The RTI act promotes openness in
government activities and allows its
citizens to know what is going on in the
government. A study of RTI applications
reveals that ordinary people demand
information regarding expenditures on
roads, life-saving medicines in hospitals,
disappearing rations etc.
5. It has helped to expose entrenched
vested interests in policy making and
implementation. Various scams like 2G
(allocations of 2G spectrum) Scam, Coal
Gate scam (coal blocks allocations)
were unearthed due to the RTI.
6. The RTI was one of the first laws in the
Rights-based regime and has inspired
a spate of other rights-based laws like
the Right to Education, Forest Rights
Act.
7. Notwithstanding the implementation
roadblocks, it is internationally
acclaimed as amongst the strongest
RTI laws in the world.
Challenges in the
Implementation of
the Act
1. Section 4 (1)(a) of the Act says that every
public authority shall maintain all its
records duly catalogued and indexed,
and all records should be computerised.
But this hasn’t been done yet.
2. Section 4 (2) of the Act says that every
public authority should constantly
endeavour to provide as much
information suo-moto to the public at
regular intervals. But this remains an
unfinished promise.
3. Delays have been witnessed in
appointments to higher posts, including
even the post of CIC lying vacant since
August 2014 and were filled only in July
2015.
4. Political parties continue to remain
outside the purview of the Act.
25
5. A large number of appeals are pending
with State and Central Information
Commissions. A report brought out
by the RTI Assessment and Analysis
Group (RAAG) in 2014 has shown a
waiting period of around 60 years in
Madhya Pradesh and about 18 years in
West Bengal (based on current rates of
pendency in Information Commissions).
6. Those who seek information on illegal
construction, or alleged scams in social
welfare schemes etc., face a threat
to their life. Commonwealth Human
Initiative has observed that around
90 RTI activists have been killed since
2005. The said Act does not provide
any protection to RTI Activists.
7. The Government staff is not trained
adequately to reply to RTI queries.
Besides, the colonial attitude of
bureaucracy to withhold the information
is acting as a barrier against disclosure.
8. Section 8 of the Act allows disclosure
of information if the more significant
public interest is served. But many
times, such information is not disclosed
by keeping it under the ‘national
security clause’ of the Act. Recently the
central government refused to disclose
information related to Rafael deal
under the ‘national security and friendly
relations with foreign countries’ clause.
9. There have been cases of misuse of
RTIs by people by filing frivolous and
Vexatious Requests.
10. In the past 15 years of its enactment,
only around 2% of Indians have filed
the RTI application till 2018. Many
people feel hesitant to approach the
authority to seek the information even
if it is necessary.
The Unique Case of South Asia
• South Asian corruption has four key characteristics that make it far more damaging
than corruption in any other parts of the world.
• First, corruption in South Asia occurs upstream, not down-stream. Corruption at
the top distorts fundamental decisions about development priorities, policies, and
projects. In industrial countries, these core decisions are taken through transparent
competition and on merit, even though petty corruption may occur downstream.
• Second, corruption money in South Asia has wings, not wheels. Most of the corrupt
gains made in the region are immediately smuggled out to safe havens abroad.
Whereas there is some capital flight in other countries as well, a greater proportion
goes into investment.
• Third, corruption in South Asia often leads to promotion, not prison. The big fish –
unless they belong to the opposition –rarely fry. In contrast, industrialised countries
often have a process of accountability where even top leaders are investigated and
prosecuted. For instance, former Italian Prime Minister Bettino Craxi was forced to
live in exile in Tunisia to escape extradition on corruption charges in Rome.
• Fourth, corruption in South Asia occurs with 515 million people in poverty, not with
per capita incomes above twenty thousand dollars. While corruption in rich rapidly
growing countries may be tolerable, though reprehensible, in poverty stricken South
Asia, it is political dynamite when the majority of the population cannot, but to
massive human deprivation and even more extreme income meet their basic needs
while a few make fortunes through corruption.

RTI VS Right To Other Subsidies, Benefits and Services)

Act 2016, Personal Data Protection
Privacy Bill 2019, DNA Technology (Use and
Application) Regulation Bill 2019 etc.
• Conceptually, the RTI and Right to
Privacy are both complementary
and in conflict with each other. On RTI VS Official
the one hand, RTI increases access
to information, the right to privacy Secrets Act (OSA)
protects it instead. On the other hand,
they both safeguard citizen’s rights 1923
against the state’s overreach.
• The Official Secrets Act 1904 was
• The right to privacy is a Fundamental enacted during the tenure of Viceroy
Right under Article 14, 19 and 21 of
Lord Curzon. The law aimed at
the constitution (Justice Puttaswamy
ensuring secrecy and confidentiality
vs Union of India case). Thus, while
in governance, mostly on national
disclosing information under RTI,
security and espionage issues. One of
the government needs to ensure
the foremost purposes of the act was to
such information does not harm the
suppress nationalist publications’ voice
individuals’ liberty and dignity.
(press, books, etc.).
• There are many acts which ensure the • The Official Secrets Act, 1923, replaced
right to privacy such as the Aadhaar
the 1904 Act. It covers all matters
(Targeted Delivery of Financial and

26
 of secrecy and confidentiality in
governance in the country.
• According to the RTI Act of 2005,
whenever there is a conflict between
the two laws, the RTI Act provisions
will prevail over OSA laws. Section 22
of the RTI Act states explicitly that its
provisions will prevail notwithstanding
anything that is not consistent with the
provision in the Official Secrets Act.
• The Section 8 (2) of the RTI Act of 2005
says that a Public Authority has powers
to allow access to information protected
under the OSA “if the public interest in
disclosure outweighs the harm to the
protected interests”.
• The Second Administrative Reforms
Commission also has recommended
the repeal of the OSA and replacement
with a chapter in the ‘National Security
Act’. This chapter could contain
provisions relating to official secrets.
Declassification of
Files
• Depending on the level of confidentiality,
the government classifies information
as (i) Top Secret, (ii) Secret and (iii)
Confidential and (iv) Restricted.
• This is done as per the “Manual of
departmental security instructions”
issued by the home ministry.
• Now the task of classifying documents
is vital in the more significant national
interest (as it may affect the integrity
and foreign relations). Therefore, the
proper care is taken while doing this
because:
» It's an important contributor to secrecy
(these are exempted under section 8 of
RTI).
» Declassification will give a correct
picture of history.
27
Second ARC recommendation
• The information which qualifies for the
exemption given under RTI Act can only
be given a security classification.
• Timeline: under the existing instructions,
information once classified continues
to be so without any time limit. In other
countries, even war secrets are brought
into the public domain after a lapse of
a specific period, usually 30 years.
» Second ARC has recommended that
documents classified as ‘top secret’
and ‘secret’ should remain classified
not exceeding 30 years. Documents
classified as ‘confidential’ and
‘restricted’ should remain classified not
exceeding ten years. However, they
can remain classified if their disclosure
causes damage to the national interest,
but the competent authority should
give reasons in writing.
• Only officers of sufficient seniority should
be empowered to classify documents.
Second ARCs recommendation for
officers:
» Top secret: Not below the joint secretary.
» Secret: Not below deputy secretary.
» Confidential: Not below undersecretary.
Recent Judgements
Related To RTI
• In the judgement given by a five-judges
Constitution Bench in the Supreme
Court of India vs Subhash Chandra
Agarwal case, it is stated that the Office
of the Chief Justice of India (CJI) is a
‘public authority’ under Section 2(h) of
RTI Act.
• In the D.A.V. College Trust and
Management Society Vs. Director of
Public Instructions case, the Supreme
Court ruling has brought NGOs
 receiving funds from the governments
under the ambit of RTI Act.
• The Court held that the Trusts and
NGOs “substantially funded” by the
government will be considered “public
authorities” under the RTI Act. Currently,
the regulation of NGOs is done under
the acts such as FCRA (Foreign
Contribution Regulation Act) and FEMA
(Foreign Exchange Management Act).
• This ruling compelled NGOs to maintain
records as provided under the RTI Act.
Moreover, every citizen will have the
right to get information from them.
28
Can the BCCI be called the Public
Authority?
• It has been confirmed by the Central
Information Commission that the
bodies such Board of Control for
Cricket in India (BCCI) comes under
the ambit of RTI Act and the people
of the country have right to access
their information.
• The Commission studied the orders
of the Supreme Court, the report of
the Law Commission of India, and a
report submitted by the Central Public
Information Officer in the Ministry of
Youth Affairs and Sports.
• The Commission then proposed that
the BCCI fulfils all the conditions that
are necessary to come under the
ambit of RTI Act.
• Section 2(h) of the Act defines criteria
under which a body can be declared
as public authority under the RTI Act.
 CHAPTER - 4
CITIZEN CENTRIC ADMINISTRATION/
CITIZEN CHARTER
Good Governance
and Citizen Centric
Administration
History of Good Governance in
India
• The Arthashastra, written by Chanakya,
discussed the idea of good governance
and mentioned some good qualities
of king. Chanakya stated that “in
the happiness of his subjects lies his
happiness, in their welfare his welfare.”
• According to Mahatma Gandhi, Swaraj
should be followed by Su-raj which
refers to the good governance.
Objectives of Good
Governance
1. Providing an environment in which
all citizens can develop to their full
potential.
2. Providing public services effectively,
efficiently and equitably (without class,
caste and gender discrimination).
Pillars of Good Governance in
India (4Es)
1. Ethos: Ethos of service to the citizen).
2. Ethics: The governance structure
should be based on ethical values such
as honesty, integrity and transparency
to generate a trust among citizen.
3. Equity: In good governance, every
citizen should be treated equally on
equal terms. Similarly, extra attention is
29
needed for the weaker sections.
4. Efficiency: Citizens should get the
government services as early as
possible and without any hassle.
Barriers to Good Governance
in India
1. Civil servants have an attitude of
indifference and insensitivity to the
needs of citizens.
2. Civil Services are seldom held
accountable for their actions because:
• Authority is divorced from
accountability;
a. There is misuse of provision related
to safeguarding of civil servants;
and
b. Performance evaluation systems
within the government have not
been effectively structured.
3. Red Tape: Government servants
view rules & procedures as an end in
themselves.
4. The citizens lack awareness about
their rights.
5. Inadequate awareness about their
duties leads citizens to infringe on the
freedom and rights of other citizens.
6. Weak implementation of rules
erodes the faith of the citizenry in the
government machinery.
Core Principles to Follow (to
Have Good Governance in
India)
1. Rule of Law: All public agencies should
 adopt a zero-tolerance strategy towards
crime and focus should be given on
compliance with laws for maintenance
of the public order.
2. Vibrant, Responsive and Accountable
Institutions: ‘Rule of Law’ requires
institutions that are adequately
empowered and accountable.
Personnel and resources of good quality
can ensure effective implementation.
3. Active Citizens’ Participation –
decentralisation and Delegation:
Improve delivery mechanism with
greater citizens’ involvement and
empower local self-government.
4. Transparency: Openness in the everyday
functioning of the administration is a
hallmark of a citizen-centric approach.
5. Civil Service Reforms: Civil servants’
attitude and efficiency determine the
experience that a citizen has with the
government. Thus reform civil services.
a. Ethics in Governance: Every
profession, voluntary organisation
and civil society structures requires
ethics because of their involvement
in the governance.
b. Finally, citizens too must have
ethical behaviour as it could directly
influence the ethics in governance.
6. Evaluation for the Quality of
Governance:
“What is not monitored never gets done”.
a. It should be periodic and well
maintained.
b. This underscores the need to
evaluate the quality of governance
at all levels periodically.
c. Both, external as well as internal
evaluation is expected.
30
Functions of
Government
“Government is created to secure the inalienable
rights of all citizens - i.e., the right to life, liberty
and the pursuit of happiness” – Thomas Jefferson.
Types of Functions
The government functions in broadly
following categories:
1. Regulatory functions,
2. Service providing functions, and
3. Developmental functions.
1. Regulatory Functions of
Government
Need of regulation:
• Our constitution grants various
freedoms to the citizens of India.
However, if everyone is allowed to
pursue complete freedom, then it could
affect the freedom of other persons.
• This necessitates the regulatory role of
government.
The regulatory structure of government:
• Constitution: The Indian Constitution
provides a regulatory role to the
government. The government (Central
and State) can make laws on various
subjects. Besides, under Article 19 of the
Indian Constitution, the government
is empowered to impose reasonable
restrictions on the exercise of various
Rights that are conferred by Article 19.
• Laws: The State has enacted various
laws to impose restrictions on citizens’
activities in society’s larger interest.
• Organisations: Then, the State creates
a large number of organisations to
implement these laws.
Challenges in regulation:
• However, attaining ‘optimum
regulation’ (i.e. achieving a balance
between an individual’s freedom and
society’s interest) is challenging. It is
because both excessive regulations
and loose regulation can cause the
citizens a great deal of hardship.
• Excessive regulation: It has been
argued that India is an over-regulated
country. It is because of:
» Presence of large number of regulations;
» Old and useless regulations that are
unnecessarily present in the statute
books;
» The tendency to over-legislate - as a
result, the legislation becomes an end
itself; and
» Regulating for the sake of regulation.
• Weak regulations: But weak regulatory
mechanisms also hamper public
interest, which arises from staff shortage
in regulatory bodies and inadequate
supervision of these bodies.
» Poor regulation also leads to corrupt
and unethical practices.
Recommendations:
For attaining ‘optimum regulation’,
Government should follow the following
principles.
• Avoid over-regulation (Self-regulation):
» In the field of taxation, the Self-
regulation is the best form of regulation.
» Thus, the “principle of voluntary
compliance” should be applied to cases
where permission/license is required to
be renewed periodically.
• Avoid over-regulation (tune them to
present times):
» Government should carry out detailed
31
scrutiny of all laws and regulations – it
should be at the Union, State and Local
levels.
» Then it should repeal unnecessary
regulations and update outdated ones.
• Capacity building:
» Government should give proper
attention to the capacity building of
regulatory bodies to keep pace with the
demand.
• Take steps to reduce corruption: To
ensure that the regulatory measures do
not degenerate into corrupt practices,
take the following steps.
» Effective supervision: It is necessary
to have effective supervision of the
agencies which carry out these
regulatory functions. This supervision
should be carried out internally by the
supervisory officers and supplemented
by a periodic assessment by an
independent agency.
» Simplify regulation: Simplify
transactions, use IT, promote
transparency and reduce discretion.
• Involving citizens’ groups, professional
organisations in the regulation
activities: The burden of the
enforcement machinery can be shared
by associating citizens’ groups and
professional organisations to certify
compliance and report violations
of the regulations to the concerned
authorities.
• Regulatory mechanisms should be
responsive and aim for the speedy
disposal of cases.
2. Service Providing Functions of
Government
• The government provides a social
as well as infrastructural services to
citizens:
» Sanitation, education, health, etc.
social services.
» Road, power, drinking water, etc.
infrastructural services.
• Recommendations:
» There is a need to ensure greater
efficiency and accountability of the
service providing bodies. Ensuring full
cost recovery, effective implementation
of Citizens’ Charters, feedback
mechanisms from citizens’ groups and
public-private partnership are some of
the means to meet these objectives.
» Along with this government should
implement the single window system.
Single Window System to deliver the
services
• Adoption of a ‘single window system’
approach has been done by many
governments in the world for efficient
and effective delivery of services.
• Reasons for it:
» The basic aim of this approach is to
reduce the hassle caused to the citizens
while running in many government
offices for getting different services.
» Single Window system minimises delay
and maximises convenience to citizens.
• Approaches towards a single-window
system: This is achieved in several ways.
» Approach 1: A service providing
organisation re-engineer its processes
to deliver all its services through a
single outlet/unit.
» Approach 2: Establish an organisation
that would create an infrastructure
through which different government
organisations can ensure single point
delivery of services to the citizens.
» Approach 3: Some governments
have adopted an approach where no
separate organisation is created – all
32
the organisations work in tandem to
establish a common service delivery
infrastructure.
• Present status in India:
» National level: The National Portal
(http://india.gov.in) provides single-
window web-enabled access to
the information and public services
delivered by the government of the
Union of India.
» State-level (Single Window Agencies):
State Governments have constituted
Single Window Agencies, especially for
grant of industrial clearances. However,
it has been observed that these
agencies often give only ‘in principle
approval’, and the applicant has then
to seek formal approvals from each
agency.
• Recommendations:
» For Single Window Agencies at the
state level: Empower them to enable
them to provide relevant services.
» Use of ICT: An essential prerequisite
for implementing single-window
clearance is thorough business
process re-engineering in government
organisations, aided by Information
and Communications Technology (ICT).
ICT has enabled governments to deliver
services to citizens in a faster, more
efficient and transparent manner.
3. Government as a developmental
functionary
Government has introduced and
implemented many welfare and
development programmes with an aim
of the socio-economic upliftment of its
citizens.
Recommendations:
1. To decide the implementation
machinery for a programme, it
is necessary that the principle of
 subsidiarity is followed.
2. Active involvement of citizens in
all stages of these programmes,
i.e. planning, implementation and
monitoring.
3. The mandatory social audit should be
carried out for all programmes.
Citizen’s Charter
Definition of Citizen’s Charter
• A citizen’s Charter is a document
published by an organisation which list
out the commitments about the service
standards that it delivers.
Components of Citizens
Charter
There are three categories of components
that make Citizen’s Charter meaningful.
These are as follows:
1. Vision & Mission Statement of the
organisation: It tells about the
organisation’s goals and the broad
strategy to achieve these goals and
outcomes.
2. Services (and Grievance Redressal
mechanism): This component is at the
heart of the citizen’s charter. It includes
the following:
a. List of services provided by the
organisation and the target group.
b. Standards of each service.
c. Procedures for accessing services.
d. Grievance Redressal Mechanism
(even though these promises are not
enforceable in a court of law, each
organisation should ensure that the
promises made are kept and, in case
of default, a suitable compensatory/
remedial mechanism should be
provided).
3. Responsibilities imposed on citizen:
33
a. The responsibilities of citizens
towards citizen’s charter should also
be reflected in the Citizens’ Charter.
b. For example, the Government of
India’s citizen’s charter of Income Tax
department stresses that taxpayers
should quote correct PAN/TAN and
bank details in all returns.
Evolution of Citizens Charter
• Origin in the UK: Citizen's Charter
scheme was first launched in 1991 in
the UK by the then British PM John
Major in the background of Growing
dissatisfaction with public services and
the New Right Movement.
• Indian scenario: Influenced by the
UK, many countries all over the world
started making Citizens Charter. In
India, the citizen’s charter initiative was
launched in 1997 when the Government
of India announced that all central and
state ministries/departments would
prepare citizen charter. Following this,
various public sector organisations
and even local governments have also
started citizen charter.
Significance of Citizens
Charter
1. A landmark in public service delivery:
Citizen’s Charter represents a landmark
shift in public services delivery. It treats
citizens as customers of public services.
2. Transparency and citizen
empowerment:
• It increases transparency and
accountability as citizens know what
services are guaranteed to them etc.
• This leads to citizens’ empowerment as
now citizens have information about
the services entitled to them and thus
can demand these better services as
their right.
3. Improves quality of service: The quality
of service provided is enhanced as
various standards/norms have been
set up against which the actual service
provided is bench-marked.
Critical Issues in
Implementation of Citizen
Charters
In 2008, the Department of Administrative
Reforms and Public Grievances carried out
a study evaluating the Citizen’s Charters.
It found out that although it has been a
success at some places, that’s very rare as,
on the whole, it has been a failure in India.
It found the following issues in its
implementation:
1) Non-existent at field agencies:
• Citizen’s charters are there mainly at the
headquarters level. There rarely exists
any citizen charter at the field agencies
which have the most interaction with
the people.
2) Issues in the ‘Procedure of
designing’ citizen charter:
1. Top-Down approach:
» Generally, only the top-level executives
are involved in formulating the charter.
» Citizens who are provided with the
services (outsiders) and functionaries
who deal with the public (insiders) are
not consulted in formulating citizens'
charter.
2. One size fits all approach:
» There is a tendency to have a uniform
Charter for all field officers under the
department.
» This is even though the field units across
the country/state differ on human
resource, workload (i.e. no. of cases, the
34
complexity involved) etc.
3) Issues in the content (vague,
incomplete, and outdated):
1. Vague: Many Citizen Charters are
written in a very ambiguous language.
Instead of writing specific services,
organisations write about the aims,
goals of an organisation.
2. Incomplete:
a. List of services: All the services to
which a citizen is entitled are not
written in the charter.
b. Standard of services: The services
included in the charter are not
included for them the Standard &
norms. I.e. there is no mention of
“time–frame,” i.e. in how much time
will the citizen be given the service.
c. Grievances Redressal mechanism:
There is no mention of the Grievance
Redressal Mechanism in many
citizen charters if the service is not
provided.
3. Outdated: There is no periodic revision
of charters to include the new services
or changed objective etc.
4) Issues in implementation:
Even if we have a charter which is designed
very well, then also it has not made much
difference due to various reasons such as:
1. Poor Implementation mechanism:
There is no change in the ground
level mechanism and mind set of
functionaries to enforce the charter’s
provisions.
2. Poor awareness: Leave citizens, even
the public servants themselves, are not
aware of the charter’s existence. Thus
how can they even implement it? The
key reason for poor awareness is the
absence of ‘display boards’.
Thus we should remember that merely
announcing the charter won’t do anything.
Recommendations
Following are some of the principles that
can make Citizen’s Charters effective:
1. One size does not fit all.
2. Every independent unit or sub-office of
an umbrella organisation should have
its own version of Citizens’ Charter.
3. Comprehensive consultation, which
includes Civil Society in the process.
4. Firm commitments to be made.
5. Reforming the internal processes and
structure of an organisation to match
it with the commitments of citizen’s
charter.
6. Redressal mechanism in case of default.
7. Mechanism for the periodic external
and internal evaluation of Citizens’
Charters.
8. Benchmark using end-user feedback.
9. Hold officers accountable for results.
Sevottam
• Etymology: Sevottam comes from the
Hindi words "Seva" and "Uttam" and
means excellence in service delivery.
• What is it?
» The Department of Administrative
Reforms and Public Grievances
(DARPG) has developed an excellent
model for benchmarking Public Service
Delivery through Sevottam.
» The model provides the framework to
organisations to assess and improve
service delivery quality for the citizens.
• Components: It includes the following
three main components.

Citizen The focus of Sevottam is on the formulation, monitoring and review of

Charter the Citizen’s Charter.
and Service Citizen Charter is the document where a public sector organisation
Standards declares its essential services and delivery timelines and requirements.
Public Here Sevottam focuses on receipt, redressal and prevention of
Grievances grievances.
Service
The focus is on giving excellent service. This includes Customer
Delivery
Feedback, Employee Motivation and infrastructure.
Enablers

• Key Features: timely.

» Timeliness: Time norms for specific
services are enumerated in the Citizen’s
Charter.
» Effectiveness: A single-window system
for service deliverables is targeted for
delivery to cut down the extra time
required for shuttling from one desk to
another to get services.
» Responsiveness: A robust grievance
redress system is needed to listen to
citizen’s grievance and redress them
» Courteous behaviour: The norm for
behaviour, especially in client-facing
positions, is described in the Citizens’
Charter, and proactive feedback on
service delivery is gathered to judge
this.
» Information: Facilitation centres and
help centres are targeted to meet
clients’ needs of information.
» Empathy: Public grievance officers are
needed to listen to clients in their time
of need.

35
ARC's Seven Step Model for
Citizen Centricity
There is a need for Union and State
Governments to adopt a seven-step model
mandatory for all organisations with a
public interface.
1. Defining the services and identification
of the clients.
2. Setting service standards and norms.
3. Capability building to meet the set
standards.
4. Focus on the performance to achieve
the standards.
5. Continuous monitoring of the
performance against the set standards.
6. An independent mechanism for periodic
evaluation of performance.
7. Continuous improvement based on
monitoring and evaluation results.

Whistle-blower Protection Act, 2014

The Whistle-blower Protection Act, 2014 was enacted to enable any person to disclose
to a Competent Authority, acts of corruption or wilful misuse of power or discretion, or
criminal offences by a public servant.
• The Competent Authority is the Prime Minister or Chief Minister in the case of
Ministers, the Speaker or Chairman for Members of Parliament or state legislatures,
the Chief Justice of the High Court for district court judges, and the Central or State
Vigilance Commission for government servants.
• The law does not allow anonymous complaints to be made and clearly states
that no action will be taken by a competent authority if the complainant does not
establish his/her identity.
• The maximum time period for making a complaint is seven years.
• Exemptions: The Act is not applicable to the Special Protection Group (SPG)
personnel and officers, constituted under the Special Protection Group Act, 1988.
• Court of Appeal: Any person aggrieved by any order of the Competent Authority
can make an appeal to the concerned High Court within a period of sixty days from
the date of the order.

Citizens’ It is a Bilateral Process

Creating an institutional environment
Participation in conducive to citizens’ participation in
governance involves a bilateral process
Administration that requires:

Meaning of Citizens’ • Citizen should be vigilant, proactive

and responsible citizenry.
Participation
Citizens’ participation refers to the
• The government should be transparent,
responsive and receptive.
mechanism by which citizens can influence
resources & decision making that directly
impacts their lives.

36
Benefits’ of Citizens’
Participation (Citizens’
Participation Contribution to
Good Governance)
Active citizens’ participation can contribute
to good governance in the following ways:
1. It increases the accountability and
responsiveness of the government.
2. It makes government programmes
more effective and sustainable.
3. It enables the poor & marginalised to
influence public policy to improve their
lives.
4. It makes people better appreciate
that hard choices need to be made.
Such awareness promotes maturing of
democracy.
5. It transforms a representative
democracy into a participative
grassroots democracy.
6. It changes the image of citizens from
merely recipients of development into
the active participants in the process
of development.
Mechanisms for Citizens’
Participation (5 Forms of
Citizens’ Participation)
Following are the 5 forms of citizens’
participation:
1. Citizens ‘seeking’ information;
2. Citizens ‘giving’ suggestions;
3. Citizens ‘demanding’ better services;
4. Citizens ‘holding’ service providers/
government agencies accountable;
and
5. ‘Active’ citizens’ participation in
administration/decision making.
1. Citizens ‘seeking’ information:
37
• Access to information is a fundamental
prerequisite for ensuring citizens’
participation in governance.
• Recommendation: Citizens’ should be
made aware of their rights under the
Right to Information Act.
2. Citizens ‘giving’ suggestions:
• The citizens’ feedback and suggestions
about new ideas can be of great help
both at the level of policy making and
implementation.
• Recommendations:
» Regular consultation: Listening
to citizens’ voice should be an on-
going process, instead of just during
elections. It could be done through
a suggestion box, public hearings,
surveys, referenda etc.
» Reward: Introduce a system of reward
to acknowledge suggestions that lead
to significant improvement.
» Follow-up action: Concerned
organisations should ensure rigorous
follow-up action on the suggestions
received so that these become a
meaningful exercise.
3. Citizens ‘demanding’ better
services:
• A government organisation’s efficiency
can be best gauged by its responsiveness
to complaints/demands from its clients.
• Recommendations: Every government
organisation must ensure the following:
(i) a fool proof system for registration
of all complaints, (ii) a prescribed
timeline for response and resolution,
and (iii) a mechanism that will monitor
and evaluate to ensure that the norms
prescribed are complied with.
4. Citizens ‘holding’ service
providers/government agencies
accountable:
• Government organisations (which are
meant to serve people) should be made
accountable to people. This will help to
meet the criteria of efficiency, equity
and customer satisfaction.
• Recommendations: Citizens should be
allowed to rate the services provided by
government organisations periodically
by way of:
» Regular citizens’ feedback & survey
and
» Citizens report cards.
Citizen Report Cards (CRC) – Bengaluru
• The Public Affairs Centre, Bengaluru,
presented three Citizen Report Cards
(1994, 1999 and 2003). The objective
of the surveys was to find out how
many users are satisfied with the
public services.
• A comparison of the performance of
different service providing agencies
over the last ten years (i.e. the period
between the three reports) revealed
a significant improvement in the
satisfaction of users of services.
5. ‘Active’ citizens’ participation in
administration/decision making:
• Giving citizens on-going access to
the decision-making process beyond
periodic consultations is a more
mature and intensive form of citizens’
participation in governance, helping
them negotiate with the government
for better policy, plans, projects, etc.
• Recommendations: This should be
done by encouraging:
» Participation of citizens in the
management committees of local
government services such as schools
and hospitals.
38
» Participatory municipal budgeting.
» A mechanism where for some proposals
of public policies, projects laws, citizens
can vote directly through a referendum.
» Whenever there are projects or decisions
which can affect environment or local
community, there should be mandatory
public hearings before approval of such
projects or decisions.
» Social audit etc.
Bhagidari: Citizens’ Participation in
Governance – Delhi
• “Bhagidari”, the Citizens’ Partnership
in Governance, is a means for
facilitating people’s participation in
governance. The initiative launched
in January 2000 and became a
movement in eight years.
• More than 2000 citizens’ groups have
become ‘Bhagidars’ in governance
after participating in various
Bhagidari workshops.
• The “Bhagidari” has not only been
successful in solving their day-to-
day problems but have also been
providing help to public utility
departments in maintenance and
up-gradation of services.
Some examples are:
1. Successful implementation of ‘Say no
to plastic bags’ and ‘No crackers on
Diwali’ campaigns.
2. Switching on/off of streetlights by
Residents Welfare Associations.
Enabling Citizen’s
Participation
While no single mechanism can be
prescribed for encouraging citizens’
participation in governance; in general,
there is a need to create institutionalised
mechanisms for ensuring the same and,
for this to happen, the following steps are
necessary:
1. Each agency should carry a review
of existing mechanisms of citizen’s
participation.
2. Modifying administrative procedures
where necessary.
3. A senior-level officer in each agency
should be given this task. The
performance management reviews
report of senior officers should include
their role in encouraging citizens’
governance participation.
Enabling Participation of
Women
• Women are the focus of many of our
socio-economic programmes.
• However, women find it challenging
to approach and access government
offices/services because of socio-
cultural mores and seclusion norms.
• Recommendation: Government should
take extraordinary measures to obtain
their feedback so that policies affecting
them are based on their ground realities.
Enabling Participation of
Disabled
• A large proportion of the physically
challenged are not even aware of their
entitlements. It is found in one survey
that only about 22% of these own the
prescribed disabilities certificate.
• Recommendations:
» 100% registration of disabled: 100%
registration of all persons of disabilities
must become a reality because this
would ensure early detection and
appropriate remedial actions to remove
hardships faced by them.
» Be proactive (camp approach): This
would require the government to adopt
39
a proactive approach to detect and
register physically challenged persons.
The organisation of camps at the PHC/
village level, as was done in some forest
districts of Orissa at the initiative of a
District Collector, would greatly help
ensure this (refer window of hope).
» Database: There is a need to create
a database of all the Disabilities
Certificate holders, and there should be
integration of the database at District,
State and National levels.
Window of Hope:
• The Mayurbhanj District
Administration (Orissa) realised that
service delivery is highly complex,
costly, and time-taking from the point
of view of Differently-abled Persons
(DAPs). The District Administration
launched an initiative called
‘Window of Hope’ with the following
innovations:
» A Single Window System with
decentralisation of service delivery at
the block level. All facilities provided
free of cost at a ‘camp’ site.
» Mobilisation of funds through
convergence and Public-Private
Partnerships to ensure 100% follow-
up action.
Decentralisation and
Delegation
The Principle of Subsidiarity
• Meaning of the Principle of
Subsidiarity: This principle states that
a central authority should perform only
those tasks that cannot be performed
effectively at a more immediate or local
level.
• Advantages of this principle:
Application of the subsidiarity principle
 has three significant advantages as
follows:
1. Decision making at local level
enhances efficiency, promotes self-
reliance among people at the local
level.
2. Democracy is based on three
fundamental assumptions: (i) all
citizens are equal; (ii) the citizen is
the ultimate sovereign; and (iii) the
citizen can decide what is in his
best interest. Subsidiarity can help
strengthen these foundations of a
democratic society.
3. When people realise the relation
between decisions made and their
consequences at the local level,
people will realise that hard choices
need to be made. Such awareness
promotes maturing of democracy”.
Decentralisation
• Meaning of Decentralisation:
decentralisation is the process of
transferring decision-making power
closer to the people.
• Types of Decentralisation:
» Political decentralisation,
» Fiscal decentralisation, and
» Administrative decentralisation (often
referred to as delegation).
• In its Sixth Report on ‘Local
Governance’, the Commission focused
on political decentralisation and local
bodies’ financial empowerment. In this
report, the Commission would focus on
administrative decentralisation.
• View of New Public Management
(NPM) on decentralisation:
» The concept of the “new public
management” that emerged in the
1990s gave a new perspective to
decentralisation.
» In their book ‘Reinventing Government’,
David Osborne and Ted Gaebler
believed that governments should
be creative, market-oriented,
decentralised, and focused on offering
their “customers” the highest quality
services.
• History of decentralisation in India:

Stage Steps taken to promote decentralisation

• The British Rule in India was highly centralised.
• This changed a bit with the Enactment of Government of
British rule India Act, 1919 and Government of India Act, 1935, which
devolved some powers and functions to the Provincial
Government.
• The enactment of The Constitution of India carried this
process forwards.
Enactment of • Seventh Schedule: it outlined the legislative powers of the
constitution Parliament and the State Legislatures.
• Article 40: mandated the government to organise village
panchayats and empower them with sufficient power.
• These amendments were watersheds in the history of
The 73rd and 74th decentralisation.
Constitutional
Amendments • They gave constitutional status to local bodies with a higher
degree of powers and autonomy.

40
Delegation
• Decentralisation is accompanied by a
delegation.
• Meaning of delegation: Delegation
means entrusting one’s authority
to others and holding that person
responsible for the actions taken.
• Benefits of delegation: According to
Chester Barnard (who first enunciated
the principle of delegation in the
context of effective administration), the
delegation has various benefits, such
as:
» Saves time: Leads to quicker decision-
making; provides more time to superiors
for the constructive review.
» Increases productivity of the
organisation.
» Beneficial for employees: Improves job
satisfaction; grooms and motivates a
successor.
» Makes administration citizen-centric.
• Present status of delegation in Indian
Administration:
» It has been observed that despite
various benefits of delegation, top
policy-makers generally don’t delegate
authority and indulge in micro-
management of routine matters.
» This is due to various barriers which
inhibit the practices of delegation.

• Barriers to delegation:
It is because of the following reasons:
• Superior believes that he can do the task better.
Reluctance by the • Lacks trust in others.
‘superior’ to delegate • Superior feels that subordinates will get the credit which he
deserves.
• Superior finds it difficult to supervise.
It is because of the following reasons:

Reluctance by the • Lack of self-confidence

‘subordinates’ to • Fear of making mistakes.
accept delegation • Because they find it easier to ask than to take their initiative.
• Want to avoid possible criticism from supervisors.

• Recommendations: • Principle and facilitators of delegation:

It should be remembered that:
» As per the principle of subsidiarity,
each government organisation should » Superior will start delegating authority
carry out an adequate delegation of when:
authority.
− Authority is equated with
» In doing so, it should be enunciated responsibility.
that the organisation’s top levels
should essentially focus on policy- − A culture of trust is there, which
making functions, and the field develops when open communication
level functionaries should focus on exists in the organisation.
operational aspects. − Well prescribed standards to

41
 measure and evaluate performance » The Chief Ministers’ office generally has
in advance. a public-grievance cell.

» Subordinates will start accepting

delegation when:
− Risk-taking habits are developed.
− Subordinates are made to feel
important.
− Good performance is rewarded.
− Subordinates are provided with
adequate support.
» Some Chief Ministers hold regular public
hearings and use electronic media to
hear and respond to public grievances.
• District level:
» At the district level, the District
Magistrate is usually designated as the
District Public Grievance Officer.
» In some States, the Zila Panchayats
have also constituted their public
grievance mechanisms.

Grievance Redressal • For corruption complaints: Institutional

Mechanism
Defining a Grievance
• A grievance is any sort of dissatisfaction,
which needs to be redressed.
• It can be real or imaginary, legitimate
or ridiculous, rated or unvoiced, written
or oral.
Grievance Redressal
Mechanisms in India
• National Level:
» Grievances from the public are received
at various points in different Ministries/
Departments in the Government of
India. However, there are primarily two
designated nodal agencies in the Union
Government handling these grievances.
These agencies are:
» Department of Administrative Reforms
and Public Grievances, Ministry
of Personnel, Public Grievances &
Pensions.
» Directorate of Public Grievances,
Cabinet Secretariat.
• State-level:
mechanisms like the Central Vigilance
Commission (CVC) and the Lokayuktas
look into public servants’ complaints of
corruption made by the people.
• Ombudsman: Many organisations, for
example, the Reserve Bank of India,
have set up Ombudsman to look into
grievances.
• For complaints of marginalised
sections: Institutions such the National
and State Human Rights Commissions,
National and State Women’s
Commissions, the National Commission
for Scheduled Castes, and the National
Commission for Scheduled Tribes also
look into the complaints from the public
in their prescribed areas.
Analysis of the Existing
Public Grievance System in
Government of India
The Department of Administrative
Reforms and Public Grievances got a study
conducted to analyse the public grievance
redressal system in the Union Government.
Some of the findings are as follows:
• Meeting less day: To facilitate
interface with the public, Ministries
and Departments have been advised
to observe one day in the week

42
 as a meeting-less day. But most
organisations are not even aware of
this instruction.
• Public Grievance Cells: Public
Grievance Cells have not been
adequately empowered and suffer from
the staff shortage and resources.
• Suo-motu redressal actions: Several
Ministries/Departments do not detect
or note public grievances appearing
in newspapers for suo-moto redressal
actions despite clear instructions on
the subject.
• Awareness among people: Generally,
people are not aware that a redressal
system exists in many government
departments. If people are aware
of it, they have complained against
harassment, waste of time and money,
repeated visits to offices, etc.
• Non-settlement of staff and public
grievances result in the filing of petitions
in the courts on petty issues, leading to
our judicial system’s overburdening.
Recommendations:
• Analysis and Identify Grievance Prone
Areas:
» Government organisations should
proactively engage in a rigorous
and periodic exercise to identify the
grievance prone areas and processes.
» Then the government can take
corrective measures to eliminate the
underlying reason for the generation
of grievances.
• Comprehensive grievance redressal
mechanism: The grievance redressal
mechanism should exist to address
» Public grievances; and
» Grievances of staff members.
43
• Give statutory backing: The Public
Grievance Redressal Mechanism
should be envisaged in a statutory form
on the Right to Information Act, 2005.
This would make it mandatory for all
organisations to pursue the grievance
till their final disposal.
• Designate public grievance officers:
The public grievances officers must be
designated by all public authorities on
the directions of Union and the State
Governments. It should be on the lines
of the Public Information Officers’
specified under the RTI Act.
• Prompt disposal of grievances:
» Fix time limits: These officers should
satisfactorily dispose of all grievance
petitions within thirty days. The officer
will face financial penalties if he fails to
adhere to the time limit.
» Hold Lok Adalats/Staff Adalats for
quicker disposal of grievances.
• Change in attitude through Reward
and punishment: Change in public
servants’ attitude towards redressal of
public grievances by rewarding good
work and punishing the deliberate
negligence.
• Increase awareness among people:
Grievance Redressal Mechanism should
be well publicised.
• Meeting less day: ministries and
departments should observe one day
in a week as a meeting less day.
• Suo-motu redressal actions: Pick up
grievances appearing in newspaper
columns and take remedial action on
them in a time-bound manner.
• Build trust: Citizens must have faith
that they will get justice from them.
Thus deal with every grievance in a fair,
objective and just manner.
Consumer
Protection
Consumer Protection Act, 1986
• The objective of this law: To provide
a “simple, fast and inexpensive
mechanism” to the citizens to redress
their grievances in specified cases.
• Dispute Redressal Commission: The
Act proposes a three-tier quasi-judicial
machinery - National, State and District
levels;
» National Consumer Disputes Redressal
Commission – or in other words
“National Commission”,
» State Consumer Disputes Redressal
Commission or in other words “State
Commission” and
» District Consumer Disputes Redressal
Forum or in other words “District Forum”.
• Consumer protection councils: The
Act also provides that there should be
a Consumer Protection Councils at the
Union, State and District levels. Their
main objectives are to promote and
protect consumers’ rights.
Problems With the Present
Consumer Protection System
1. Delay in the verdict: There have been
instances where the final settlement of
disputes has taken several years. Thus
the ordinary person believes that the
Consumer Forums have become like
civil courts, which take several years to
dispose of even cases involving small
compensation. Some of the reasons for
the delay are:
a. Rigid adoption of procedures laid
down in the CPC, by some District
Forum,
44
b. Liberal grant of adjournments,
c. Delay in appointments of
Chairpersons and Members and
d. Lack of infrastructure.
2. Non-implementation of orders: Even
where orders have been passed, these
are not getting executed on time.
3. Orders are not a deterrent: Orders of
the Forums are not adequately punitive
to act as a deterrent. Therefore,
offenders generally do not take the
consumer Forums seriously.
Recommendations
1. Follow simple procedures:
a. Consumer Forums should remember
that their objective is to give justice
with speed, simplicity, and an
inexpensive manner.
b. It should be reiterated that the
Consumer Forum is not bound to
follow the CPC or the Evidence Act
but only the principles of natural
justice.
c. Thus they should follow simple
procedures instead of lengthy
procedures.
2. Mediation: Apart from this, the option
of mediation should be explored to
dispose of a large number of cases
between the parties.
3. Lok Adalats:
a. Consumer forums may also organise
Lok Adalats on the last working day
of each week.
b. Lok Adalats can settle many
consumer disputes effectively.
c. It should be stipulated by law that
cases up to a particular value, say
Rupees two lakhs, should first be
referred to Lok Adalats.
Consumer
Protection Act, 2019
The new Consumer Protection Act, 2019,
replaced the earlier Consumer Protection
Act, 1986. It aims to empower consumers
and help them protect their rights through
its various notified Rules and provisions.
Salient Features of the Bill
• Definition of consumer:
» A consumer is defined as a person who
buys any goods or avails a service for
consideration.
» It does not include a person who obtains
a good for resale or a good or service
for commercial purpose.
» It covers transactions through all modes,
including offline and online through
electronic means, teleshopping, multi-
level marketing or direct selling.
• The Act also defines consumer rights
as:
» Right to have protection from
marketing of goods and services which
are hazardous and can cause harm to
life and property.
» Right to have the information about
the quality, quantity, potency, purity,
standard and price of goods or services.
» To be assured of access to a variety of
goods or services at competitive prices.
» To seek redressal against unfair or
restrictive trade practices.
• Central Consumer Protection Authority
(CCPA):
» The Act provides for establishing the
Central Consumer Protection Authority,
CCPA to promote, protect, and enforce
consumers’ rights.
» If some advertisements are misleading,
then CCPA can issue safety notices for
45
goods and services, order refunds, and
recall goods.
» There will be an investigation wing
in CCPA, headed by a Director-
General, which may conduct inquiry or
investigation into such violations.
» The CCPA may impose a penalty on a
manufacturer or an endorser of up to
Rs. 10 lakh and imprisonment for up
to two years for a false or misleading
advertisement, and the case of a
repeated offence, the fine may extend
to Rs. 50 lakh and imprisonment of up
to five years.
• Consumer Disputes Redressal
Commission: CDRCs will be set up at
the district, state, and national levels.
A complaint can be filed with CDRCs
concerning Unfair or restrictive trade
practices:
» Defective goods or services;
» Overcharging or deceptive charging;
and
» The offering of goods or services for sale
may be hazardous to life and safety.
• Appeals: Complaints against an unfair
contract can be filed only at the State
and National levels. The State CDRC will
hear appeals from a District CDRC, and
the National CDRC will hear appeals
from the State CDRC. The Supreme
Court will be the final appealing
authority.
• Mediation: The act provides for
reference to mediation by Consumer
Commissions wherever scope for early
settlement exists, and parties agree for
it.
» Mediation Cells to be attached to
Consumer Commissions. Mediation to
be held in consumer mediation cells.
» The mediators’ panel to be selected
by a selection committee consisting
of the President and a member of the
 Consumer Commission.
» No appeal against settlement through
mediation.
• Impact on E-commerce:
» It will have the rules for the prevention
of unfair trade practice by e-commerce
platforms.
» They will also be required to include the
information related to return, refund,
exchange, warranty and guarantee
and the country of origin etc., which
is important for the customer to make
an informed decision during the pre-
purchase stage on its website.
» It is mandatory for the e-commerce
platforms to receive any consumer
complaint within 48 hours and redress
the complaint within one month from
the date of receipt. There should
be a grievance officer for consumer
grievance redressal.
» It is mandatory for the sellers to take
back goods or withdraw service or pay
refunds if such goods or services are
defective, deficient, delivered late.
» The e-commerce companies are
prohibited from manipulating the price
of goods or services.
• Product liability: This means the liability
of a product manufacturer, service
provider or seller to compensate a
consumer for any harm or injury caused
by a defective good or deficient service.
A compensation claim may be made
for any harm caused, including:
» Property damage;
» Personal injury, illness, or death; and
» Mental agony or emotional harm
accompanying these conditions.
Issues with the Act
• There is an ambiguity in the Act
46
whether a judicial member will be part
of the Consumer Disputes Redressal
Commissions or not. If the Commissions
were to have members only from the
executive, the principle of separation of
powers may be violated.
• It does not specify whom the Consumer
Protection Councils will advise. If the
Councils advise the government, it is
unclear in what capacity such advice
will be given.
• The definition of ‘consumer rights’ in the
Act is not simple and straightforward
so that consumers at least know what
their entitlements are.
Conclusion
• As mentioned above, in order to protect
buyers from traditional sellers and the
new e-commerce retailers/platforms,
many amendments are made in the
new Act.
• The Act addresses consumer
concerns arising from technological
advancements in the marketplace,
removes logistical hurdles for the
consumers while initiating action, and
broadens the scope of grounds for
action.
Special Institutional
Mechanisms
Introduction
In order to safeguard the rights of
some categories of citizens who are
more vulnerable than others, various
commissions have been constituted. Some
of these commissions are as follows:
• National Commission for Scheduled
Castes (The Indian constitution provides
for constituting it);
• National Commission for Scheduled
Tribes (The Indian constitution provides
 for constituting it);
• National Human Rights Commission;
• National Commission for Women;
• National Commission for Protection of
Child Rights;
• National Backward Classes
Commission;
• National Minorities Commission; and
• National Consumer Disputes Redressal
Commission.
Issues Faced by These
Commissions
1. Problem of Coordination and
over-lapping:
• At the national level, there exist multiple
commissions. There also exists state-
level Commissions to redress similar
grievances.
• However, Commissions’ multiplicity
could lead to overlapping jurisdictions
and even duplication of efforts in
dealing with complaints.
• Recommendations: The following steps
should be taken to solve the issue:
» A standard format should be created
for complaints making before various
statutory Commissions.
» An electronic database must be created
prospectively by every statutory
Commission, and there should be
networking between each database to
facilitate the comparison of data.
» In the smaller States, a single ‘multi-role’
Commission may be constituted, which
would carry out the specific functions
of all the constitutional and statutory
Commissions at the State level.
2. Reducing the number of
complaints:
47
• A sound citizen-centric governance
system should ensure that large
numbers of complaints do not arise.
• Recommendation: Preventive measures
would also have to be taken to eliminate
cases of serious human rights violations
such as custodial deaths, torture etc.
3. Parliamentary oversight:
• These commissions are mandated only
to make recommendations in their
Reports which are to be laid before
Parliament or the State Legislatures or
both; their effectiveness depends on
the fate of such recommendations, i.e.
on their final implementation.
• There is a substantial time lag
between submitting the reports by
the Commissions and their placement
before Parliament.
• Also, there is an issue of non-acceptance
of several recommendations of these
Commissions.
• Recommendation:
» There is a need for creating a separate
Parliamentary Standing Committee for
deliberating on the Annual Reports of
these specific Commissions.
» This way, parliamentary oversight would
help enhance accountability on the one
hand and effective implementation of
the Commission’s recommendations.
Process
Simplification
Simplifying Internal
Procedures
• Most government organisations’
working is based on the Weberian
principle of decision-making governed
 by rules and regulations to ensure
objectivity and uniformity.
• These rules and regulations or
procedural manuals have been
formulated over a long period - with
many processes continuing from the
colonial period.
• But these age-old statutes and
regulations governing the manual
process will not be suitable for
governing the electronic procedures,
which require altogether a different set
of legal framework and guidelines to
make the e-governance successful.
• Recommendations:
» Thus, there should be a roadmap, to be
prepared by all Ministries/Departments,
which will include modifications in rules,
regulations and laws. The objective of
this roadmap will be the simplification
of the processes.
» There should be a time limit of two years
for completion of the entire process.
Using Modern Technology
• The Commission has dealt with this
subject at great length in its Eleventh
Report on e-Governance.
• Reduce red tape, delays, and
inconveniences by technology
interventions, such as the use of modern
e-Government tools, strategies, and
instruments.
Supervision
• Meaning of Supervision: Supervision
implies oversight and superintendence
over the performance of others in an
organisation.
• How is it carried out? It is carried out
through directions and guidance,
setting targets, helping in problem-
solving, monitoring performance
through inspections, checks and
48
verifications, receipt of reports, etc.
• What is the present status of
supervision? Several government
offices lack better supervision due to
incompetence at the supervisory levels
and the officers’ reluctance to supervise
their subordinates’ work in the real
sense of the term.
• Recommendations: Supervisory
role of all officers needs to be re-
emphasised. Also, in the officer’s Annual
Performance Report, while rating his/
her performance, his/her subordinates’
performance should be inputted.
Monitoring and Evaluation
“What is not monitored never gets done.”
Monitoring:
• What is Monitoring? It is the process
of information collection about an
organisational unit’s performance to
ensure that the activities are carried
out as mandated. In other words,
monitoring deals with outputs.
• What is the present status of
monitoring? Most of the monitoring tools
like periodic reporting by subordinates,
formats for inspections etc., are mainly
based on process parameters. These
tools seldom capture the extent to
which citizens are satisfied.
• Recommendation: The feedback from
citizens should be used to monitor the
performance of government offices.
Evaluation:
• What is Evaluation? The evaluation
assesses the impact of the activities of
an organisational unit. In other words,
evaluation is concerned with outcomes.
• What is the present status of
evaluation? While monitoring within
organisations does take place, impact
evaluations are generally rare.
• Recommendation: Each government
office with a public interface should
have an external evaluation conducted
annually and those undertaken by that
office itself.
Rationalising Procedures
The Commission undertook a detailed
examination of three different processes
and has suggested a framework for making
them more citizens friendly.

Process Recommendation

The Ministry of Road Transport and Highways should

Issue of Driving
constitute an expert group to devise practical and objective
License
competence tests while issuing a driving license.

Registrars would be encouraged to adopt a more proactive

Registration of
approach. They should be encouraged to register each case of
Births and Deaths
birth and death within their jurisdiction, irrespective of whether
and
they have received a formal application or not.

Building Licenses All state governments and local bodies should adopt simplified
and Completion procedures to grant building permits based on owners /
Certificates registered architects’ self-certification.

49
 CHAPTER - 5

E-GOVERNANCE

Introduction interchange of information and

assimilation of various stand-alone
services between government-to-
• Electronic Governance (e-Governance) business (G2B), government-to-
involves the use of information and customer (G2C) and government-to-
communication technology (ICT) government (G2G).
for delivering government services,
communication transactions,
• Key considerations in e-Governance
are:

Need of e-Governance services to the general public.

• e-Governance is the use of ICT in
• Exchange of information; transforming and supporting functions
• Faster and more efficient delivery of and structures of the system.
public services;
• e-Government is a one-way
• Improving internal efficiency; communication protocol. On the
• Reducing costs / increasing revenue; contrary, e-Governance is a two-way
communication protocol.
• Re-structuring of administrative
processes; and
• Improving quality of services.
Objectives of
e-Governance
e-Governance Vs.
1. Better service delivery to citizens:
e-Government By enhancing citizens' access to
government services and designing
• e-Government is the use of ICT in service delivery mechanisms that cater
government operations, as a tool to for all sections of society, including
increase the outreach of the government vulnerable groups.

50
2. To build an informed society: An
informed society is an empowered
society. Thus, providing access to all,
to every piece of information of public
importance is one of its basic objectives.
3. To increase Government & Citizen
Interaction: In the physical world,
the Government and Citizens rarely
interact. E-Governance aims to get
feedback from the people and to make
the Government aware of people's
problems.
4. Improve efficiency within Government:
use of technology will help improve
inter-governmental interactions, i.e.
between centre-state and inter-states.
5. Enhancement in citizen participation:
E-governance aims to restore
democracy by improving citizen
participation in the Governing process,
access to information by improving
the feedback and participation of the
citizens in the decision making.
6. To bring transparency and
accountability in the governing
process: It makes the Governing process
transparent by making the Government
data available to the people for access.
It is to make people know the policies
and decisions of the Government.
7. To make Government accountable:
Government is answerable for every
decision taken by it. E-Governance
makes the Government more
accountable by bringing transparency
and making citizens more informed.
8. To reduce cost of Governance: It also
aims to reduce governance cost by
cutting down on expenditure related to
physical delivery of services.
9. To reduce reaction time of the
Government: Due to red-tapism, the
Government takes a long to reply to
people's queries. E-Governance reduces
the reaction time of the Government to
the people's problems and queries.
51
Types of Interactions
in e-Governance
1. G2G (Government to Government):
a. ICT is used to restructure the
governmental processes and
increase the flow of information
and services within and between
different entities.
b. This kind of interaction can be
horizontal (between different
government agencies and different
functional areas in an organisation),
or vertical (between national,
provincial and local government or
between different levels within an
organisation).
c. Primary objective is to increase
performance, efficiency and output.
2. G2C (Government to Citizens):
a. An interface is created between
citizens and government which
expands the accessibility and
availability of public services and
also advances the quality of services.
b. It gives citizens the option regarding
when to interact, from where to
interact and how to interact with the
government.
3. G2B (Government to Business):
a. E-Governance tools are utilised to
help the business community to
seamlessly interact with government.
Aim is to cut red tape, save time and
reduce operational costs
b. The G2B initiatives can be
transactional (licensing, permits,
procurement), revenue collection,
promotional and facilitative, such as
in trade and investment.
4. G2E (Government to Employees):
a. Like any organisation, the
government has to interact with
its employees on a continuous
 basis. Use of ICT tools makes these
interactions fast and efficient and
also increases satisfaction levels of
employees.
Benefits of
e-Governance
1. Speed: Technologies such as the
Internet and Cell Phones have reduced
the time taken in communication.
2. Greater convenience: with the help of
e-governance, people can access the
government services from anywhere at
any time.
Evolution of
e-Governance in
India
Initial Steps Taken
• The establishment of the Department
of Electronics in 1970 was the first step
towards electronics governance in
52
3. Cost reduction and revenue growth:
Paper-based communication involves
numerous stationary, printers etc. which
increases expenditure. The Internet
and Phones on the other hand makes
communication cheaper.
4. Clarity: Citizens can see the Government
information whenever they want to see
thus bringing clarity. It is because every
piece of information of the Government
is uploaded on the internet.
5. Accountability and transparency:
The Governing process automatically
becomes accountable if it is made
transparent.
India.
• National Informatics Centre (NIC)
established in 1977, launched the
District Information System program
to computerize all district offices in the
country.
• The main thrust for e-governance was
provided by the launching of NICNET
in 1987 – the national satellite-based
computer network.
Stages of
e-Governance
The following stages of E-governance were
outlined by the United Nations E-Readiness
Survey:
1. Emerging Presence: This Stage
considers online availability of limited
& basic information which involves
an official website and few Web
Pages. Links to various ministries and
departments may not be available.
Most of the information remains static
without any options for citizens.
2. Enhanced Presence: At this stage the
Government provides more public
information such as policies, laws,
reports, newsletters. This stage might
allow users to search the information
within the documents. But there is no
interactivity as the information is only
flowing towards the citizens rather than
from citizens to Government.
3. Interactive Presence: Government
initiates interactivity in their websites
such as availability of downloadable
forms & applications for payment of
taxes, bills and renewal of licenses.
4. Transactional Presence: This Stage
allows two-way interaction between
the Government and citizens. It includes
options such as applying for ID cards,
birth certificates, passports, license
renewals and allowing the citizen to
submit forms and applications online
24/7.
5. Networked Presence: It is characterized
by an integration of G2C, G2G and
G2B interactions. The government
encourages citizen participation, online
53
participatory decision-making and
involves the society in a two-way open
dialogue.
Four stage evolution of
e-governance:
1. Computerisation;
2. Networking;
3. Online presence; and
4. Online interactivity.
• Computerisation: The personal
computers were available in many
government offices. Many departments
of government started using personal
computers and programmes like word
processing, data processing etc.
• Networking: In this stage, many
government offices were interconnected
through a network. This facilitated
the inter-departmental network for
information sharing and flow of data.
• Online presence: With increasing the
network capabilities of government
offices, need was felt to have an online
presence of government departments.
Websites of government departments
came into existence. These websites
provided basic information to the
citizens such as reports, surveys,
schemes etc.
• Online interactivity: The two-way
communication was established in this
stage where people could send their
feedback to the government through
an online portal. This changed the role
of citizens merely from the recipient of
services to the active involvement of
citizens in governance.
Various Government
Initiatives Towards
e-Governance:
• Ministry of Electronics & Information
Technology (MeitY), in association
with the Department of Administrative
Reforms and Public Grievances
(DARPG) and the Government of
Meghalaya, organized the 22nd
National Conference on e-Governance
(NCeG) 2019 in 2019 at Shillong.
• ‘Shillong Declaration’ states that
the Government of India and State
Governments would collaborate to
improve the citizen’s experience with
Government services by promoting
the timely implementation of India
Enterprise Architecture (IndEA) and
implementing a single sign-on for
interoperability and integration among
e-Government applications throughout
the country.
• The National e-Governance Plan
permitted in 2006 has made steady
progress through Mission Mode Projects
and Core ICT Infrastructure.
• This initiative provides the intensified
impetus to promote inclusive growth
54
that covers electronic services,
products, devices, manufacturing and
job opportunities.
• Under the National e-Governance
Action Plan (NeGP) (which is now
subsumed under Digital India) core
infrastructure components such as
State wide Area Networks (SWANs),
State Data Centres (SDCs), Common
Services Centres (CSCs), e-District,
State e-Governance Service Delivery
Gateway (SSDGs) and Capacity
Building are being implemented.
• The focus of the e-Kranti is to expand
the portfolio of Mission Mode Projects
(MMPs) in e-Governance under
various Government Departments
by undertaking Government Process
Reengineering (GPR), introducing the
latest technologies such as Cloud and
mobile platform, workflow automation
and focus on the integration of services.
• Jeevan Pramaan is an Aadhaar based
Biometric Authentication System
for Pensioners. The Prime Minister
inaugurated the Jeevan Pramaan in
2014. The scheme ensures the validity
of Digital Life Certificates without
requiring the pensioner to appear in
person before his Pension Dispensing
Authority (PDA).
 CHAPTER - 6
CORPORATE GOVERNANCE
Definition
• Generally, corporate governance refers
to the practices by which organizations
are controlled, directed and controlled.
This concept is related to management
and control of the office structure.
• The prestigious Cadbury Committee
described "Corporate Governance" in its
report (corporate finance management,
published in 1992) as "the system by
which companies are administered and
regulated".
• Corporate governance, in simple words,
is the office administration which is
fair, ethical and transparent. The aim
is to provide maximum benefits to the
shareholders of the company.
Principles of
Corporate
Governance
• Accountability and Transparency:
The Code establishes the Company's
Board of Directors' responsibility to
all shareholders in compliance with
applicable law, as well as providing
instructions to the Board of Directors
in making decisions and overseeing
the executive bodies' activities. The
Company is required to provide
timely and accurate disclosure of all
relevant facts relating to its operations,
including its financial situation, social
and environmental indicators, results,
ownership structure, and governance, as
well as free access to such information
for all stakeholders.
55
• Shareholder rights and equitable
treatment: Organizations should
respect the rights of shareholders and
assist shareholders to exercise those
rights. They can help shareholders
to exercise their rights through open
and effective communication and
by encouraging shareholders to
participate in regular meetings.
• Fairness: The Company commits to
safeguarding shareholders' interests
and ensuring that all shareholders are
treated equally. The Board of Directors
must offer effective remedies to all
shareholders who have had their rights
violated.
• Interest of other stakeholders:
Organizations should recognize that
they have legal, contractual, social, and
market obligations to non-shareholder
stakeholders, including employees,
investors, lenders, suppliers, local
communities, customers and policy
makers.
• Responsibility: The Business
acknowledges the interests of all
interested parties to the degree allowed
by law, and aims to work with them for
their own growth and financial stability.
• Board roles and responsibilities:
The Board needs sufficient skills and
understanding to review and challenge
management performance. It also
requires the right size and the right levels
of independence and commitment.
• Integrity and ethics: Integrity should
be a prerequisite for the selection
of company executives and board
members. Organizations must adopt
the code of conduct for directors and
their officers who promote sound
decision-making.
• Disclosure and transparency:
Organizations should clarify and make
clear, the roles and responsibilities
of the board and management, in
order to provide stakeholders with a
level of accountability. They should
also implement procedures to ensure
autonomy and protect the integrity of
the company's financial reporting.
Corporate
Governance
Initiatives in India
• Following the recommendations of
the Kumarmangalam Birla Committee
Report, the SEBI created the first
structured regulatory structure for listed
companies explicitly for corporate
governance in February 2000. Clause
49 of the Listing Agreement codified it.
• The Ministry of Corporate Affairs (MCA)
and the Securities and Exchange Board
of India have also taken corporate
governance measures in India (SEBI).
• SEBI also enforces corporate
governance practises through a variety
of rules. The Securities Contracts
(Regulation) Act of 1956 is one of them.
• The Ministry of Corporate Affairs
appointed the Naresh Chandra
Committee to investigate various
corporate governance problems in
2002.
• The SEBI developed the first formal
regulatory structure for listed firms,
specifically for corporate governance,
in February 2000.
Mechanisms and
Controls
56
Internal Corporate Governance
Controls
Internal company management controls
monitor activities and take corrective
action to achieve organizational goals.
Examples include:
• Board of director’s supervision: The
board of directors, with its statutory
authority to hire, fire and compensate
senior executives, protect investment
funds. Ordinary board meetings allow
problems that can be identified,
discussed and avoided.
• Internal control systems and internal
auditors: Internal control systems are
policies used by the business board
of directors, the audit committee,
management and other staff to provide
sound assurance of the business's
objectives relating to reliable financial
reporting, efficiency, and compliance
with laws and regulations.
• Balance of power: The simplest balance
of power is very common; it requires the
President to be a different person from
the Treasurer.
• Salary: Work-based income is linked to
a specific portion of one's income and
performance.
• Monitoring of major shareholders and
/ or banking and other major lenders:
With their large investment in the firm,
these stakeholders have incentives,
including the right level of control and
power, to monitor executives.
External Corporate
Governance Controls
Corporate governance controls include
the control of external stakeholders on the
operations of the organization. Examples
include:
• Competition
• Credit agreements
• Auditing and evaluation of performance
information (especially financial
statements)
• Government regulations
• Labour market management
• Media pressure
• Takeovers
• Law firms
Importance
of Corporate
Governance
• Changing Ownership Structure: The
ownership structure of businesses
has shifted dramatically in recent
years. In most major corporations,
public financial institutions, mutual
funds, and other related bodies are
the single largest shareholders. As a
result, they have effective control over
company's management. They compel
management to follow corporate
governance procedures.
• The Importance of Social Commitment:
Today, social responsibility is given
greater importance. The Board of
Directors must protect the rights of
customers, employees, shareholders,
suppliers, local communities, etc.
This can only happen if they use co-
management. This is conceivable only
if they follow corporate governance
procedures.
• Growing Number of Scams: In
recent times, many scams, frauds and
corruption practices have taken place.
It occurs in stock markets, banks,
financial institutions, companies, and
government offices. To avoid these
scams and money laundering, many
companies have started to go for
corporate governance.
• Indifference by Shareholders:
57
Generally, shareholders no longer
work for the management of their
companies. They attend only the
annual general meeting. Therefore,
directors misuse their power to benefit
themselves. Therefore, there is a need
for corporate governance to protect all
corporate stakeholders.
• Globalisation: Today many large
companies sell their goods in global
markets. Therefore, they should attract
foreign investors and foreign clients.
And they have to follow the rules and
regulations of other countries. All of this
requires teamwork. Without corporate
governance, it is almost impossible to
enter, survive and thrive in the global
market.
• Takeovers and Mergers: Today, there
are many takeovers and mergers.
Corporate governance is thus needed
to protect the interest of all the parties
during acquisitions and mergers.
• SEBI: It made corporate governance
compulsory for certain companies
to protect the interest of all the
stakeholders.
Challenges
of Corporate
Governance in India
1. India's ever-expanding corporate
governance structure is still developing.
Old rules and regulations do not meet
the requirements of time. There has
been consistent resistance from the old
corporates to adopt the new principles
of corporate governance.
2. Rising Non-Performing Assets of
companies.
3. Enforcement of existing regulations is
a major problem. Many government
departments, many bureaucracy levels
and complex power balances between
 them, prevent the enforcement of strict
laws.
4. India's corporate sector has never been
more successful in achieving better
governance standards. There is a
proliferation of businesses promoted by
families. In many board rooms in India,
the topic of CEO succession is rarely
discussed.
5. Civil society organizations are not
yet fully aware of the importance of
corporate governance; hence the
investment climate in India has been
silenced. As experience has shown,
greater investor scrutiny can bring
about significant improvements in
corporate governance.
Regulatory
Framework
on Corporate
Governance in India
1. The Companies Act, 2013 contains
provisions relating to board constitution,
board meetings, independent directors,
general meetings, transactions between
related parties, disclosure requirements
in financial statements, etc.
2. Securities and Exchange Board of India
(SEBI) is a regulatory authority having
jurisdiction over listed companies ,
which issues guidelines to companies
to ensure protection of investors.
3. Standard Listing Agreement of Stock
Exchanges exists for companies whose
shares are listed on the stock exchanges.
4. Institute of Chartered Accountants of
India (ICAI) is an autonomous body,
which issues accounting standards,
provides guidelines for disclosures of
financial information.
5. Institute of Company Secretaries of
India (ICSI) is an autonomous body,
58
which issues secretarial standards in
terms of the provisions of the New
Companies Act.
The Companies Act,
2013
• The Government of India introduced the
Companies Act, 2013 ("New Companies
Act"), which replaces the Companies
Act of 1956. The New Act focuses on
corporate governance through board
and board processes.
• The New Act deals with corporate
governance through the following
provisions:
» The New Companies Act introduced
a major change in the structure of
directors' boards.
» Every company is required to appoint
one (1) director to its board.
» Appointed directors will no longer be
treated as independent directors.
» Listed companies and certain categories
of public companies are required to
appoint independent directors and
female directors to their boards.
» The New Companies Act for the first
time covers the functions of directors.
» Listed companies and other public
companies will be required to appoint
at least one female director to its board.
• It mandates following committees to
be constituted by board for prescribed
class of companies:
» Audit committee;
» Nomination and remuneration
committee;
» Stakeholders relationship committee;
and
» Corporate social responsibility
committee.
The Companies
(Amendment) Bill,
2020
• The Companies Amendment Bill
(Amendment) of 2020 was passed by
Parliament in 2020. The Bill pursues to
amend the Companies Act, 2013.
• Producer companies: Certain provisions
from the Companies Act, 1956 continue
to apply to producer companies, under
the 2013 Act. This includes providing
for their membership, conducting
meetings, and maintaining accounts.
Manufacturers include companies that
specialize in the production, marketing
and marketing of agricultural products,
as well as the sale of products from
the domestic industry. The Bill removes
these conditions and adds a new
chapter to the Act with similar provisions
to producer companies.
• Changes to offences: The Bill creates
three changes. First, it removes the
penalty for certain offenses. Second,
it removes the imprisonment in certain
cases. Third, it reduces the amount of
the fine paid in certain cases.
• Direct listing in foreign jurisdictions:
The Bill gives the federal government,
the power to allow certain classes of
public companies to write security
lists (as may be established) in certain
foreign countries.
• Exclusion from listed companies: The
Bill authorises the central government,
in consultation with the SEBI to
exclude companies that exclude
certain categories of security from the
definition of "listed company".
• Remuneration to non-executive
directors: The Act allows specific
arrangements for the payment of
remuneration to company’s executive
directors (including the managing
59
director and other full-time directors), if
the company's earnings are insufficient
or non-existent in a given year. This
clause is also extended to non-executive
directors, including
directors, under the Bill.
independent
• Beneficial shareholding: If an
individual holds a beneficial interest
in a company of at least 10% shares
or exercises substantial influence or
control over the company, he must
make a declaration of his interest to the
company under the Act. The Bill gives
the central government the authority to
exempt any group of citizens from these
provisions if it is deemed appropriate in
the public interest.
• Exemptions from filing resolutions:
Certain resolutions must be submitted
with the Registrar of Companies under
the Act. This includes decisions by
the company's Board of Directors to
borrow money or grant loans. Banking
firms, on the other hand, are exempted
from filing resolutions that offer loans
or provide guarantees or security for
loans. This exemption has been applied
to non-banking financial companies
and housing finance companies.
• Periodic financial results for unlisted
companies: Bill gives the government
the authority to compel unlisted firms
to prepare and file, quarterly financial
statements, as well as to complete an
audit or analysis of those results.
• Corporate Social Responsibility
(CSR): Bill exempts companies with
a CSR liability of up to Rs 50 lakh per
annum from creating CSR Committees.
Furthermore, companies which spend
more than their CSR commitment in a
fiscal year, will apply the difference to
all fiscal years' CSR obligations.
• Benches of NCLAT: The bill proposes
that the National Company Law
Appellate Tribunal be divided into
benches. These will usually meet in New
Delhi or another location.
Corporate Social
Responsibility (CSR)
• "A company's sense of obligation
towards the society and environment
(both ecological and social) in which it
operates", is how CSR is described.
• Companies show their citizenship by
(1) eliminating waste and emissions, (2)
contributing to educational and social
services, and (3) generating sufficient
returns on the resources they employ."
Indian Scenario: Evolution
• CSR developed over a period of time
when industrial families such as Tata,
Birla, Godrej, and others had an interest
in such activities in the 19th century.
These behemoth corporations engaged
in a range of CSR practises without
regard to legal requirements, using it as
a means of fostering goodwill, prestige,
and brand building.
• Later, during the period of independence,
Mahatma Gandhi persuaded various
industrialists to follow socio-economic
development practises, as a result of
which, various corporations established
training centres and educational
institutions such as schools and
colleges.
• CSR was eventually given a boost in India
with the implementation of labour and
environmental protection legislation,
and Public Sector Undertakings were
asked to take on CSR initiatives. This
is how this practise grew and matured
into a long-term corporate plan.
• Following an amendment to the
Companies Act, 2013, in April 2014, India
became the first country in the world
to make corporate social responsibility
(CSR) mandatory. As part of any CSR
enforcement, businesses should invest
their income in areas such as education,
60
poverty, gender equality, and hunger.
• The new Companies Act, 2013 makes it
obligatory for profit making companies
reporting Rs.5 crore or more profits in
the last three years, to spend at least
two percent of their average profits
towards CSR activities.
Arguments in Favour for It
• To quote Chanakya “The meritorious
should give away in charity all that they
have in excess of their needs. By charity
only Karna, Bali and King Vikramaditya
survive even today”.
• Not only government policy, but also
businesses should be responsible in
addressing social problems.
• They have an obligation to give back to
society.
• Industries have contributed to polluting
the environment, thus should also clean
it.
• Companies will benefit from it:
corporations increase long-term profits
by operating with a CSR perspective.
Consumers are loyal and ready to spend
more on retailers that support charity.
Its Critique
• CSR is merely a gimmick, or an excuse
to escape governments' position as
watchdogs over powerful multinational
corporations.
• Companies engage in CSR projects
to divert attention away from ethical
issues raised by their core operations.
• Misdirection: CSR is often used by
businesses to divert public attention
away from other, more negative business
practises. McDonald's Corporation,
for example, marketed its partnership
with Ronald McDonald House as CSR,
despite the fact that its meals have
been accused of encouraging unhealthy
 eating habits.
• Controversial industries: Tobacco,
alcohol, and munitions companies, all
produce goods that harm their customers
and/or the environment. Companies in
this industry can participate in the same
philanthropic activities as companies
in other industries. This duality makes
evaluating certain companies in terms
of CSR more difficult.
Provisions of CSR under
Companies Act, 2013
• The new Companies Act, 2013 makes it
obligatory for profit making companies
reporting Rs.5 crore or more profits in
the last three years to spend at least
two percent of their average profits
towards CSR activities.
• Also, the CSR activities must be
commenced with respect to certain
areas which are listed under Schedule
VII of the 2013 Act, some of which
include:
» Actions to eradicate Hunger, insecurity,
and malnutrition-related practices.
» Preventive healthcare, education, and
gender equality are all promoted.
» Creating homes for women, orphans,
and the elderly.
» Take steps to address social and
economic inequality.
» Ensure environmental sustainability,
ecological harmony, and animal
welfare.
» National heritage, art, and culture are
all protected.
» Taking steps to help veterans of the
armed forces, war widows, and their
dependents.
» Provide training to promote rural,
nationally recognized, Paralympics or
Olympic sports.
61
» Make a contribution to the Prime
Minister's National Relief Fund or any
other Central Government-created
fund for the socioeconomic growth,
relief, and welfare of SC, ST, OBCs,
minorities, and women.
High Level
Committee on
Corporate Social
Responsibility (CSR)
• Injeti Srinivas, Secretary (Corporate
Affairs), presented Nirmala Sitharaman,
Union Minister of Corporate Affairs, with
the report of the High Level Committee
on Corporate Social Responsibility
(CSR).
• Historical context: Injeti Srinivas,
Secretary, chaired the High Level
Committee on CSR, which was formed
in October of 2018. (Corporate Affairs)
• Mission: To assess the current CSR
framework and make recommendations
for improving the CSR ecosystem,
including tracking and evaluating
outcomes.
Recommendations of the
Committee:
• Allowing CSR expenses to be deducted
from taxes.
• A provision for carrying forward unspent
balances for a duration of three to five
years.
• Introducing an SDG plus system to align
Schedule 7 with the SDGs (which will
include sports promotion, senior citizen
welfare, differently abled individual
welfare, disaster management, and
heritage protection).
• Introducing impact assessment studies
 for CSR obligations of 5 crore or more.
• Balancing local preferences with
national priorities.
• Implementation organisations must
register on the MCA registry.
• Creating a CSR exchange site that
connects donors, beneficiaries, and
organisations.
• Including CSR in social benefit bonds.
• Promoting social impact firms and
third-party evaluations of major CSR
projects.
• Companies with a CSR requirement of
less than Rs. 50 lakh may be exempted
from forming a CSR Committee.
• Non-compliance with CSR requirements
may be made a civil offence and
subjected to a penalty regime.
Uday Kotak
Committee
on Corporate
Governance
Background:
• The committee was constituted in June
2017. It submitted its report to SEBI in
October, 2017.
• In March 2018, The Securities and
Exchange Board of India (SEBI) accepted
some of the recommendations made by
Uday Kotak Committee on Corporate
Governance.
• In March 2018, out of the 80 odd
recommendations:
» 40 were accepted without modification
by SEBI,
» 15 were accepted with modifications,
» 8 were referred to government and
62
other departments and
» About 18 suggestions were rejected.
Recommendations Accepted
without Modification by SEBI:
• The cumulative number of listed
company directorships will be reduced
from ten to eight by April 1, 2019, and to
seven, by April 1, 2020.
• Increasing the number of independent
directors eligible.
• New duties have been assigned to the
Audit Committee, the Nomination and
Remuneration Committee, and the Risk
Management Committee.
• The use of funds from a QIP/preferential
issue must be disclosed.
• Auditor credentials, audit fee, reasons
for auditor resignation, and so on.
• Directors' expertise/skills must be
disclosed.
• Greater accountability of related party
transactions (RPTs), as well as the
potential for related parties to vote
against RPTs.
• Beginning in FY 2019-20, consolidated
quarterly reports will be required to be
disclosed.
• Increased responsibilities for listed
organisations in relation to subsidiaries.
• Under the SEBI LODR Regulations,
listed entities and their information
unlisted subsidiaries will be required to
conduct a secretarial audit.
Recommendations accepted
with modifications:
• By April 1, 2019, there must be at least 6
directors in the top 1000 listed entities
by market capitalization, and by April
1st 2020, there must be at least 6
directors in the top 2000 listed entities.
• At least one female independent
director in the top 500 publicly traded
companies by market capitalization
by April 1st 2019, and in the top 1000
publicly traded companies, by April 1,
2020.
• Distinction between the Chairman
and the CEO/MD, (to be initially made
applicable to the top 500 listed entities
by market capitalization w.e.f. April 1,
2020) Quorum for Board meetings in
the top 1000 listed entities by market
capitalization by April 1st , 2019 and
in the top 2000 listed entities by April
1, 2020 (1/3rd of the Board's size or 3
members, whichever is higher).
• Annual General Meetings (AGMs) to
be kept by the top 100 organisations
within 5 months of the end of FY 2018-
19, i.e. by August 31st , 2019.
• Starting in FY 2018-19, webcasting of
AGMs will be required for the top 100
companies by market capitalization.
• Royalty/brand fees to related parties
exceeding 2% of consolidated turnover
include shareholder approval (instead
of the proposed 5 percent).
Recommendations Under
Considerations:
• SEBI has also agreed to refer such
recommendations to other agencies
(e.g., the government, other regulators,
professional bodies, etc.) because the
issues raised are relevant to them.
• Strengthening the position of the ICAI,
internal financial controls, adoption of
Indian Accounting Standard (Indo-AS),
treasury stock, governance aspects of
PSEs, and other recommendations are
among them.
63
Comment:
• The committee report came in the
aftermath of several major scandals
that rocked India Inc., which were
marked by inattention or other oversight
failures from boards.
• By and large, the regulator has
accepted the recommendations of
the Kotak panel which is an important
step towards improving the structure
and functioning of corporate boards in
India.
• The committee had also made
recommendations about the
supervision of unlisted firms, which,
however, SEBI could not act on it due
to objections from the corporate affairs
ministry. The government should seek
out a way to implement those sensible
suggestions as well.
CSR Amendments Under the
Companies (Amendment) Act,
2019
• The Companies (Amendment) Bill,
2019, was recently passed by the Lok
Sabha. The legislation aims to improve
corporate social responsibility (CSR)
enforcement while also reducing the
number of cases brought before the
National Company Law Tribunal
(NCLT).
• It tightened CSR enforcement standards
and ensured that non-compliance with
company law regulations would result
in harsher penalties.
• It permitted businesses to move unspent
CSR funds to a separate account, which
had to be spent within three years.
• If the money is not spent, it should
be transferred to one of the funds
mentioned in Schedule VII of the Act.
 CHAPTER - 7
ROLE OF CIVIL SERVICES IN A
DEMOCRACY
Design of the Civil
Service
• Civil services in India can be divided
into three broad categories.
1. All India Service
2. Central service
3. State service
• The services whose members work
for both the Union and the State
Government are called All India
Services.
• Services with members working only for
Union Government are called Central
Civil Services.
• Apart from this, State Governments
have their own service group - State
Services. Vacancies in the Union and in
the State Government are divided into
four categories - Group A to Group D.
Civil Services:
Historical
Background
• The Mauryan government used civil
servants under the guise of adhyakshas
and other titles.
• During the Mughal era, state officers
were in charge of the land revenue
system.
• The civil services were founded by the
British government in India, primarily
to reinforce their influence over their
Indian possessions.
• Lord Wellesley, who served as Governor-
64
General of India from 1798 to 1805,
founded the College of Fort William in
1800, where every Company employee
was required to attend a three-year
course.
• Civil service officers' main tasks during
the British Raj were maintenance of law
and order and revenue collection.
• After independence, civil services
played a key role in enforcing national
and state welfare and development
policies.
All India Services
(AIS)
• Section 312 of the Constitution
empowers Parliament to implement All
India Services (AIS) by fulfilling certain
conditions.
• The Administrative and Police Services
of India are regarded as services
established by Parliament under this
Article.
• Section 3 of the AIS Act, 1951 and the
laws and regulations made by the
government, determine the process
for the selection of the IAS. Similar
provisions exist for IPS (India Police
Service) and IFoS (Indian Forest Service).
• The key objectives of government in
building the AIS are:
» Maintain national unity and integrity
and uniform standards of governance;
» Neutrality and participation - a non-
political, secular and non-sectarian
ideology;
» Be able to work efficiently, professionally
 and professionally;
» Integrity; and
» Idealism.
Aptitude &
Foundational Values
For Civil Services
Aptitude
• An aptitude is part of the ability to
do a certain type of job at a certain
level. Outstanding aptitude can be
considered "talent". It can be physical
or mental.
• Aptitude is the innate ability to perform
certain types of work whether they are
developed or not.
• This is in contrast to skills and
achievement, representing the
knowledge or skill, gained through
learning.
Foundational Values for Civil
Services
The principles that form the foundation of
civil service ethics are listed below:
• Integrity: Employees should be guided
only by the public when making official
decisions and not by any financial
or other consideration of them, their
families or their friends.
• Neutrality: Employees in the
performance of their official duties,
including duties such as procurement,
employment, service delivery, etc., must
make only appropriate decisions.
• Commitment to public service: Public
servants must render services in a
fair, efficient, impartial and respectful
manner.
• Open Accountability: Employees are
65
accountable for their decisions and
actions and should be prepared to
evaluate themselves appropriately for
this purpose.
• Dedication: Public servants maintain a
complete and consistent commitment
to the performance of their duties and
responsibilities at all times.
• Exemplary conduct: Public servants
will treat all members of the public with
respect and dignity and at all times,
conduct themselves in a way which
supports the rich culture of public
servants.
Civil Services
Neutrality
• There are two key elements that provide
the basis for a non-discriminatory
public service.
1. Public servants must have a non-
political system of employment
where, employment, promotion and
termination are based on merit (or,
in the case of termination, absence).
2. Public servants must perform, and
be held accountable for performing
their duties in a fair and transparent
manner.
• As Paul Appleby noted, public servants
should not confuse 'political neutrality'
with 'system neutrality'. In the policy-
making phase, the role of public
servants in providing free and direct
advice should not be taken by any
political considerations.
• Once the policy or plan has been
approved by the elected government,
it is the duty of the public servant to
honestly and diligently see that it is
implemented. Failure to do so in a proper
manner would constitute misconduct
by inviting appropriate sanctions.
• Unfortunately, this perception of
 neutrality by public servants is no
longer valid. Changes in government
often lead to a full transfer of public
servants. Political neutrality is no longer
acceptable when the majority of public
servants are identified, correctly or
incorrectly, at a particular political time.
• There is a view that officials should
develop and seek the support of
politicians by securing appropriate
positions in the Federal Government.
As a result, public services from a
public point of view are often seen as
increasingly political policies.
Following Guidelines Need to
be Followed to Ensure Political
Neutrality:
• Politics and policy are separated from
governance. Therefore, politicians make
policy decisions; government officials
implement these policy decisions.
• Civil servants are selected and
66
promoted on the basis of merit, rather
than by party affiliation or donations.
• Public servants do not engage in any
political activity.
• Public servants do not express their
views on government policies or
administration.
• Public servants give clear and
unambiguous advice to their political
leaders in private and in confidence.
In return, political leaders protect
the anonymity of public servants by
openly accepting responsibility for the
department's decision-making.
• Public servants make policy decisions
honestly and diligently, regardless of
party affiliation and plans without their
opinions. As a result, public servants
enjoy a sense of security while living in
a morally clean and productive manner.
• Neutral public service can only be
maintained if the employment system
is protected from political influence, the
eligibility system is firmly entrenched
and professional commitment is low.
Nolan Committee
on Ethics in Public
Life
Public officials are required to behave in
accordance with the highest ethical norms,
and an ethical code serves as a reference
to help them do so. The Committee on
Standards in Public Life, also known as
the Nolan Committee, was established
in the United Kingdom in 1994 to provide
guidance on ethical standards in public
life.
Lord Nolan began his Committee's First
Report, published in May 1995, by laying
out what he referred to as "The Seven
Principles of Public Life," or "the Nolan
Principles."
1. Accountability: Holders of public office
are responsible to the public for their
decisions and conduct, and must submit
to whatever scrutiny is necessary for
their role.
2. Openness: All decisions and actions
taken by public officials should be
made as transparent as possible. They
should offer reasons for their decisions
and limit information only when it is
clearly in the public interest.
3. Integrity: Holders of public office should
not attach themselves financially
or otherwise to outside persons or
organisations that might sway them
from performing their official duties.
4. Objectivity: Holders of public office
should make merit-based decisions
when carrying out public business,
such as making public appointments,
granting contracts, or selecting
individuals for incentives and benefits.
5. Honesty: Holders of public office have
a responsibility to disclose any private
interests that can interfere with their
public responsibilities and to take
action to address any conflicts in a way
67
that protects the public interest.
6. Leadership: Holders of public office
should lead by example in promoting
and supporting these values.
7. Selflessness: Holders of public office
should keep his/her private interests
aside and take decisions that are purely
in the public interest. His/her decisions
should not be for the purpose of gaining
financial or other material benefits.
Openness
Accountability Integrity
The
Nolan
Principles
Objectivity
Leadership Honesty
Constitutional
Provisions Related
to Civil Services
• The President or Governor, directly
or by officers subordinate to him, has
executive authority over the Union and
the States, according to Articles 53
and 154. Part XIV of the Constitution
(Services under the Union and States
(Article 308-323)) governs these officers,
who make up the permanent civil
service.
• The manner in which officers are
expected to assist the President or
Governor in exercising his or her
executive functions, is regulated by the
Government of India (Transaction of
 Business) Rules.
• Article 311 — Dismissal, or reduction
in rank of persons serving in civil
capacities under the Union or a State.
• Article 312 – All India Services.
Reforms Required in
Civil Services
Recruitment and Age of Entry
• The suitability of a democracy helps
to bring high-quality people into the
public service, gives credit to public
service positions and can do much to
promote excellence.
• The age of entry into the public service
is a very important factor, especially in
the context of attracting trained public
servants at reasonable conditions.
• As previously thought, in line with
the spirit of patriotism of fathers who
established the Constitution and the
government's expectations of public
servants, the age limit and the number
of efforts allowed for testing are kept low
so that young people combined with
a sense of well-being and community
service can form a large part.
• But these needs have changed
dramatically as the age of young
people who have recently joined the
public service has changed.
• Part of the change in the recruitment
process should be a plan, that is, unless
it is based on merit, it should increase
the number of candidates to get better
and more prominent in the education
system than to get them where possible
to give them the right value.
Training
• Training is a very important part of
68
human resource development.
• The current public service training
program does not adequately reflect
changes in socio-economic status
and new challenges. There is also
insufficient emphasis on the training
needs of senior staff.
• It has become necessary to expose
professionals in the public service to
new management skills and concepts
such as corporate governance, public
relations and the private sector,
governance and communication issues
related to corruption.
• The transformation agenda should
include compulsory training for all
public servants at the entry level and
prior to each promotion, including in-
service training through the use of
background knowledge and monitoring
system to oversee the training policy.
• There is also a need to revitalize national
and government institutions to achieve
their goals.
Tenure
• Short-term tenure in key positions,
especially in State Governments, is
often cited as a major cause of errors in
the system of governance.
• The government's right to transfer a
public servant needs to be balanced
against the need for stable environments
to ensure efficiency and the need for
independence from law enforcement
positions.
• Sustainable employment is also needed
to empower the nominee to learn the
job, develop his or her strengths and
contribute in the best possible way.
• Institutional and systemic changes
would need to be made to ensure a
stable environment in key positions.
Domain Competency
• The increasingly difficult challenges
of modern governance require high
levels of knowledge and in-depth
understanding from public servants.
• This could mean that public servants
- especially in policy-making areas -
should have a thorough knowledge
of the profession, qualifications,
management exposure, training and
apprenticeship.
• This type of in-depth knowledge and
skills are often referred to as domain
skills. Domain competency differs
from specialized technical knowledge
in a way that it refers to a broader
understanding of the relevant field and
most importantly the management
skills found in the applied knowledge in
that field.
• Assigning certain resources to public
servants at the beginning of their work
and retaining them in the allocated
domain is a key element of the
Commission's recommendations for
public service reform.
Fostering Competition for
Appointment to Senior
Executive Positions
• An important part of change is
choosing the best in society for the most
challenging assignments in government.
Senior executives are responsible for
advanced policy advice, administrative
and technical obligations.
• Competition should be introduced in
selecting people for senior management
positions.
Performance Management
System
• Performance management systems are
69
a set of tools and processes that seek
to integrate the organisation's goals
and operations into its various units
and ultimately the performance of all
the people working in it.
• Performance management systems
are therefore critical to achieving the
organisation's goals.
• A comprehensive performance
management system is often lacking
in government agencies. This is one of
the causes why these organizations are
more focused on output than outcomes.
• A sound performance management
system will include setting objectives -
measurable - at all levels, monitoring
the performance of each unit and
individual within the organization,
improving performance, rewarding
good performance and performance
management.
Exit Mechanisms
• At present, it is rare for a public servant
to be fired or punished for incompetence
and failure to deliver.
• It is necessary for all public servants to
undergo strict appraisal of performance,
from time to time, and on the basis of
such compulsory inspections public
servants may retire or remove from the
office.
Clarity of Purpose and Task
• The policy formulation function of senior
civil servants needs to be distinguished
from the policy implementation
function.
• As Secretaries to Government have
multiple and demanding responsibilities
pertaining to a wide range of policy,
administrative and implementation
activities, their most important
function, of tendering policy advice to
 the ministers, often does not receive the
attention it deserves.
• In order to provide Ministers with high-
quality policy guidance, Secretaries
to Government and their supporting
staff in the secretariat must not be
distracted by regular administrative
and organisational responsibilities.
• This will necessitate a clear division
of roles for policy development and
implementation. What this means is that
ministries in charge of policy guidance,
as well as tracking and evaluating policy
compliance, should be divided from
departments and other agencies in
charge of service delivery, operational
matters, and regulatory enforcement.
• That being the case, what is required is
not merely a broad separation of policy
and operations, but also restructuring
the design of the ministries to make
them less hierarchical, creating flatter
structures with team-based orientation
and reducing the excessive degree of
central control now being exercised
over operational matters.
• This would require that autonomous
organisations like executive agencies
be set up to carry out operational
responsibilities. The advantage
of autonomous agencies over a
department-managed activity is
that an agency would have far
greater operating flexibility than a
government department and far better
accountability for performance.
A Results-Oriented Civil
Service
• The existing governance systems are
severely dependent on rule-based
approaches.
• There is a preoccupation with process,
adherence to procedures, conformity
with budget provisions and economy
of inputs. Consequently there is undue
70
emphasis on inputs used - how much
resources, staff and facilities are made
available for a scheme or programme
and whether this is in accordance with
the standards rules and regulations?
• A scheme's success or failure is often
determined by the amount of resources
consumed. As a consequence, policy
has focused on inputs rather than
results.
• The input focus of control and
accountability, has led to a situation
where scant attention is paid to the
results that are obtained using these
inputs, and civil servants are not held
accountable for them.
• The objective should be to shift the focus
away from such traditional concerns as
expenditure and activity levels, towards
a management framework that would
manage for results by developing
robust indicators to assess performance
in terms of results by setting key
performance indicators.
Accountability for Results
• The counterpart of devolution of
resources to the civil servants in the
implementing agencies should be, more
stringent performance requirements
and enhanced accountability.
• Civil servants in the implementing
agencies should accept responsibility
for achieving specified performance
targets while managing within
resources. Accountability can be
achieved through agreements with the
departmental minister specifying the
performance targets.
• The proposed performance agreements
should be put in the public domain so
that there is total transparency about
what the civil servants have agreed
to do during a particular time period.
These performance agreements should
be a part of the overall performance
 management system.
Code of Ethics
• The existing collection of values for the
civil services consists of conduct rules
that prohibit a number of common
behaviours that constitute undesirable
conduct and behaviour for civil servants;
however, we lack a declaration of
values that can direct civil servants in
the performance of their duties.
• There is a need for more generic
norms of acceptable behaviour for civil
servants to be developed.
• A declaration of values for the civil
services is required, reflecting public
expectations of the bond between the
civil service and the government, the
legislature, and the general public,
with particular regard to political
impartiality, upholding the highest
ethical standards, and transparency
for acts and obligations to the current
government.
• Establishing effective institutional
structures to promote and implement
the standards and code of ethics, as
well as evaluating the degree to which
they are implemented and maintained
in the civil service, is another important
factor.
Civil Services Law
• While discussing the experience of the
countries in reforming their civil services,
the Commission had the opportunity
to observe that most of the reforming
countries have adopted comprehensive
civil service legislations which describe
and establish the core principles, values
and characteristics which create the
distinctive culture and ethics of the
reformed civil service.
• The Commission also observed how
these legislations provided a clear,
71
unified framework within which the civil
services could carry out its distinctive
role and responsibilities.
• A statutory framework is required
because it will provide a legal basis for
Indian legislators to articulate essential
public service principles, ethical values,
and culture, as well as how these should
be applied in the civil service.
• The law should also be a straightforward
message to those in the civil service as
well as the general public about what
is required of them. The importance of
articulating civil service values through
legislation cannot be overstated.
• A clear understanding of shared values
and vision set out unambiguously in the
civil service law will provide a unifying
and motivating force for the civil
service as a whole; it will also provide
the foundation for a unity of outlook
and behaviour across the civil service.
• Moreover, it will represent an approach
which is consistent with best practices
globally. At the minimum, the legislation
should articulate the following values
and ethical standards:
» Commitment to the values cherished in
the Constitution.
» Adherence to the highest standards of
probity, integrity and conduct.
» Commitment to the citizens’ concerns
and public good.
» Impartiality and objectivity in all public
dealings.
» Empathy for the vulnerable sections of
society.
Lateral Entry in Civil
Services
• In June 2018, the Department of
Personnel and Training (DoPT) issued
an invitation to apply for a position as
 a Joint Secretary at the Centre, paving
the way for lateral entry.
• According to the notification, the DoPT
is looking for 10 “outstanding individuals”
who are willing to contribute to nation
building to join the government at the
level of Joint Secretary at the Centre.
• The intake will be made in 10
departments initially (Revenue,
Financial Services, and Agriculture etc.)
but will enlarge to other categories in
the second phase.
• The hiring will be on a three-to-five-
year contract basis.
Eligibility Criteria:
• Individuals with a minimum of 15 years'
experience employed at equivalent
levels in private sector businesses,
except those working in central public
sector undertakings, autonomous
agencies, academic bodies, and
universities.
• It specifies a Minimum age of 40 and
minimum qualification of graduation
from a recognised university or institute.
Arguments in Favour of Lateral
Entry:
• In the past, the Sixth pay commission
and Second Administrative Reforms
Commission (ARC), Surinder Nath
Committee (2003) and the Hota
Committee (2004) have also supported
the idea.
• Lateral entrants come with their
own work culture, and this enables
renewal and adaptation in government
organizations.
• Introducing competition: The
assurance of a secure career offers little
incentive to bureaucrats to outperform
others. But when civil servants are
made to compete with outside talent,
72
the lethargic attitude will diminish and
efficiency will increase.
• Need of specialists: A judicious
combination of domain knowledge
and relevant expertise is a critical
requirement in governance. But the
training and posting turns IAS officers
into generalists rather than specialists.
Lateral entrants from outside will bring
the required specialists.
• Present system of lateral entry is not
institutionalized:
» India is no stranger to lateral entry, and
the benefits are clear.
» The Union government's chief economic
adviser is usually a lateral entrant.
» Some other illustrious examples of
lateral entrants in administrative
positions are Vijay Kelkar and Montek
Singh Ahluwalia, Nandan Nilekani etc.
» However, the practice has been ad hoc
in nature and not institutionalised.
• International scenario: Western
countries like the UK, USA, Australia,
Holland and Belgium have already
thrown open specific government
positions to qualified personnel from all
walks. It has been found to be a better
way to attract opposite talents for the
job.
• There is a shortage of over 1,400 IAS
and 900 IPS officers. It will address this
problem of shortage of officers at a
higher level.
Arguments Against:
• Lateral entry may lead to demotivation
to the government officers which may
affect their performance.
• Lateral entrants may not perform or
work well due to difference in work
culture and systemic inertia. Outside
entrants may not fully understand the
system which can be exploited against
 them.
• The lateral entrant will not have
experience comparable to that of an
IAS officer. They may lack knowledge
of practical aspects and they might
have more of an urban mind-set. This
will affect the formulation of policies at
a higher level.
• There is fear that it will lead to the
appointment of pro-establishment
candidates which will allow the
government to do something
inadvisable.
• There is a grave concern that business
houses may push in their own men to
get favourable policies.
• The new civil service has the advantage
that policymakers have long-term
interests in government. They also have
a history of justice and participation in
government.
• The lateral entry scheme may not
take into account the reservation
policy, which will be a breach of the
Constitution.
• Private sector individuals employed
on a three- or five-year contract can
represent someone else's interests
because they have no long-term stake
in the government.
Issues Involved:
• Conflict of interest: The shift from the
private sector increases the possibility
of a conflict of interest. This problem
necessitates a strict code of ethics for
private sector entrants to ensure that
conflicts of interest does not jeopardise
the public good.
• Profit motive vs. public service: The
private sector is profit-oriented, while
the government's motive is public
service. This fundamental transition is
needed in private sector before they
enter in the public sector.
73
• Differences in organisational values:
The government and the private sector
have very different value systems. It's
important to make sure that the people
who come in have the ability to adapt
to a completely new way of working.
• Lack of precise requirements: The
advertisement's criteria were broad,
and therefore failed to provide a
narrow window into which people of
eminence or domain experts in the
fields advertised could be attracted.
Way Ahead:
• While the concept of lateral entry into
the administrative system has been
discussed for many years, this is the
first step toward putting it into practise,
sparking a lively debate about the
benefits and drawbacks of the change.
• For sure, a change of this nature will
face stiff resistance from within the
IAS lobby. However, the government
should go ahead with this reform as the
national interest is always greater than
the interest of a few.
Other Reforms to Be Carried
Out With Lateral Entry:
• Setup a central civil services authority:
However, there is a chance that lateral
entry may turn out to be an excuse for
a back-door entry of the ‘spoils-system’
to recruit politically-aligned persons.
For this, the ARC recommended the
formation of a central civil services
authority, an independent authority
to supervise the proposed recruitment
process.
• For lateral entry, there should be an
open competition with a fair process
that includes the required checks and
balances to ensure that only people
with honesty and political neutrality
join the government service.
• Complement lateral entry with
lateral exit: Civil servants should be
encouraged to work in various sectors
for a short period of time in order to
broaden their skills and improve their
morale and productivity. As a result,
lateral exit is just as important as lateral
entry.
Service and Cadre
Allocation (Civil
Services)
The Prime Minister’s Office (PMO) has
asked the Department of Personnel
and Training (DoPT) to examine if the
services and cadres can be allocated to
successful candidates of the civil services
examination (CSE) after the completion of
the foundation course.
Present System of Service and
Cadre Allocation:
• After the selection in the Civil Services
Examination (CSE) conducted by UPSC,
the responsibility to allocate different
services like IAS, IPS, IRS and other
central services lies with the DoPT.
• The services are allotted on the basis
of final merit and service-preferences
filled by the candidates after clearing
the preliminary round of examination.
• Since IAS and IPS are ‘all-India services’,
the candidates allotted to these services
are further allotted a particular cadre.
• Most states have a separate cadre,
except few combined cadres like
Assam-Meghalaya cadre and the
AGMUT cadre which includes Arunachal
Pradesh, Goa, Mizoram and Union
Territories.
74
Foundation Course (FC):
• It is the initial phase of training where
the candidates selected in CSE train
together for the first 15 weeks before
embarking on their service-specific
professional training.
• The Foundation Course is designed for
the following objectives:
» Developing an ‘esprit de corps’ among
the officers of different services,
» Fostering the attitudes and values that
every civil servant should possess, and
» Imparting a basic understanding of the
environment and the machinery of the
government.
• The FC consists of a variety of activities,
including academic elements such as
public administration, law, and political
science, as well as extracurricular
activities such as trekking, village visits,
and interactions with probationers.
What Does the PMO Proposal
Suggest?
• The PMO has sought suggestions
regarding whether the performance of
the selected candidates in the FC could
be taken as a parameter for allocation
of service and cadres.
• The proposal has only been forwarded
as a suggestion and nothing new has
been implemented as of now.
Perceived Benefits of the PMO
Proposal:
• Offering the Foundation Course as
part of the overall evaluation of the
applicant will aid in identifying the best
candidates for the job.
• After completing the Foundation Course,
probationers will be able to properly
 balance their ambition to their aptitude,
allowing them to make better decisions.
• Also, the near 25-minute interview
presently is not sufficient to judge the
calibre of the candidates, while a 15-
week extensive training period will
highlight their true capability.
However, Certain
Apprehensions Have Also Been
Raised As:
• Some commentators have opined that
it would lead to a culture of ‘favouritism’
to select candidates in line with the
view of the government.
• Also, tough competition at the FC
would be a roadblock in establishing
the ‘esprit de corps’ among the civil
servants.
• Concerns have also been raised
regarding possibility of discrimination
against the poor and backward class’s
students.
• Some have also seen it as undermining
the role of the UPSC and interference in
the functioning of this constitutionally
established body.
Concluding Remark:
• The suggestion for the changes in policy
has certainly caused a stir and there is
lack of comprehensive acceptance for
the proposal as of now.
• The cadre controlling authorities
collectively have to look upon the
feasibility of implementation of the
suggestion.
• Training forms an important part of
making a civil servant, any policy
change should take care of not leading
to dilution of the process.
75
View of Committees:
Kothari Committee:
• It submitted its report in 1976 which
suggested a ‘Post-Training Test’ at the
end of the Foundation Course, including
an interview by a Board constituted by
the UPSC.
• It was proposed that the result of
this test, combined with the result of
written examinations and interview for
CSE would determine the ranking and
therefore, allocation of services.
• Government did not accept the
recommendation regarding allocation
of services after the Foundation Course.
Alagh Committee:
• It proposed that the selected candidates
may be required to exercise their service
preferences only on the completion of
the Foundation Course.
• However, it asserted that the allocation
would continue to be on the basis of
the original merit list prepared by the
UPSC.
• The Second Administrative Reforms
Commission agreed with the
recommendation of the Alagh
Committee.
Criminal Laws
(Rajasthan
Amendment) Bill,
2017
Rajasthan government's Criminal Laws
(Amendment) Bill, 2017, which was tabled
in the state assembly in October 2017,
raised a lot of controversy.
Background:
• The bill seeks to replace the Criminal
 Laws (Rajasthan Amendment)
Ordinance, 2017 which was promulgated
in September 2017.
• It is amending the Criminal Procedure
Code (CrPC) in its application to the
state of Rajasthan.
• CrPC is a central law which specifies the
process to be followed by authorities in
criminal cases.
Key Provisions of the Bill:
• Prior sanction: Prior permission needs
to be obtained from an authority before
an investigation can begin in the case of
such public officials (serving and former
judges, magistrates and public servants
in the state) for on-duty action.
• Duration of permission: Such
permission is to be given or denied
within six months. It can be concluded
that permission to investigate has been
granted if no decision is made during
this period.
• Restrictions on Media: During the
period of waiting for permission, media is
barred from publishing any information
that may identify the public official.
• Penalty: Violation of the provisions will
be penalised with a jail term of up to
two years and a fine.
Arguments for Bill:
• Preventing false FIRs: It is being done
to protect public officials against
false FIRs. According to the Rajasthan
government, from 2013 until June 2017,
about 73 % cases were found to be
false.
• Preventing policy paralysis: Public
officials need to function without fear
and be protected from legal harassment
for their official actions to prevent a
situation of policy paralysis.
• Ending media trials: The bar on
76
reporting will deter false cases brought
with the intention of maligning public
officials.
• Not the first player: A similar law came
into force in Maharashtra in 2016. Since
2013, a key bill amending the Prevention
of Corruption Act has been pending,
which requires previous sanction.
• However, the bill has been criticised in
various parts for various reasons.
Criticism of Prior Sanction:
• Prior sanction is not a new concept. The
main issue is at what stage it is required
— before beginning investigation, or
before prosecution in court?
• At present under Section 197 of the
CrPC and Section 19 of the Prevention
of Corruption Act, 1988, prior sanction
is required before public officials can
be prosecuted in courts.
• But the Rajasthan Bill introduces the
requirement of prior sanction at the
stage of investigation, in addition to
the stage of prosecution, thus adding
an additional shield for public servants.
• In 2014, the Supreme Court in a
judgment observed that prior sanction
for investigation could impede
an unbiased, efficient and timely
investigation.
Prior Restraint on Press:
• The ordinance places a “prior restraint”
on the press, as defined by the statute.
Prior restraint is a form of censorship
that happens before, rather than after,
anything is written. A prior restraint
would be constitutional if it was
intended to come under the exceptions
to free expression contained in Article
19(2) of the Constitution, according
to the Supreme Court. The recent bill
does not fall under any of the above
exceptions.
Back to Colonial Era:
• The ordinance is a throwback to colonial
times. Opposition is right in stating that
“It’s 2017, not 1817”.
• In colonial India, Governor General
Wellesley in 1799 introduced regulations
under which no newspaper could be
published at all until it was formerly
inspected by the government.
• It was done so that Tipu Sultan could not
get information on troop movements
during the Fourth Mysore War.
Media’s Role in Exposing
Corruption:
• Had such a law been there earlier,
the media could not have reported, in
Rajasthan, an official collusion in Lalit
Modi’s escape or Aravallis Mining scam.
• If Rajasthan's law inspired Central
legislation, no scam would ever be
reported, nationwide.
Comparison with Maharashtra
'Gag Law':
In 2016, a similar ‘gag law’ (Code of Criminal
Procedure (Maharashtra Amendment) Act,
2015) came into force in Maharashtra.
However, there are 2 main differences
between this law and the Rajasthan Bill.
1. There is no prohibition from publishing
information about public servants while
sanction is being obtained for initiating
investigation.
2. The maximum time for granting
sanction is three months, as opposed
to six months in the Rajasthan Bill.
This offers the accused plenty of
opportunities to destroy evidence and
manage' witnesses.
77
Criticism of Select Committee
of MLAs:
• The committee will almost certainly be
chaired by the state Home Minister, who
is also the Bill's pilot minister. This is in
contrast to the practice in Parliament,
where central ministers are excluded
from parliamentary committees.
Concluding Remark:
• Rajasthan has gone boldly where
no assembly has ever gone before.
An immediate rollback would be the
prudent response from the Rajasthan
government.
• Also the state and centre should take
a progressive step by enforcing a
strong body of legislation that punishes
the corrupt, protects the honest, and
ensures time-bound public services and
whistle-blower safety.
Civil Services Day
• When observed?
» 21st April every year.
• Why 21st April?
» On this day in 1947, Sardar Vallabhbhai
Patel addressed the first batch of
probationers at Metcalfe House, New
Delhi, at the All India Administrative
Service Training School. In his discourse,
he referred to civil servants as India's
'steel frame'.
• Objective?
» To make civil servants re-dedicate
themselves to the cause of the citizens
and renew their commitment to public
service.
Prime Minister Award
for Excellence in Public
Administration?
• Presentation: On the occasion of civil
services day.
• Instituted in: 2006.
• Eligibility: All officers individually or as
a group or as organization are eligible.
• Objective: To acknowledge, recognize
and reward the extraordinary and
innovative work done by District/
organizations of the Central, State
Governments.
IAS Civil List
• Jitendra Singh, the Union Minister for
Personnel, unveiled the IAS Civil List
2020 and its e-version. The dynamic
list will aid in the selection of the right
officer for the right assignment based
on available profiles and will serve as a
valuable source of information for the
general public on the officers, manning
different posts.
• This is the 65th edition of the IAS
Civil List and the 2nd e-Civil List
with photographs of all State Cadre
IAS officers. The list also includes
information about IAS by batch,
cadre state, current posting, pay and
allowances, education, and retirement.
• The Minister said that the proposal for
establishment of a National Recruitment
Agency (NRA) is at an advanced stage.
The NRA will conduct computer based
78
online Common Eligibility Test for
recruitment to non-gazetted posts with
test centres in every district.
National
Recruitment Agency
(NRA)
• The Union Cabinet has permitted
the establishment of the National
Recruitment Agency (NRA), paving
the way for a reform of the central
government's recruitment process.
• The National Recruitment Agency (NRA),
a multi-agency body, will administer a
Common Eligibility Test (CET) to screen/
shortlist applicants for Group B and C
(non-technical) positions.
• The Ministry of Railways, Ministry of
Finance/Department of Financial
Services, SSC, RRB, and IBPS will all be
represented at the NRA.
• For those non-technical positions
currently filled by the Staff Selection
Commission (SSC), the Railway
Recruitment Boards (RRBs), and the
Institute of Banking Personnel Selection,
the NRA will conduct a separate CET
for each of the three levels of graduate,
higher secondary (12th pass), and
matriculate (10th pass) applicants
(IBPS).
• The National Recruitment Agency has
been given a budget of Rs. 1517.57 crore
by the government (NRA). The budget
will be spread out over a three-year
cycle.
 CHAPTER - 8
PUBLIC POLICY
Introduction
What is a Policy?
• Policy usually comes in the form of
general statements about priorities,
written regulations or guidelines,
procedures and/or standards to be
achieved.
• In the simplest way, a policy refers
to a different way of working that is
appropriate to follow the principles you
want within a particular context, which
guides the decision-making of the
organization or individual.
What is Public Policy?
• The general public policy is what the
government chooses to do, or does
not do. It is a decision made by the
government to take action, or not to do
something to solve the issue.
• Public policy is a set of actions that
directs the scope of related actions in
a given field. They do not usually face
a single problem, but rather deal with
delicate and long-term problems.
• These are the actions taken by
government in response to common
public issues, such as education, health,
etc.
• A policy process is a process of
evaluating different solutions that
address different aspects of a set of
issues.
79
• Every policy has three key elements:
» Problem description,
» Objectives to be achieved, and
» Policy resources to address the problem
and achieve goals.
Public Policy Has a Few Key
Features:
• A policy is made to respond to a
specific issue or problem that needs
attention such lack of sanitation, lack
of employment, etc.
• A policy may take the form of a law,
or regulation, or a set of all laws and
regulations governing a particular issue
or problem.
• The policy is made on behalf of the
community.
• The policy focuses on the intended
purpose or situation, as the solution to
the problem.
• Policy is ultimately made by the
government, whether the views come
from foreign governments or through
governmental and public relations.
• Policy-making is part of an on-going
process that does not always have
a clear beginning or end, because
decisions about who will benefit from
the process and who will bear any
responsibility from that policy are
regularly reviewed.
Trends in Public Policy
• A dominant tendency has been to treat crafting of public policy as a technical
function of government—a top-down approach and rational choice based on
available data and information.
• But it is increasingly also being seen as a matter of power and politics, involving
contestation, discussions, bargaining and accommodation of diverse interests and
actors. Public policymaking is an interactive and dynamic process. It involves a
gamut of actions and inactions by many groups, with varied interests, at varied
stages in a network, through whom decisions flow, policy agendas get set, policies
get shaped; programmes are formulated, implemented and evaluated.
• Though not all actors and interests have equal power, or equal chance to influence
policymaking, the process remains dynamic, with its shifts and slides. Notably then,
making of public policy is not just about government, public officials and bodies,
but involves a range of non-officials, groups or private actors who play an active
role

Types of Public • Informal policy can be a practical,

Policy
• Substantive – policies relating to
general welfare and community
development.
• Regulation – deals with the regulation
of trade, business, security measures
etc.
• Distribution – focuses on specific areas
of society.
• Redistribution – relating to the
reorganization of policies aimed at
affecting social and economic change.
• Capitalization – Under this type of
policy, the Union government provides
support to various levels of government
and other business entities.
general, unwritten but widely known
method or understanding within an
organization that must be followed by
a specific action. Although this policy
can be clarified in writing it is still
operational.
Approaches to
Public Policy
• Political system theory – The political
system gives the policy.
• Group theory – states that interest
groups pressure and engage with actors
in their preferences and interests.
• Elite theory – says the policy reflects
the values and interests of Elites'
management.

Formal and Informal • The concept of rational choice – states

• Policy may be formal or informal.
• A formal policy may take the form of
a draft policy document that has been
discussed, drafted, reviewed, approved
and published by the policy-making
body. It could be a national government
program on HIV / AIDS, for example.
that the government must choose
policies that lead to greater social
benefits.
• Institutional perspective – states that
public policy is determined by public
institutions.
• Add-on model – analyzes public

80
 policy as minor changes or changes to
previous policies.
• Game theory – this theory says that
when more participants have choices
to make and when their choices decide
outcomes, then study of their rational
decision should be done.
Who Makes Public
Policies?
• The elected representatives with
authority make policies. They take
advice from higher levels of bureaucracy
during the policy making.
• In Democracy, ministers are elected
by people and therefore they have
legitimate authority to design and create
the policies. However, government
officers, who are non-elected, play the
role of policy implementation.
The Policy Making Cycle
Includes Many Entities:
• There are many players involved in
the different stages of policy making.
These players can be combinely called
as actors (Individuals, institutions and
agencies).
• It looks as if only the government
is involved in the ultimate decision
making and its funding. But in reality,
other factors also contribute greatly in
the delivery of complex policy goals.
» Government: It has social control of
behaviour, power of coercion.
» Cabinet: It has access to resources and
high power to make decisions.
» Public Servants: They have bureaucratic
skills and technical knowledge support
to policy makers. They also provide
advice on policy making.
81
» Political Parties: When political parties
provide their support to the policy
making, it is beneficial for their inter-
party relations in the longer run.
» Media: Media plays a role to spread
knowledge about the policies and
generate public opinions, pro or against,
the policy decisions.
» Interest Groups: They try to pressurise
the policy makers to design the policies
according to their interests.
» Legal system: It plays the role to find
the legal side of the policy and scrutinise
the policy from the legal angle.
» Public: People elect members of
legislature, they form their opinion
about the policy, they oppose or
support the policy.
Public Policy Cycle
As stated earlier, policies are created by
elected entities of the government such as
legislature and executive bodies. However,
external non-elected entities such as policy
analysts, experts, civil societies, NGOs,
pressure groups, media and political
leaders evaluate these policies.
The policy formulation goes to following
stages:
1. Identification of Problem,
2. Setting of the agenda,
3. Formulation of the policy,
4. Adoption of the policy,
5. Implementation and
6. Evaluation
• Identification of Problem: Identification
of the problems in which government
intervention is required is the first
step. Government does this by paying
attention to public opinions, public
protests, media discussions etc.
• Setting of the agenda: Types of
agendas include:
» Systematic agendas – identification of
all the issues that requires policymaker’s
attention.
» Institutional agendas – the time bound
analysis of problems and finding of
their solutions.
» Discretionary agendas – legislatures
discretionarily identifies some problems
and consider them during policy
making.
» Decision agendas – all the issues in
policy are finalised and made ready for
of Problem
6.
5.
• Adoption of policy: In this stage, the
finalised policy is adopted by the
government bodies. It should be done
by relevant government machineries.
• Implementation of the policy: In this
stage, theoretical policy comes into
reality and its practical implementation
starts.
• The successful policy implementation
depends upon:
» Accurate communication between
policy creators and implementers.
» Ease with which people can interpret
the policy clearly and concisely.
82
the next stage.
• Policy formulation: In this stage, policy
makers discuss the issues involved and
suggest measures to solve these issues.
Different ways and options for policy
framing are considered and the most
effective among them is chosen. This is
done with the help of two criterias:
» An effective policy, which is reliable and
can be implemented to solve issues.
» The policy which is politically sound.
agenda
of the policy
the policy
» Absence of disruption or conflict with
the existing processes and agencies
during resource utilisation.
• Evaluation of policy: Evaluation can be
done at various levels through research
and extensive studies. Various entities
such as civil society, media, policy
analysts play an important role in the
successful evaluation. Policy can either
be successful or unsuccessful. A policy
may have a poor outcome when:
» There is an error in the problem
identification.
» Faults are present in formulating the
 policy.
» Implementation of the policy has been
inadequate.
Policy Instruments
• For policy implementation, the
government uses some techniques as
policy instruments. They act as a tool
to achieve the desired results.
• Some of the policy instruments are:
information exchange, licensing, service
provisions, expenditures, regulations,
doing nothing, partnerships, taxation,
contracts, subsidies and authority.
• The policy instruments are expected to:
» Bring behavioural changes among
individuals.
» Identify the socio-economic and
political conditions.
» Provide services to the public.
• Constraints to the policy instruments:
» Past actions.
» Financial, social, international and
cultural pressures.
» The political framework.
The government has different
policy instruments available:
• Doing nothing: no intervention by the
government.
• Information-based: Influencing the
people by using techniques like transfer
of knowledge, moral persuasion and
effective communication.
• Expenditure-based: Using money as
an instrument to achieve objectives
of policy. This is done through various
money disbursement techniques like
grants, subsidies,etc.
83
• Regulation: Limiting the activities
according to the norms and acceptable
behaviour.
• Acting directly: Direct provision of
services to the citizen, for example,
schools, waste management, parks etc.
Policy Instruments are Often
Influenced By:
• Government and Governance.
• International Influence.
There is Need for Alternative
Policy Instruments Such as
• Benchmarking: setting standards for
industry.
• Codes of Conduct: Guidelines on how
an industry will deal with its customers.
Upholding of these codes in voluntarily.
If such codes are broken, it attracts
penalties like fine, dismissal from
industry association, etc.
• Co-regulation: allows autonomy in
the industry with the clearly defined
parameters set out in a statutory
framework. Same level of protection is
offered as the traditional mechanism
along with greater flexibility and
efficiency.
• Negotiated agreements: negotiated
agreements are needed to be followed
by organisations so that they will remain
part of the community.
Recommendations to Increase
the Use of Evidence in Decision
Making
• Learn and use ‘public policy language’
with policy-makers. Policymakers have
a desire to speak in a different tone.
They read a number of policy papers to
 get a sense of how they use terms and
phrases, as well as what they say.
• Focus on effective communications
to various stakeholders and target
audiences. To interact effectively with
your target audience, it is important
to understand them. A variety of
communication mediums (internet,
radio, television, print, magazines,
conferences, etc.) can be used to
deliver the message to different target
audiences in different ways.
• Be creative and use a variety of tools
available. Connect with the target
audience using new technology
and communication channels.
Alternatively, use techniques in a novel,
unconventional way to maximise the
likelihood of the target paying attention
to the message.
• Evaluate the needs of clients.
Understand what data owners want,
how they want it delivered, and what
they want to do with it. This will expand
your agency's scope as well as the use
of research-based facts. Since each
player in the policy network has the
ability to influence policy, it is critical to
consider and respond to their needs.
• Involve policy-makers in research
planning. Involvement of policy makers
from the beginning of the research
process is important.
• Spend time assessing your present
and ideal role (if any) in each of the
stages of the policy cycle. Determine
when and how you will participate most
efficiently, as well as the impact you are
likely to have. Serving on an advisory
committee might be a good way to get
involved in the process and learn about
the needs and timelines of policy.
84
NITI Aayog
Background: Planning
Commission
• The Planning Commission was set up
by a Resolution of the Government
of India in March 1950. The aim
was to encourage a rapid rise in the
people's standard of living by efficient
exploitation of the country's resources,
increased development, and providing
opportunities for all to work in the
community service.
• The functions of the Planning
Commission: make assessment of all
available resources of the country,
identify and augment the resources
which are deficient, formulate working
plans so that resources could be utilised
in the most effective and balanced
manner.
• Jawaharlal Nehru was the first to chair
the Planning Commission.
• The Government of India, replaced the
planning commission with NITI Aayog
in 2015.
• An important difference between both
is that, unlike the planning commission,
NITI Aayog provides a platform for
state governments to come and act
together in national interest. This can
also promote Cooperative Federalism.
Overview
• The National Institution for Transforming
India (NITI Aayog), was established on
January 1, 2015 by a resolution of the
Union Cabinet.
• NITI Aayog is the Government of India's
premier policy "Think Tank," offering
both directional and policy feedback.
NITI Aayog offers appropriate technical
advice to the Centre and States while
planning strategic and long-term
policies and programmes for the
 government.
• The Governing Council of NITI includes:
» The Prime Minister – as chairman,
» Chief Ministers of all States and Lt.
Governors of Union Territories (UTs).
• On 7 June 2018, reconstitution of NITI
was approved by the Prime Minister to
include Ex-officio members and special
invitees.

FOSTER
COOPERATIVE
FEDERALISM

DESIGN Functions MONITORING

POLICY &
PROGRAMME
of NITI AND
EVALUATION
FRAMEWORK Aayog

ACT AS A
RESOURCE
CENTRE &
KNOWLEDGE
HUB

Features
• NITI Aayog works as a State-of-the-
art Resource Centre. It has necessary
resources, knowledge and skills that
help to act with speed, for research
and innovation, provide strategic
policy vision for the government, and
deal with contingent issues.
• NITI Aayog does following four types
activities:
» Design Policy & Programme Framework;
» Foster Cooperative Federalism;
» Monitoring & Evaluation; and
» Think Tank and Knowledge & Innovation
Hub.
Composition
The NITI Aayog will comprise the following:
1. Chairman - Prime Minister of India.
2. Governing Council will include the
Chief Ministers of all the States and Lt.
Governors of UTs.
3. Regional Councils will be formed for
specific tenure to address specific issues
and contingencies impacting more
than one state or a region. The Prime
Minister will convene these councils.
The Chief Ministers of States and Lt.
Governors of UTs in the region will be
members of the council. The chairman
of the NITI Aayog or his nominee will
chair the council.

85
4. Experts and specialist having relevant
and updated domain knowledge will be
nominated by the Prime Minister as a
special invitee.
5. The full-time organizational framework
will be as follow:
a. Chairperson: The Prime Minister;
b. Vice-Chairperson: To be appointed by
the Prime Minister;
c. Members: Full-time members;
d. Part-time members: a maximum of two
from leading universities, academic
agencies, and other related institutions.
Part-time staff will be rotated on a daily
basis;
e. Ex Officio members: Maximum of
4 members of the Union Council of
Ministers to be nominated by the Prime
Minister;
f. CEO: The Prime Minister will appoint
a CEO for a fixed tenure, and which
will have the rank of Secretary to the
Government of India; and
g. Secretariat as deemed necessary.
Highlights of Initiatives Under
NITI Aayog
1. A 15 years Vision Document, and 7
years Strategy beyond 12th Five Year
Plan: NITI Aayog has prepared the 15-
year vision document which includes
social goals set for next 15 years; it also
include a strategy document for next
seven years till 2023-24 to convert the
longer-term vision into implementable
policy.
2. Agricultural Marketing and Farmer
Friendly Reforms Index: It was the
first ever index of this kind with the
objective to sensitise states about the
need to undertake reforms in the three
key areas of Agriculture which are 1)
Market Reforms, 2) Land Lease Reforms
and 3) Forestry on Private Land (Felling
86
and Transit of Trees).
3. Reforming Medical Education:
Scrapping of the Medical Council of
India and its replacement by a new
body for regulating medical education
is recommended.
4. Digital Payments Movement: In 2016,
the NITI Aayog established a Committee
of Chief Ministers on Digital Payments,
with Chandrababu Naidu, the then-
chief minister of Andhra Pradesh, as
its convener, to promote transparency,
financial inclusion, and a healthy
financial ecosystem across the country.
In 2017, the Committee submitted its
preliminary report.
5. The NITI Aayog has taken the
lead on Blockchain applications
in e-governance, coining the term
"IndiaChain" to describe the technology
stack. Niti Aayog's ambitious project
to create a nationwide blockchain
network is known as IndiaChain.
6. Atal Innovation Mission: The
government has developed the
Atal Innovation Mission (AIM)
within NITI Aayog with the goal of
strengthening the country's innovation
and entrepreneurship ecosystem
by developing institutions and
programmes that promote innovation
in schools, colleges, and businesses
in general. The following big schemes
were implemented in 2016-17:
a. Atal Tinkering Labs (ATLs): AIM is
assisting 500 ATLs in schools across
India to promote innovation and
scientific temper in students, where
students can design and construct
small prototypes to address problems
they find around them, using rapid
prototyping technologies that have
emerged in recent years.
b. Atal Incubation Centres (AICs): AIM
will provide Rs. 10 crore in funding and
capacity building for the establishment
of AICs across India. This will help
startups in expanding faster and
 enabling innovation-entrepreneurship
in core sectors such as manufacturing,
transportation, electricity, education,
agriculture, water and sanitation, and
so on.
7. Indices Measuring States’ Performance
in Health, Education and Water
Management: The NITI Aayog has
developed some indices which will
measure incremental annual outcomes
in critical social sectors like education,
sanitation, health, drinking water with a
view to nudge the states into competing
with each other for better outcomes.
8. Task Force on Elimination of Poverty
in India: It was constituted on 16th
March, 2015 under the Chairmanship
of Dr. Arvind Panagariya. The report
of the Task Force primarily focusses on
87
issues of measurement of poverty and
strategies to combat poverty.
9. Model Land Leasing Law: NITI Aayog
has formulated a Model Agricultural
Land Leasing Act, 2016 so as to recognise
the rights of tenants and also to protect
the interests of landowners, in response
to an increase in incidents of leasing in
and out of land and suboptimal usage
of land with fewer cultivators.
10. Transforming India Lecture Series: NITI
Aayog, the government's premier think
tank, sees knowledge development
and transition as a primary enabler of
real change in states. On August 26,
2016, NITI Aayog launched the ‘NITI
Lectures: Transforming India' with the
aim to create the knowledge systems
for States and the Centre.
 CHAPTER - 9

CIVIL SOCIETY

Introduction organisations, professional societies,

trade unions, social movements,
coalitions, and advocacy organisations
• Civil society, as opposed to government all fall under the umbrella of civil society.
and commercial for-profit actors, refers
to the space for collective action around
• Civil society, on the other hand, is not
homogeneous, and the lines between
common goals, aims, and values.
civil society and government, as well as
• Charities, development NGOs, between civil society and commercial
community organisations, women's actors, can be blurred.
organisations, faith-based

Governance without Government

Martket Civil Society

Non-
Philantropic
Free Martket Financial States Government Countries States

Private Public Tribes

Questions in context of civil society

• What role does civil society play?
• Are there spaces and mechanisms available to civil society and citizens to participate
in the process of policymaking?
• Does the process allow civil society and citizens to participate from an empowered
position?
• What are the social, political and economic factors that are enabling or impeding
civil society’s participation?

88
Types of Civil Society Organizations
(CSOs)
• CBOs are generally organized to directly address the
immediate concerns of their members.
• CBOs may mobilise communities by voicing demands,
organising and implementing participatory processes, using
external development resources, and sharing benefits among
Community-Based members, among other things.
Organizations
(CBOs) • The CBOs perform many functions that include activities
relating to economic, social, religious, and even recreational
issues.
• Examples of CBOs include neighbourhood associations,
tenant associations, community development organizations,
water-user groups, and credit associations.
• These organizations address social and humanitarian issues
relating to development, individual and community welfare
Development NGOs and well-being, and poverty.
(or CSOs)
• They also address environmental and natural resource
protection, management, and improvement.
• These are religious-based groups organized around a place
Faith-Based of religious worship or congregation, a specialized religious
Organizations institution, or a registered or unregistered institution with a
religious character or mission.
• These are philanthropic or charitable organizations set up
by individuals or institutions as a legal entity (a corporation
or trust) supporting causes consistent with the goals of the
foundation.
• They may also be organized as charitable entities that receive
Foundations
donations for the purpose of financing specific activities that
are often of a cultural or socially beneficial nature.
• Examples include Sir Ratan Tata Trust (India), the Bill and
Melinda Gates Foundation (United States), and the Ford
Foundation (United States).
• According to the United Nations Economic and Social
Council: It is “any international organization that is not
founded by an international treaty”.
International NGOs • Typically headquartered in a developed country, INGOs
(INGOs) include Action Aid, the Cooperative for Assistance and
Relief Everywhere (CARE) International, Mercy Corps, Plan
International, Save the Children, Transparency International,
and World Vision.

89
 • These are formally organized associations of workers who
have united to advance their collective views regarding
Labour Unions wages, hours of work, and working conditions.
• Labour unions are often organized on an industry- or
occupation-specific basis.
• Nowadays the term “NGO” refers more narrowly to
Nongovernment professional, intermediary, and non-profit organizations.
Organizations They are involved in the service provision or service advocacy
(NGOs) in the fields related to socio-economic development, public
welfare, human rights, etc.
• These are grassroots volunteer organizations that advance
the economic and social well-being of their members.

People’s • POs are more likely to be organizations that address concerns

Organizations (POs) relating to a particular sector, such as artisanal fisher folk,
rather than a particular geographic location. Other examples
of POs include those formed by farmers, local labourers, or
indigenous peoples.
• These organizations represent the interests of their members
who typically engage in a certain occupation, or practice a
particular profession.
Professional
• Professional associations may also enforce standards
Associations
relating to the profession practiced by their members.
• Examples include associations of architects, certified public
accountants, and economists.
• These organizations typically conduct research and analysis,
relating to public policy issues and disseminate their findings
Research Institutes and recommendations in hopes of influencing decision
makers and opinion formers.
• Examples include the World Resources Institute.
• These large informal groupings of individuals or organizations
attempt to effect social change through sustained, organized,
collective action.
Social Movements • Social movements are not permanent institutions, but instead
tend to coalesce, pursue their aims, and then dissolve.
• Examples include movements to end slavery, capital
punishment, apartheid, and economic liberalism.

90
Types of
Civil Society
Organizations
(CSOs) in Terms of
Function
1. Service-delivery CSOs develop,
monitor, and implement projects,
programs, or services. They tend to
work closely with CBOs and are often
based at the community level.
2. Representation CSOs provide a unified
voice for the concerns of particular
groups of citizens. These groups
include CSO umbrella and network
organizations, as well as indigenous
peoples’ groups.
3. Advocacy and Policy Input CSOs
provide expertise and lobbying services
relating to particular issues. Included
in their ranks are think tanks, research-
oriented institutions, and “watchdog”
groups.
4. Capacity-building CSOs support
other CSOs in funding, training, and
awareness-raising activities. They often
include foundations and major, well-
established CSOs.
5. Social function CSOs foster collective
social activities. Religious groups are
often of this type.
6. Some CSOs, such as indigenous
peoples’ networks, fall under more than
one of the above types as they perform
multiple functions.
CSO Strengths
CSOs can make numerous positive
contributions to individual projects and to
the development process generally. Such
contributions include:
91
1. Mobilizing resources in ways that the
state alone cannot do;
2. Education: making people aware
about the socio-economic challenges
and address them;
3. Facilitating citizen participation in
development initiatives;
4. Promoting effective, honest, legitimate,
and responsive government through
public scrutiny and advocacy-based
activities;
5. Strengthening government’s links with
the overall population;
6. Giving voice and assistance to
underprivileged and marginalized
populations, and responding to local
needs;
7. Serving as a partner in cases in which
countries are suffering from armed
conflict or civil strife;
8. Frank perspective should be given on
issues and challenges of policies and
also on measures to solve those issues;
9. Training leaders, disseminating
information, and conducting research
relating to public policy challenges;
10. Introducing new development
approaches and models;
11. Creating a feeling of local ownership
and commitment to ADB-financed
projects and other development
initiatives; and
12. Flexibly responding to shifts in local
conditions that necessitate mid-course
shifts in project implementation.
Constraints to CSO
Participation
Several traits found to varying degrees in
CSOs can inhibit their reliability as partners
in dialogue or in an operational context. In
particular, CSOs may:
1. Lack a resource base and have weak
 administrative, financial, organizational,
and technical capacity;
2. Have limited strategic perspectives and
weak linkages with other stakeholders;
3. Create only small-scale impacts;
4. Focus on idealistic aims rather than on
measurable results;
5. Depend excessively on one or a small
number of leaders, and be susceptible
to capture by elites;
6. Coordinate poorly with other CSOs;
7. Be prone to politicization, and
suffer strained relationships with
governments; and
8. Be donor driven, pursuing grant
opportunities rather than seeking
engagement in those areas in which
they possess the greatest comparative
advantage or expertise.
History of Civil
Society Activity in
India
• In India, civil society has a long history
focused on the principles of daana
(giving) and seva (service).
• As early as the medieval period,
charitable organizations (those with a
voluntary spirit and no profit-making
goals) were interested in cultural
promotion, education, health, and
natural disaster relief.
• During the British period, these societies
worked in the fields of social welfare,
relief projects, literacy etc.
• The voices from the civil society space
were counterpoised to the colonial state
in myriad ways as different segments
like workers, peasants, press, were
mobilised to resist colonial oppression.
92
Mahatma Gandhi
• Gandhi saw rural poverty as the core
of India's problem and believed that
the only way to get the country back
to prosperity was to establish village
self-reliance, based on locally available
resources.
• After returning to India in 1916,
Mahatma Gandhi gave importance to
economic self-sufficiency of India. He
promoted the Swadeshi movement and
encouraged local production of goods
on small-scale to bring economic self-
sufficiency.
• He also believed that decentralised
voluntary action through gram
panchayats (village councils) was the
best way to spur India's development.
Gandhi re-energized India's civil society
by emphasising the importance of
social responsibility alongside political
independence.
During the Independence
Movement
• Nationalist consciousness spread
through India in the second half of
the nineteenth century, and self-help
became the primary focus of socio-
political movements.
• During this time, a number of
organisations were established,
including the Friend-in-Need Society
(1858), Prathana Samaj (1864), Satya
Shodhan Samaj (1873), Arya Samaj
(1875), the National Council for Women
in India (1875), and the Indian National
Congress (1875).
• In 1860, the Societies Registration Act
(SRA) was passed to ensure the legal
status of the non-profit organisations
(NGOs). The SRA remains applicable
legislation for NGOs in India even
today, despite the fact that most
state governments have amended the
 original edition.
• Christian missionaries played an
important role in the efforts towards
poverty elimination, construction of
roads, schools, hospitals, etc.
• Meanwhile, non-governmental
organisations (NGOs) concentrated
their efforts on education, health,
disaster relief, and social welfare. In
India, it took the establishment of
the Servants of India, a secular NGO,
in 1905 to lay a solid foundation for
secular voluntary action.
Post-Independence Scenario
• Post-independence, the Indian
government intensified its efforts in
social welfare and development, but it
also recognised the capacity for civil
society to supplement and complement
its efforts.
• According to the first Five-Year Plan,
while planning for socio-economic
regeneration, the state should provide
maximum cooperation to these
civil societies that provide services.
Therefore, to give impetus to activities
related to social welfare, The Central
Social Welfare Board was created.
• The developmental activities were
decentralised after the 1950s. Some of
the early initiatives in this regard were
the National Community Development
Program and the National Extension
Service. The three-tier Panchayati
Raj System was another milestone in
decentralisation.
• At this time, many farmer unions
National Emergency: Historical shift in the relationship between civil society and the
State
• Clamped on 25th June 1975 against the backdrop of social and political agitations,
the emergency revealed the hidden potential of a democratic state to become
dictatorial.
93
and agricultural cooperatives were
established, and networking became
more common in civil society.
• The Association of Voluntary Agencies
for Rural Development (AVARD) was
founded in 1958 as a coalition of major
voluntary organisations.
1970s and 1980s
• In the 1970s, the government pursued
a "minimum needs" program, focusing
on the basic impediments to improving
the rural poor's quality of life, such as
schooling, energy, and health.
• Several governmental development
agencies, such as the People's Action
for Development of India, were formed
around this time.
• Civil societies were flooded with
foreign-trained Indians who brought
professionalism in the sector.
• Both welfare and empowerment
oriented organizations emerged
during this period, and development,
civil liberties, education, environment,
health, and livelihood all became the
focus of attention.
• NGOs started to be officially recognised
as state development partners in the
1970s and 1980s, when community
engagement became a fixed
component in a variety of social sector
projects.
• Their work is profoundly marked
by grassroots interventions, multi-
level lobbying, and mobilisation of
marginalised people to defend their
rights.
• The period saw the curtailment of the fundamental rights of people, the power of
judiciary, and the press. The dissident political leaders were put in the jail. Power
concentrated in the hands of a few who made arbitrary decisions.
• To seek legitimacy during emergency the state took a number of populist measures
to accelerate socio economic upliftment of the poor. The 20-Point Programme, as
it was called, included strict implementation of land reform legislations, liquidation
of rural indebtedness, abolition of bonded labour, participation of workers in
management, prevention of tax evasion, special benefit to the weaker section etc.
• Emergency and the restoration of democracy not only redefined and extended the
boundaries of civil society; it also by redefines the relationship of the citizens with
the state restructured civil society in a significant way and made it more alert to
transgression of its boundary by the state.

The 1990s onward also found in the survey report formed

• The process of structural adjustment
that began in the early 1990s and the
more recent approach of bilateral and
international donors channeling funds
directly through the government, NGO
networks, and large corporate NGOs,
have somewhat pushed peoples’
organizations into the background.
• Small, spontaneous initiatives at the
community level, as a response to
social and economic exploitations at
the community level, are no longer the
NGO sector's hallmark.
Civil Society: The
Present Scenario
• There are around 15 lakhs NGOs present
in India (i.e., Non-profit, voluntary
citizens’ groups organized on a local,
national, or international level).
• This includes temples, churches,
mosques, gurudwaras, sports
associations, hospitals, educational
institutions, youth groups formed during
festivals etc.
• However, most NGOs are facing
problems like a small workforce of
volunteers, unpaid staff. This has been
by Society for Participatory Research in
Asia (PRIA).
• According to this survey, it is found that
around one-fourth of all NGOs work in
religious activities and one-fifth work
for community and/or social service,
another one-fifth in education.
Legislation on NGO
Activity
Registration
• It is not necessary to register NGOs
in India, however there are some
advantages of registration, as:
1. It allows an NGO to deduct expenses
from income for tax purposes.
2. Foreign contributions can be easily
acquired.
3. Easy to get grant-in-aid from
government schemes.
4. Easy domestic fundraising.
Laws
• In legal terms, development
organisations in India are categorised
into charitable trusts, societies, and

94
 Section 25 companies under the
Societies Registration Act of 1860 and
the Income Tax Act of 1961.
• The Public Trust Act of 1976 regulates
trusts, which are regulated by the State
Office of the Charity Commissioner in
addition to federal regulations.
• The Foreign Donation Regulation Act
of 1976 regulates organisations that
accept foreign contributions, and the
Ministry of Home Affairs is in charge of
implementing it.
Relation Between
Government and
NGO
• Approaches of NGOs have been
changed along with changing
government agenda about
socioeconomic development.
• Thus, NGOs started focusing directly
on poverty elimination, when the
government changed its focus from
capital-oriented growth to anti-poverty
programs.
• As the government moved on to
macroeconomic and institutional
changes in the 1990s, NGOs started
to concentrate on scaling up their
operations. As a result, they collaborated
with the government to develop new
approaches and ensure that policy
changes matched.
• NGOs also increased activism and
lobbying, increased networking,
extended their scope of operations, and
targeted disadvantaged groups during
the 1990s, as well as the creation of
several forums to facilitate interaction
between the government and NGOs.
• The Planning Commission initiated an
NGO–government interface through a
series of conferences and, in 2000, was
95
appointed the nodal agency for NGO–
state interactions.
• The Council for Advancement of
People's Action and Rural Technology
(CAPART) was decentralised in the
second half of the 1990s so that the
anticipated benefits of NGO activities
could reach the country's less explored
and extremely poor areas.
• CAPART was established in 1986 to
facilitate and sustain grassroots efforts
to implement rural development
programmes.
• The state's and NGOs' priorities
have converged, especially in the
areas of community empowerment,
engagement, democratic institution
strengthening, and improving access to
basic services like health and education.
• The government has established a
number of institutions to promote
NGO funding (e.g., Khadi and Village
Industries Cooperatives, Central Social
Welfare Board, National Wasteland
Development Board, CAPART).
• The dependence on such support
by non-governmental organisations
has increased the risk of them losing
their autonomy and becoming mere
implementers of public-sector projects.
National Policy on
the Voluntary Sector
In May 2007, the cabinet of ministers of
the Government of India approved the
National Policy on the Voluntary Sector
as the first step in a process to evolve a
new working relationship between the
government and volunteer organizations.
The policy identifies four objectives:
1. Create an enabling environment for
volunteer organizations that stimulates
their enterprise and effectiveness, and
safeguards their autonomy.
2. Enable volunteer organizations to
legitimately mobilize necessary local
and foreign financial resources.
3. Identification of proper systems which
will facilitate the government to work
together with volunteer organizations,
based on the principles of mutual
trust and respect, and with shared
responsibility.
4. Encourage volunteer organizations to
adopt transparent, accountable systems
of governance and management.
Social Capital
Organisations and
India’s Constitution
• The Indian Constitution provides a
distinct legal space to social capital /
civil society institutions:
» Through its Article on the right to form
associations or unions – Article 19 (1)(c);
» Through Article 43 which talks of
States making endeavour to promote
cooperatives in rural areas; and
» Through explicit mention in entries
made in Schedule 7.
• The State list: Entry 32 – “Incorporation,
regulation and winding up of
corporations, other than those specified
in List I, and universities; unincorporated
trading, literary, scientific, religious and
other societies and associations; co-
operative societies”.
• The Union list:
» Entry 43 – “Incorporation, regulation
and winding up of trading corporations,
including banking, insurance and
financial corporations but not including
co-operative societies”.
» Entry 44 – “Incorporation, regulation
and winding up of corporations,
96
whether trading or not, with objects not
confined to one State, but not including
universities”.
• Concurrent List:
» Entry 10 – “Trusts and Trustees”.
» Entry 28 – “Charities and charitable
institutions, charitable and religious
endowments and religious institutions”.
Role of Media
Media and Corruption
• Media can play a major role in fighting
corruption. A media, which is free and
independent, can work towards the
awareness generation about corruption,
exposing the corruption and forming
public opinion against it.
• Similarly, media reports about the
corruptions and daily reporting of
corruption cases can be a source of
proof against corruption.
• Timely action should be taken by the
authorities to immediately respond to
such reports, to appraise the correct
facts, to take steps to bring the culprits
to book and to keep the press and the
public informed from time to time of
the progress of such action.
Challenges
• However there are some challenges in
the role of media in corruption removal:
» Using unverified allegations and
information under the pressure of
competition from other media channels.
» Occasionally, such allegations/
complaints are motivated.
» Media trials, shaming of people involved
in the crime, even before their crime is
proved.
• It is important to establish norms
and procedures that ensure that all
allegations/complaints are properly
investigated and that the individual
facing such allegations is given a
reasonable opportunity to present his
or her side of the story.
• The Press Council of India, for example,
was established to uphold and develop
the standards of newspapers and news
agencies in India. A Code of Conduct
for the Print Media has been developed
by the Press Council of India. Electronic
media, on the other hand, is currently
beyond the scope of this.
Recommendations:
• It is necessary to evolve norms and
practices requiring proper screening of
all allegations/complaints by the media
and putting them in the public domain.
• Strict regulations are needed to prevent
media trials.
• There should be a Code of Conduct
for the electronic media and strict
adherence to this code should be
ensured.
• There is a need for coordination
between government agencies and the
media.

Some Civil Society Movements:

• The Chipko movement which became famous as the first environmental movement
in India, took place in the early 70’s when the people in a hilly village in Garhwal,
Uttar Pradesh resisted the commercial felling of the trees by ‘hugging’ them.
• The Narmada Bachao Andolan, the resistance to the gigantic multipurpose Sardar
Sarovar Project on Narmada River, opened the debate on dams as ‘temples of
modernisation’. The movement raised important questions concerning development
and displacement which are interwoven with state intervention, dominant interest,
and rights of people over their resources.
• SEWA- Self Employed Women’s Association (a trade union of women vendors)
established in 1972 addressed issues like gender discrimination at the work place,
unequal wage and the domestic labour.
• In the northern region where the low caste movement emerged rather late, the dalit
social assertion has been galvanised by a parallel political manifestation in the
form of Bahujan Samaj Party (BSP).

97
 CHAPTER - 10
REGULATORY AND QUASI-JUDICIAL
BODIES
Regulatory Agencies
Independent Statutory
Regulating Agencies
• Independent Statutory Regulating
Agencies are independent of the
executive departments and established
by an act of Parliament. Despite
the fact that they are part of the
executive branch, these departments
are intended to impose and execute
legislation without regard for political
considerations.
• The last century saw the emergence
of a particular category of regulatory
systems - Independent Statutory
Regulating Agencies.
• These structures differ from the
general administrative system as
they are separate from the executive
branch of government and enjoy some
independence.
Self-Regulatory Authorities
• There is one category of the body called
as Self-Regulatory Authorities. These
authorities are made under different
laws but are self-regulatory by nature.
• The self-regulating bodies perform
the following function: (i) matters of
professional education: curriculum
development, setting of teaching
standards, institutional infrastructure,
degree recognition etc. And (ii) issues
relating to the licensing and the
excellent conduct of employees.
98
Examples
• In the post-economic liberalisation
period of independence, several
independent regulatory mechanisms
have been established in India to
provide a balanced sector in the private
sector, competitively and above all to
protect consumer interests.
• Recent examples of such procedures
include the Telecom Regulatory
Authority of India (TRAI), followed by
the Electricity Regulatory Commission
(ERCs) and the Insurance Regulatory
and Development Authority (IRDA).
• However, even before establishing these
regulators, India had experience in the
management of specific sectors by the
highest levels of Government. The most
important of that is the Central Bank of
India which is the Reserve Bank of India.
Issues Facing
the Regulatory
Bodies and
Recommendations of
2nd Arc
Issues with Regulatory Bodies
in India:
• Interference from the political parties;
• Lack of sufficient review mechanism;
• Recommendations of regulatory bodies
are rarely implemented; and
• Vague appointment are made where
non-expert candidates are given
regulatory responsibilities.
Recommendations of 2nd Arc
• In addition to the official framework
supporting the intergovernmental
communication with the regulator,
each Department must translate a
‘Management Statement’ outlining
each regulator's objectives and roles
and the guidelines governing their
contact with the government.
• There is a need for more excellent
uniformity about the appointment,
retention and removal of different
regulatory authorities. It is established
for the same purposes and functions
and that the same level of independence
should be achieved.
• Union / State Governments must make
the Chairperson and members of the
Board of all such executive authorities
after initial scrutiny and nomination by
the Nominating Committee.
• The term of office of Chairperson and
Members of the Board may be made
equal to three or 65 years or wherever
previously.
• The provisions of the law in respect of
the removal of Board Members must be
uniform and at the same time ensure
sufficient protection against unfair
removal.
• Parliamentary oversight of directors
must be ensured through Parliamentary
Ordinary General Committees Related
to the Department.
• The body of renowned external experts
should recommend guidelines for
periodic inspections of independent
regulators.
Tribunals
• The term ‘Tribunal’ has derived from
the word ‘Tribunes’, which means
‘Magistrates of the Classical Roman
Republic’.
99
• ‘Tribunal’ is an administrative body
established to discharge quasi-judicial
duties.
• They are set up to arbitrate disputes
related to specified matters. It is not a
Court or an executive body. It stands
somewhere midway between them.
• In certain cases, the term tribunal refers
to a judicial (or quasi-judicial) entity with
less formality than a court, to which the
usual rules of proof and procedure do
not apply, and to which the presiding
officers are frequently neither judges
nor magistrates.
Evolution of Tribunals in India:
• The history of tribunals in India dates
back to 1941 when the first Tribunal
was established in the Income-Tax
Appellate Tribunal form.
• Constitution (Forty-second
Amendment) Act, 1976: Based on the
recommendations of the Swaran Singh
Committee, Part XIV-A was added
by the Constitution (Forty-second
Amendment) Act, 1976, titled ‘Tribunals’,
which laid out for the establishment of
» ‘Administrative Tribunals’ under Article
323-A: It gives exclusive power to the
Parliament for establishing tribunals.
» ‘Tribunals for other matters’ under
Article 323-B: It gives power to
the concerned State Legislature to
constitute Tribunals for the respective
subjects specified therein.
• Administrative Tribunals Act, 1985: It
provides for the establishment of three
kinds of administrative Tribunals: The
Central Administrative Tribunal (CAT),
State Administrative Tribunals (SAT)
and Joint Administrative Tribunals
(JAT).
• Tribunalisation of India: Now,
tribunals have replaced high courts
for disputes under the Companies Act,
 Competition Act, SEBI Act, Electricity
Act, and Consumer Protection Act,
among others. The number of tribunals
increased to 36 in 2016.
• The Finance Act, 2017: The Finance
Act, 2017 has merged eight tribunals on
the ground of functional similarity and
has given the Government the power to
appoint and remove the members.
Need of Tribunals:
• Due to growing commercial ventures
and welfare activities by Government
in different sectors, Tribunals has been
established in all countries for the
reason that they are:
» Cheaper (cost-effective),
» Accessible,
» Free from technicalities & expeditious
(as they follow the principles of natural
justice, instead of the Indian Evidence
Act, 1872 which is commonly follow in
Courts),
» Efficient as they were manned by
experts having detailed knowledge of
their particular subject.
• Tribunals can lessen the burden of
pending cases in the courts of India.
• Tribunals can act as specialised judicial
bodies to deal with matters that require
specialised knowledge.
• Lack of tribunals leads to a crisis of delays
and backlogs in the administration of
justice. One should remember that the
Right to Fair and Speedy Trial is a part
of the right to life and personal liberty,
a fundamental right guaranteed under
Article 21 of India's Constitution.
• The Tribunals were established to
minimise the workload of courts,
expedite rulings, and provide a forum
staffed by lawyers and experts in
the areas covered by the Tribunal's
jurisdiction.
100
Criticism of Their Functioning:
• Pendency in Tribunals (Source: Law
commission of India report no. 272):
The top five central tribunals in the
country have a combined backlog of
over 3.50 lakh cases, with the Income
Tax Appellate Tribunal alone having
over 91,000 cases. Thus the objective of
setting them up has not been achieved.
• Selection of members:
» The Tribunal Rules, 2017 gives the
Central government the power to “make
rules for appointment, removal and
other conditions of service” for judges
appointed to tribunals.
» It is against the principles of
independence of tribunals, separation
of powers as the government is also a
litigant in many cases.
» Expertise: Further, when retired high
court judges invariably preside over
every tribunal, the justification of expert
adjudication by tribunals disappears.
• Uniformity in-service conditions:
Currently, there is no uniformity in the
age of retirement of tribunal members.
Even though the Supreme Court has
held that the Tribunals are substitutes
of the High Court, service conditions
should be the same.
• Appeal system: Tribunals were
established to reduce the burden on
courts. But as appellate tribunals'
decisions are regularly appealed before
High Courts, the purpose of establishing
tribunals gets defeated.
• Accessibility (benches of tribunals):
Tribunals are also not as accessible
as high courts. E.g. A shareholder in
Northeast would have to travel to the
Securities Appellate Tribunal (SAT) in
Mumbai to challenge any order by the
SEBI. This makes justice expensive.
Recommendations of Law
Commission Report No.272:
1. Selection of members:
a. To ensure impartial selection of
members of tribunals, involvement
of government agencies should be
minimal.
b. They should be appointed by a
selection committee headed by
India's Chief Justice or a sitting
judge of the Supreme Court. It
should have only two nominees of
the central government.
2. Uniformity in Service Conditions:
a. There should be uniformity in the
appointment, tenure, and service
conditions for the members of
tribunals.
b. To ensure this, monitoring their
working should be transferred to a
single nodal agency, set up under
the Ministry of Law and Justice.
3. Appeal system:
a. Appeals against a tribunal’s order
should first lie before the appellate
tribunal set up by that act. Only
when appellate tribunals don’t exist
should the appeal lie before a High
Court.
b. Moreover, a party aggrieved by an
appellate tribunal’s decision can
approach the Supreme Court only
on the grounds of public or national
importance.
4. Accessibility (Benches of tribunals):
a. To ensure access to justice by
people across geographical areas,
Tribunals should have benches in
different parts of the country.
b. These benches should be located
where High Courts are situated.
101
The Constitution
(One Hundred
and Twenty-Third
Amendment) Bill,
2017
• Constitution (123rd Amendment) Bill,
2017 was approved by parliament in
2018.
• It seeks to give the National Commission
on Backward Classes (NCBC)
constitutional status, at par with the
National Commission for Scheduled
Tribes and National Commission for
Scheduled Castes (NCSC).
• Role of NCSC:
» Under the Constitution, the NCSC
can look into complaints and welfare
measures about Scheduled Castes,
backward classes and Anglo-Indians.
» The Bill seeks to remove the NCSC’s
power to look into matters related to
backward classes.
• Constitutional status of National
Commission for Backward Classes:
» The NCBC was established under the
National Commission for Backward
Classes Act, 1993. It can examine
complaints regarding exclusion
or inclusion of groups within the
backwards classes list and advise the
central government.
» The Bill establishes the NCBC under
the Constitution and provides it
authority to inspect welfare measures
and complaints regarding socially and
educationally backward classes.
• Meaning of Backward classes in the
Bill:
» The Bill states that the President may
 specify the educationally and socially
backward classes in some states and
union territories in consultation with the
Governor of the respective state.
» However, a law of Parliament will be
required if the list of backward classes
is amended.
• Composition and service conditions:
Underneath the Constitution
Amendment Bill, the NCBC will
contain five members appointed by
the President. The President will also
decide their tenure and conditions of
service by rules.
• Functions:
Under the Constitution Amendment
Bill, the responsibilities of the NCBC will
include:
» Investigating and monitoring how the
protections given to the backward
classes under the Constitution and
other laws are being enforced.
» Investigating individual complaints
about abuses of rights and
recommending and providing
recommendations on the
socioeconomic advancement of those
classes.
» The central and state governments will
be anticipated to work with the NCBC
on all major policy issues concerning
the educationally and economically
disadvantaged groups.
» The NCBC will be required to present
annual reports to the President to work
on backward classes' safeguards. These
reports should be tabled in Parliament
and the state legislative assemblies of
the respective states.
• Powers of a civil court:
» Under the Constitution Amendment Bill,
the NCBC will have a civil court's powers
while investigating and inquiring of any
complaints.
102
» These powers include:
i. Summoning witnesses and
questioning them under oath;
ii. Requiring the production of any
document or public record; and
iii. Receiving evidence.
National
Commission for
Women (NCW):
Analysis
• The NCW was established in 1990 as an
autonomous statutory organisation.
• Politicians should head it. Under the
NCW Act,1990 the chairperson must
be committed to women's cause. Five
other members are to be there.
• The NCW has broad powers to:
» Investigate matters related to
safeguards for women;
» Review laws and policies, also suggest
enhancements;
» Look into complaints for taking suo-
moto notice of the issues relating
to non-implementation of laws and
non-compliance of policy decisions,
deprivation of women’s rights, guidelines
aimed at mitigating hardships and
ensuring the welfare & providing relief
to them; and
» Inspect remand homes, jails, and
women’s institutions etc. and make
periodic reports to the government.
• The implementation of the NCW over the
past three decades has not been done.
All governments elect the chairman of
the NCW from their parties. Ideally, the
election of a chairperson and members
should be transparent and democratic.
• Most chairpersons were ignorant
of women's issues. They were not
passionate about gender issues. The
NCW, therefore, has failed many times
in history.
• Even after the Delhi gang rape of
103
December 16, 2012, the NCW did not
make enough noise and did not lead
the reform movement. The community
itself came up with street activists who
forced the government to pass a special
sexual harassment law in 2013.
 CHAPTER - 11
ADMINISTRATIVE REFORMS
What is
Administrative
Reform?
• There are far-reaching changes required
in the way a government functions.
• Processes and Systems built for an
era of command & control must give
consultative policy-making and better
value for citizens' tax money. These
changes needed for implementing this
new paradigm falls under the umbrella
of Administrative Reform.
• Administration reforms should aim
for goals such as eliminating bribery,
nepotism, and corruption, increasing
representativeness, encouraging
citizen and community involvement,
and improving accountability and
transparency in public life.
Administrative
Reform Vs
Organizational
Development
• Administrative Reforms are different
from on-going organizational
development, which anyway takes place
as government institutions mature.
• Administrative Reforms are focused &
planned inducement of organisational
transformation instead of incremental
changes happening in government
institutions' working to deal with simple
gradual changes.
104
• Administrative Reform means changes
that are ‘paradigm-shifting or
‘transformational’. Such Reforms are
bound to meet with resistance.
• Thus, any administrative reform
effort includes the changes required
for government functioning and
consideration of resistance anticipated
and how to overcome it from a ‘change
management perspective.
Why are
Administrative
Reforms Needed?
• Until the 1970s, in developed countries,
emphasis was on bureaucratization,
institution building, nationalization
and a variety of organizational and
administrative capacity building for
economic development.
• The last quarter of the 20th century
has seen a reversal of governments'
traditional role, popularized as a ‘roll-
back’ of the US and UK.
• With the rising capability of the
private sector to take more activities,
Reforms' focus has shifted to reducing
government roles.
• In many developed countries thus, this
reduction is seen as an end in itself.
The purpose of Reforms can thus be
seen as reducing government presence
in citizens’ daily lives, allowing private
companies to deliver.
• In developing countries, however,
Reforms are meant to improve
administrative capacity to achieve
national goals effectively.
• With high poverty levels and
undeveloped infrastructure, reforms are
needed with having an administration
capable of bringing about political,
economic and social development.
• The focus is thus not on reducing
the role of government itself, but on
changing it so that the government can
divert more resources to developmental
activities that are in line with citizens'
emerging aspirations.
Administrative
Reform Across the
World
There are six phrases which summarize the
directions in which administrative reforms
has emerged in developed countries.
Reinventing Government
• The reinventing government movement
has changed practices at all government
levels both in the United States and
outside.
• The Osborne-Gaebler book of 1992
popularized the ‘reinventing theme‘
based on leadership principles to give
direction, citizen empowerment, total
quality management, competition,
decentralization, civil service reform,
performance budgeting, and
privatization.
• It is based on the thought that
government finds itself with a
very dedicated people trapped in
inadequate systems like:
» Personnel management systems that
are very cumbersome and yet offer
minimal incentive to achieve results.
» Budget systems which provide
incentives to waste money.
• Thus, the government needs to be more
productive, and therefore fundamental
105
changes are required instead of quick
fixes.
• Criticism: It assumes that government
should be market-like and citizens
should be regarded as customers,
that government employees are the
problem, and downsizing, cost reduction
& deregulation are the way to increase
government effectiveness.
National Performance Review
(NPR)
• President Bill Clinton initiated the
National Performance Review in 1993.
• The first phase of NPR announced in
September 1993 is a redistribution of
control over the administration between
the President and Congress, and among
various government agencies.
• This phase focuses on ‘how government
works’ rather than on ‘what government
does’.
• The second phase announced in 1994,
addresses what the government does.
It advocates consolidating, privatizing,
and terminating programs. It also
addressed concerns with the scope, size
and intrusiveness of federal operations.
• Criticism of NPR: Accountability system
measures output rather than outcome.
Under such a system ‘what counts’
becomes ‘what matters’, rather than
‘what matters’ being ‘what counts’. This
problem continues with present day
Office of Management and Budget
(OMB) and Program Assessment Rating
Tool (PART) assessment in the US.
New Public Management
(NPM)
• It emphasizes market efficiency in the
public sector.
• It highlighted managerial issues
 such as performance measurement,
pay-for-performance, participatory
decision-making processes & flexible
organizational culture.
• NPM vision is that of public managers
as entrepreneurs of a newer, leaner and
increasingly privatized government,
emulating the practices and business
values.
• We have already seen many private
players competing successfully with the
public sector; and in the process industry
structures have been of customers’
advantage. Telecom, Banking and
courier services are examples of today.
• Even without direct competition,
agencies (like Railways) have improved,
thanks to technology and management
principles like inventory management
and turnaround time.
• Criticism: It is not simple to figure out
how costs will be minimum for a specific
value. When it comes to handling
multiple and conflicting citizen needs,
serving vulnerable constituencies and
managing different interest groups,
NPM doesn’t have answers.
Compulsory Competitive
Tendering (CCT)
• Introduced in the 1980s, CCT requires
procurement of services through
competitive bidding.
• Primarily applied to a narrow set of
functions, CCT has been extended
to manual services and then to many
white collar functions in Britain.
• Criticism:
» In practice, CCT failed to deliver genuine
competition. Costs associated with
monitoring contract compliance were
higher because contracting parties'
relationships started turning into short-
term and low trust relationships.
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» Cases were seen where authorities
were determined to avoid outsourcing
and thus ended up in manipulating the
process.
» While CCT made the costs of services
transparent, the detailed prescription
of the form & timing of competition
led to unimaginative tendering. It was
often frustrating rather than enhanced
real competition.
» CCT was thus withdrawn in the UK and
replaced with the Best Value regime.
Best Value Regime
• The Best Value Regime about
government functioning emphasizes
the need to ensure that services
meet the citizens' needs and not the
convenience of service providers.
• Best Value programmes in the UK were
designed to promote user involvement
in various local services including
social care, housing management and
education.
• This put pressure on government
agencies to engage with the public and
more with communities who are less
vocal.
• Number of authorities consulted local
people about the information they
want access to, the issues they wish
to be consulted and their preferred
mechanisms for consultation.
• Britain’s Local Government Act 1999
requires authorities to consult the
service users and the taxpayers.
• Criticism: In practice most of the
consultations have been a charade.
Authorities already made up their
minds about what was needed,
but tried to give the appearance of
consultative decision-making. Another
issue is consultation fatigue among
local people.
Alternative Service Delivery
(ASD)
• ASD is a Canadian phenomenon that
made a broader impact. It refers to
the varied organizational forms and
delivery mechanisms the government
uses to achieve their objectives.
• Lessons learnt from ASD experiences
have improved the prospects of getting
service delivery right. Unbundling
of bureaucracy through ASD is an
innovative response to the public’s
insistence on improved service and low
resources pressures.
• ASD is a platform for developing
relationships among the public, private
and voluntary sectors.
• ASD shows the reality that governance
is an untidy business, and it will remain
so. Thus, today’s public service must be
consultative, outcome-focused, flexible,
and proactive in supporting innovation
from the bottom-up.
• As the new generation of public
managers take over, there should be
renewed emphasis on innovative means
to deliver government services.
History of
Administrative
Reform in India: 1st
ARC
• In January 1966, the First Administrative
Reforms Commission (ARC) was
established as a Commission of
Inquiry to review the country's
public administration and make
recommendations for improvement and
reorganisation as required, involving
the following aspects:
» The machinery of the Government of
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India and its measures or work,
» The machinery for planning at all levels,
» Personnel administration,
» District administration,
» Economic administration,
» Administration at the State level,
» Centre- State relationships,
» Financial administration,
» Agricultural administration and
» Problems of redress of citizens
grievances.
• The Administrative Reforms
Commission was chaired initially by
Shri Morarji Desai. Later on Shri K.
Hanumanthaiah became its chairman
when Shri Morarji Desai, became the
Deputy Prime Minister of India.
• The Commission submitted the
following 20 reports before curving up
in mid- 1970.
1. Problems of Redress of Citizens
Grievances (Interim)
2. Machinery for Planning (Final)
3. Economic Administration
4. The Machinery of GOI and its
procedures of work
5. Machinery for Planning
6. Administration of UTs & NEFA
7. Personnel Administration
8. Delegation of Financial &
Administrative Powers
9. Centre-State Relationships
10. Public Sector Undertakings
11. Finance, Accounts & Audit
12. Life Insurance Administration
13. Central Direct Taxes Administration
14. State Administration
15. Small Scale Sector
16. Railways
17. Treasuries
 18. Reserve Bank of India Resolution: Friction to Fusion.
19. Posts and Telegraphs 8. Combating Terrorism.
20. Scientific Departments 9. Social Capital: A Shared Destiny.
• The above 20 reports contained 537 10. Refurbishing of Personnel
significant recommendations. Based on Administration: Scaling New
various administrative Ministries' inputs, Heights.
a statement indicating implementation 11. Promoting e-Governance: The
position was placed before the Smart Way Forward.
Parliament in November, 1977.
12. Citizen Centric Administration: The
Heart of Governance.

History of 13. Organisational structure

Government of India.
of

Administrative 14. Strengthening Financial

Reform in India: 2nd Management System.

ARC
• 2nd ARC constituted as a Commission
of Inquiry in 2005. It was chaired by Shri
Veerappa Moily.
• It was required to prepare a blueprint
for revamping the public administrative
system and suggest measures to
achieve a responsive, accountable,
sustainable, proactive, and efficient
administration for the country at all
levels of the Government.
• It has presented 15 Reports to the
Government for consideration.
• It had presented the following 15 Reports
to the Government for consideration:
1. Right to Information- Master Key to
Good Governance.
2. Unlocking human capital-
Entitlements and Governance – a
Case Study.
3. Crisis Management- From Despair
to Hope.
4. Ethics in Governance.
5. Public Order -Justice for each peace
for all.
6. Local Governance.
7. Capacity Building for Conflict
15. State and District Administration.
• The recommendations of 2nd ARC are
mentioned below.
Recommendations on
Right to Information
(1st Report)
• The Official Secrets Act, 1923 should be
revoked, and substituted by a chapter
in the National Security Act, containing
official secrets.
• As an acknowledgment of the
importance of openness in public
life, ministers can take an oath of
transparency in addition to the oath of
office, and the obligation of enforcing
the oath of secrecy should be waived.
Articles 75(4) and 164(3), as well as the
Third Schedule, should be appropriately
revised.
• The Armed Forces should be included
in the Act's Second Schedule, which
should be reviewed on a regular basis;
• All agencies specified in the Second
Schedule must appoint PIOs. Appeals
against PIO directives should be
directed to CIC/SICs. (This clause may

108
 be rendered by excluding problems
under section 30.) The GOI should
safeguard the constitution of SICs in all
States within 3 months.
• The CIC should establish 4 regional
offices of CIC with a Commissioner
heading each and similar regional
offices of SICs should be shown in
bigger States.
• At least half of members of the
Information Commissions should
be pinched from non-civil services
background. Such a provision should
be made in the Rules under the Union
Government's Act, applicable to both
CIC and SICs.
• Any Ministries/Departments/Agencies/
Offices with more than one PIO
must appoint a nodal Assistant
Public Information Officer to receive
information requests on behalf of all
PIOs. Necessary governments should
have such a clause in the Rules.
• Within six months, the GOI and all
states could constitute Public Records
Offices as autonomous authorities by
merging and reforming the various
agencies currently engaged in record
keeping. This Office will assist as a hub
for scientific and clinical experience in
public record management.
• As a one-time initiative, the Government
of India will establish a Land Records
Modernisation Fund to survey and
update all land records. The amount of
assistance provided to each state will
be determined by an appraisal of the
field situation.
Recommendations on
Unlocking Human
Capital (2nd Report)
• All state governments should implement
awareness-raising programmes.
109
Publicity and educational materials
should be accessible in local languages.
Independent sample polls should be
used to assess the feasibility of these
programmes.
• As with the Sarva Siksha Abhiyan and
the National Rural Health Mission,
extensive use of All India Radio and
Doordarshan should be made of local
languages.
• Independent observers should be
deployed whenever possible in areas
where involvement of disadvantaged
groups is inadequate to ensure that the
more inferior groups participate and
receive their entitlements.
• To evaluate the socioeconomic effect
of NREGA, an assessment should be
conducted. Baseline success metrics
for essential services such as wellness,
education, and water should be
created and efforts to improve them
continuously.
• Rural development projects, which are
better handled at the local level, should
be shifted to Panchayati Raj Institutions.
• The extension of NREGA to lasting
areas should take up in a phased
manner. While expanding the coverage
of the NREGA, blocks should be taken
as units instead of districts, with the
most backward blocks included first.
• Funds of the Government of India
should be transported directly to the
districts.
• State Governments should develop
transparent procurement procedures
under the scheme and ensure that the
Panchayats transparently follow them.
• The Block/Intermediate Panchayat
should ensure that one Gram
Panchayat works do not adversely
affect Gram Panchayat adjoining. The
District Panchayat should follow the
same principle to ensure coordination
between pieces having inter-block
ramifications.
• To augment Panchayats' technical
resources at the village and intermediate
levels, a Block Resource Centre may be
set up, including a panel of experts and
professionals available at the block
level.
Recommendations on
Crisis Management
(3rd Report)
• A new entry of “Management of
Disasters and Emergencies, natural or
manmade, " may be included in List III
(Concurrent List) of the Constitution's
Seventh Schedule.
• Disaster/ Crisis Management should
continue the State Governments'
primary responsibility, and the Union
Government should play a supportive
role.
• Implementing mitigation/prevention
and response measures may be left
to the State Governments and the
district and local authorities with the
government of India's line ministries
departments, playing a supportive role.
• The National Executive Committee, as
required by the Disaster Management
Act, does not need to be established,
and the National Crisis Management
Committee (NCMC) can continue to
serve as the primary supervisory body.
The current coordination process at
the state level, headed by the Chief
Secretary, should be retained.
• In larger cities with populations
exceeding 2.5 million, the Mayor,
assisted by the Municipal Corporation
Commissioner and the Police
Commissioner, should be directly
responsible for Crisis Management.
• National Institute of Disaster
Management (NIDM) can continue
as an autonomous body and function
110
as an apex professional institution in
disaster management.
• All efforts for disaster management to
be based on hazard and vulnerability
analysis. Hazard and vulnerability
analyses should be made an essential
component of all crisis/disaster
mitigation plans.
• Awareness generation programmes
should be undertaken using tools of
social marketing.
• Crisis/disaster management plans
as stipulated under the Disaster
Management Act, 2005 should be
prepared, based on hazard and
vulnerability analysis. In case of industrial
hazards, the offsite emergency plans
should be integrated into the District
Crisis/Disaster Management Plan.
• It should be the responsibility of the
state's "nodal agency" to ensure that
sufficient support is available at
the district level for developing and
reviewing proposals on a regular basis.
• The disaster management plans'
activities should be included in the
development plans of the line agencies
and the authorities like panchayats and
municipal bodies.
• Panchayats can carry out location-
specific training programmes for the
society.
• The Civil Defence Act should be
amended as proposed to cover all
types of disasters. Civil Defence should
be constituted in all districts that are
vulnerable not only to hostile attacks
but also to natural calamities.
Recommendations
on Ethics in
Governance (4th
Report)
• Steps should be taken for immediate
implementation of the Benami
Transactions (Prohibition) Act 1988.
Encroachment, environmental health
and protection, workplace safety, fire
risks, and public space safety can all be
enforced effectively.
• The Constitution should be amended
to include a clause requiring state
governments to create the institution
of Lokayukta and to define the general
principles regulating its organisation,
control, and functions.
• The Lokayukta should investigate
allegations of corruption against
Ministers and MLAs.
• The State Vigilance commission should
take charge of the Anti-Corruption
Bureaus.
• The Chairperson and Members of the
Lokayukta should be appointed strictly
for one term only and they should not
hold any public office under government
after that.
• A local authorities Ombudsman may
be appointed by a number of districts
to review complaints against the
functionaries of local bodies. This
amendment can be added to the State
Panchayat Raj Acts and the Urban
Local Bodies Act.
• School awareness programmes
emphasising the importance of integrity
and how wrongdoing can be combated
should be implemented.
• It is essential to establish standards
and procedures that require careful
screening of all allegations/complaints
by the media before they are made
public.
• Both planning schemes and citizen-
centered programmes should have a
social audit process in their operational
guidelines.
• The Commission advises that the
mechanism of 'integrity pacts' be
encouraged.
111
• All government offices having public
interface should undertake a review
of their activities and list out those
involving discretion.
• Any office with a significant public
interface should have an online
complaint monitoring system. If at all
practicable, this complaint monitoring
role should be outsourced.
Recommendations
on Public Order (5th
Report)
• ‘Obstruction of justice may also be
defined as a legal offence.
• Crime investigation should be kept
isolated from all aspects of police. Each
state should have a Crime Investigation
Agency. This department should be
headed by a Chief of Investigation and
governed by a Board of Investigation
led by a retired/sitting High Court judge.
• The Chairman and Members of the
Board of Investigation should be
selected by a high-powered collegium
led by the Chief Minister and composed
of the Speaker of the Legislative
Assembly, the Chief Justice of the
High Court, the Home Minister, and
the Leader of the Opposition in the
Legislative Assembly.
• A State Police Performance and
Accountability Commission and a
State Police Establishment Committee
should be established. The Chief
Secretary should be in charge of it. This
Committee should hear proceedings
involving members of the Inspector
General of Police and beyond.
• Metropolitan Police Authorities should
be established in all cities with a
population of more than one million
people. This Authority should have
the authority to plan and monitor
 community policing, improve police-
citizen interface, recommend ways to
improve policing efficiency, authorise
regular police schedules, and assess
the effectiveness of those services.
• Each state legislature could promptly
create a multidisciplinary task force
to assemble a collection of non-core
policing duties that could be delegated
to other agencies.. Such procedures
should be outsourced in a phased
manner.
• The existing system of the constabulary
will be substituted with recruiting
graduates at the level of Assistant Sub-
Inspector of Police (ASI).
• A District Police Complaints Authority
should be established to investigate
claims of police misconduct in the
district.
• In addition to ensuring adequate
departmental inspections, an
Independent Inspectorate of Police
may be established under the Police
Performance and Accountability
Commission's supervision to carry
out performance audits of police
stations, some police offices through
inspections and review of departmental
assessments.
• Women's presence in law enforcement
should be expanded at all levels
by affirmative action so that they
constitute about 33% of police.
• A National Security Commission with
the sole purpose of approving panels
for promotion to Chiefs of the Armed
Forces of the Union is unnecessary.
There should be a different system for
directing the names for appointment
as Chief of each of these powers, with
the Union Government having final
authority.
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Recommendations on
Local Government
(6th Report)
• Article 243 G should be amended as
follows:
• “Subject to the provisions of this
Constitution, the Legislature of a State
shall, by law, vest a Panchayat at the
appropriate level with such powers and
authority as are necessary to enable
them to function as institutions of self-
government in respect of all functions
which can be performed at the local
level including the functions in respect
of the matters listed in the Eleventh
Schedule”.
• Parliament may by law provide a
Legislative Council constitution in each
State, consisting of members elected
by the local governments.
• Members of Parliament and State
Legislatures will not become members
of local bodies.
• There will be a District Council in every
district with representation of both
urban and rural areas.
• The responsibility of constituency
delimitation and allocation can be
delegated to state election commissions
(SECs).
• The State Election Commission may
be in charge of conducting votes for
representative officials of District and
Metropolitan Planning Committees.
• There should be clear delineation of
functions for each local government
level in the case of each subject matter
law.
• The Government of India should
prepare and present a Framework Law
for Local Governments to Parliament.
The Framework Law should be passed
under Article 252 of the Constitution and
 adopted by the states. This Law shall
provide the general rules governing the
delegation of rights, duties, and roles to
municipal councils and populations..
• A federation/consortium of local bodies
could maintain a pool of experts and
professionals (e.g., engineers, planners,
etc.). This shared pool could be then
accessed by the local bodies whenever
required for specific tasks.
• State governments should follow the
accounting scheme for urban local
bodies (ULBs) outlined in the National
Municipal Accounts Manual (NMAM).
Recommendations
on Capacity
Building for Conflict
Resolution (7th
Report)
• The Union Government can devise a
long-term (10-year) and short-term
(5-year) Programme of Action based
on the ‘14-Point Strategy' declared
in Parliament in consultation with
the concerned State Governments to
identify State-specific action to be
taken to enforce the ‘Strategy.'
• While approving with the spirit of
the ‘14- Point Strategy’, negotiations
with the extremist outfits should be a
fundamental conflict resolution mode.
• Establishing and upgrading district
level police stations in extremist-
affected areas, adequately staffed by
local recruits, should be an integral part
of the policing plan for combating left
extremism.
• There is a need to amend the current
approach to SEZs on the following lines.
i. In establishing SEZs, prime
agricultural land use should be
113
avoided.
ii. The number of SEZs should be small,
with a greater minimum size and
ideally in backward areas, so that
they can serve as economic growth
nuclei.
• In inter-State river conflicts, the Union
Government must be more vigilant and
decisive, acting with the promptness
and constant attention that such
disputes require.
• River Basin Organizations (RBOs)
should be formed for each inter-state
river, as recommended in the National
Commission for Integrated Water
Resources Development Report of 1999,
by enacting legislation to replace the
River Boards Act, 1956.
• The government should pursue a multi-
pronged regulatory policy to ensure
that the constitutional, legal, and
administrative provisions enacted to
end discrimination against Scheduled
Castes are carried out in letter and
spirit.
• Although all states in the Fifth Schedule
Area have adopted implementation
laws in relation to PESA, their rules have
been weakened by delegating authority
from the Gram Sabha to other bodies.
• The government will devise survey
procedures and conduct a state-by-
state socioeconomic survey of the
"Other Backward Classes," which could
serve as the foundation for policies and
programmes aimed at improving their
lot.
• There is no need for a particular statute
to deal with communal crime. The
rules of the Indian Penal Code and
the Criminal Procedure Code that are
currently in force must be improved.
• Political parties should create a code
of ethics for appropriate ways of
opposition in our democratic system.
• Steps should be taken to ensure that all
Autonomous Councils are included and
 pass appropriate legislation to establish
village level bodies with well-defined
powers and a transparent system of
allocation of resources.
Recommendations
on Combating
Terrorism (8th
Report)
• Enactment of a substantive and realistic
regulatory system to address all facets
of terrorism is needed. Adequate
protections should be in order to keep
the legislation from being violated.
Terrorism-related legislative protections
may be used in a particular chapter of
the National Security Act of 1980.
• Provisions for penalising illegal storage
of designated weaponry and explosives
in notified areas, as well as unauthorised
explosive substances, weapons of mass
destruction, and biological or chemical
warfare substances in declared and
non-notified regions, can be integrated
into terrorism legislation.
• The Prevention of Money-laundering
Act (PMLA) can be revised at an early
stage to broaden the list of predicate
offences and thereby broaden its depth
and reach.
• The Financial Intelligence Unit's (FIU-
IND) financial transaction reporting
regime can be expanded to include
high-risk industries such as real estate.
There is also a need to strengthen
FIU-capability IND's in order to face
potential challenges.
• Using the forum offered by the Regional
Economic Intelligence Councils (REICs)
for improved cooperation among
different investigating agencies in
cases suspected of being connected to
money laundering would be beneficial.
114
• Where there is fair concern that goods,
money, bank accounts, deposits, cash,
and so on will be used in terrorist acts,
the current legal system on terrorism
which provide provisions for freezing
certain assets, funds, bank accounts,
deposits, cash, and so on.
• A specialist cell can be established in the
proposed National Counter-terrorism
Centre, drawing on experience from
the Union Ministries of Finance and
Home Affairs, as well as the Cabinet
Secretariat, to take coordinated action
on financial leads generated by various
sources.
• NCERT has suggested a scheme
to empower and fund institutions,
charitable bodies, and non-
governmental organisations (NGOs)
involved in school education to promote
Education for Peace in the region. These
programmes must be allowed with
the requisite funds and other material
assistance.
• The power of the media to spread
knowledge and information must
be harnessed in order to strengthen
citizens' ability to engage with any
public disorder, particularly terrorist
violence.
Recommendations on
Social Capital (9th
Report)
• Instead of the current laws on Societies,
Trusts, Endowments, and Charitable
Institutions, etc., the Union Government
should draught a detailed model
legislation covering all Trusts and
Societies.
• The proposed model legislation should
specify a cut off limit concerning
the annual revenue of a Charity.
Organisations with a yearly income
 below this threshold will have lighter
compliance requirements regarding
submission of returns /reports/
permission, etc.
• The government should form an
Inclusive Committee to thoroughly
explore the issue of identifying "Charity"
and "Charitable Intent" and to propose
legislation to "soften" the relationship
between charities and the government,
especially in tax matters.
• The government should act as a
facilitator and create an environment
that encourages business and industry
to take up projects and activities that
are likely to impact the quality of life of
the local community.
• There should be a scheme of
accreditation/certification for non-
profit organisations seeking grants
from government bodies, and the
government should pass legislation
to provide an autonomous body –
the National Accreditation Council
– to carry out this work. Initially, the
government will be required to offer
a one-time corpus of funds to this
organisation.
• The Foreign Contribution (Regulation)
Bill of 2006 should be revised to include,
among other things, the following
suggestions: On the one hand, there
should be a delicate balancing between
the intent of the law and the smooth
running of the charitable sector.
• The government should play the part of
a facilitator and supporter in the growth
and progress of the SHG movement.
The aim should be to foster a favourable
climate for this campaign.
• With a mentor, the SHG–Bank Linkage
model chosen form of financial
intermediation throughout the country
should be promoted..
• Adult education should be removed from
the purview of the current Regulatory
Bodies and delegated to newly formed
115
authorities – one for each of the higher/
technical education sources.
• Co-operatives should be encouraged
to incorporate themselves as Producer
Companies under the existing provisions
of Part IXA of the Companies Act, 1956
and subsequently under the new law.
Recommendations
on Refurbishing
Personnel
Administration (10th
Report)
• The Indian government should
create National Institutes of Public
Administration to offer Bachelor's
Degree programmes in public
administration, governance, and
management. In the long term, these
specialist centres of excellence (National
Institutes of Public Administration) are
likely to become significant sources of
civil service aspirants.
• An ‘Expert Committee’ by the
government should appoint
immediately, in consultation with the
UPSC, to establish curricula and decide
admission policies for these chosen
institutes/universities.
• The age limit for participating in the
Civil Services Examination should be 21
to 25 years for general candidates, 21
to 28 years for OBC candidates, and 21
to 29 years for SC/ST and mentally ill
candidates.
• The number of allowed attempts in the
Civil Services Examination should be
3, 5, 6 and 6 for general candidates,
the candidates from OBC, candidates
from SC/ST and physically challenged
candidates respectively.
• The initiation of officers of the State
 Civil Services into the IAS should be
done by the UPSC based on a standard
examination.
• Promotion of officers up to the level
of Selection Grade can be assigned
to the concerned Departments by
Departmental Promotion Committees
(DPC). The UPSC should monitor the
operation of these DPCs by periodic
inspections, audits, and other means.
• In the case of administrative action,
contact with the UPSC can be necessary
only when a government employee is
facing suspension or expulsion.
• Any government employee should
receive required training at the induction
stage and on a regular basis during
his or her career. Practical completion
of these training may be a minimum
prerequisite for service confirmation
and subsequent promotions. Mandatory
induction training should be mandated
for Group D personnel before they are
assigned to postings.
• The practice of ‘Common Foundation
Course’ for all Group ‘A’ Services –
generalist, specialized and technical,
should continue. For Group ‘B’ and ‘C’
Services, the Institute of Secretarial
Training and Management (ISTM) may
be developed as the nodal agency
for designing and delivering standard
Foundation Courses.
• Assistants in the Central Secretariat
Service should be filled in the following
proportions: 40% through elevation
from UDCs in the Central Secretariat
Clerical Service Cadre, 40% through
Direct Recruitment, and 20% through
Limited Departmental Competitive
Examination.
• When posting officers in the Government
of India, the primary concern should be
to pick the best candidate for the post
that is on offer.
• There is a need to recognise exceptional
service by serving civil servants,
116
particularly by National awards.
Awards for outstanding results can
be developed at the state and district
levels as well.
• For all government employees, a
schedule of two intensive examinations
– one at the end of 14 years of service
and another at the end of 20 years of
service – should be created.
• The public services must uphold their
political independence and impartiality.
The political executive and the civil
services bear equal responsibility for
this. This element should be included in
the Ministerial Code of Ethics and the
Code of Conduct for Public Servants.
Recommendations
on Promoting
e-Governance (11th
Report)
• Government organizations/
departments at the Union and State
levels must recognise e-Government
programmes that can be implemented
within their applicable jurisdiction while
holding citizens' interests in mind.
• Capacity building initiatives would
address both organisational capacity
building and the technical and expertise
growth of people participating in the
adoption of e-Government projects.
• Any government agency must undergo
a capability evaluation, which will serve
as the foundation for preparing their
employees.
• In each state, a network of training
institutions must be established, with
Administrative Training Institutes at the
apex. Administrative Training Institutes
in different states should recognise
e-Governance capacity building
programmes by developing solid
 e-Governance wings.
• All organisations should do an impartial
review of the content available on their
websites from the viewpoint of people
on a regular basis, and then redesign
their websites based on the reviews
received.
• Many facets of e-Government
programmes lend themselves to Public-
Private Partnership (PPP) arrangements.
In all such instances, the preferred
mode should be PPP.
• As proposed by the Standing Committee
on Information Technology in its 58th
Report, State Data Centres (SDCs)
should be maintained by government
bodies such as the National Institute
of Standards and Technology (NIC)
because they handle sovereign data.
• Surveys and assessments must be
carried out in a project mode using new
technologies in order to obtain a clear
view of land ownership and plots and
to update inaccurate maps.
• The entire passport issuance process
must be phased into e-Government..
Recommendations
on Citizen-Centric
Administration (12th
Report)
• Whether legislative or developmental,
government departments will
implement the Single Window Agency
concept within their organisations
to reduce delays and increase public
comfort.
• Citizens should be actively involved
in all stages of these programmes
i.e. planning, implementation and
monitoring.
117
• Mandatory social audit should be
carried out for all programmes.
• Impact assessment should be carried
out for all programmes at periodic
intervals.
• A one-size-fits-all solution does not
exist. Under the general framework of
the organization's charter, a Citizens'
Charter should be planned for each
individual unit.
• It should be mandatory for all political
bodies to create an appropriate system
for receiving public recommendations,
ranging from a basic 'Suggestion Box'
to annual meetings with citizen groups.
• Ensuring women's full inclusion should
be a specific goal of citizen-centric
government, embodied in different
legislation and programmes such
as citizens' charters and grievance
redressal systems.
• The Union and State Governments
should release directives instructing
all municipal institutions to appoint
public grievance officers on the Public
Information Officers' lines under the RTI
Act.
• Lok Adalats may be helpful in resolving
specific customer conflicts. It should
be mandated by law that cases up to
a certain amount, say Rs. 2 lakhs, be
referred to Lok Adalats first.
• Each Ministry/Department should
create a road map for initiating a
process simplification exercise. Changes
to Rules, Regulations, and Laws should
be made as required.
• Citizen reviews can be used to assess
the success of government agencies.
• Both state governments and city
governments can follow simplified
processes for granting construction
permits based on self-certification by
owners/registered architects.
Recommendations
on Organizational
Structure of
Government of India
(13th Report)
• Separation between policy-making and
policy-implementation functions.
• The idea of a Ministry will need to be
rethought. A Ministry is a set of divisions
whose duties and subjects are closely
linked and are overseen by a First or
Coordinating Minister who provides
general leadership and planning.
• The Coordinating (or First) Minister,
other Cabinet Minister(s)/Minister(s)
of State, or any combination of these
could lead individual departments or
any combination of these.
• The Allocation of Business Rules
should begin with a statement of the
department's mission, accompanied by
a list of subjects and functions.
• Attached and subordinate offices
should serve as the ministries' executive
agencies and concentrate on the
implementation of government policies
and programmes.
• Each Department can adopt a policy
assessment framework that will be
carried out at the conclusion of defined
time periods. In view of the results of
such evaluations, all applicable policies
should be revised.
• It is essential to ensure that established
coordinating structures, such as the
Group of Ministers and the Committee
of Secretaries, work efficiently and aid
in the early settlement of problems.
• Unresolved problems pertaining to
states that need inter-Ministerial
cooperation in the Government of India
should be referred to the Committee
118
of Secretaries (COSs) and then to the
Union Cabinet for resolution.
• There is a need for larger consistency
in the hiring, tenure, and dismissal of
different regulatory agencies, given
that they were established with broadly
similar aims and roles and should have
the same degree of autonomy.
Recommendations
on Strengthening
Financial
Management
Systems (14th
Report)
• The calculations used to generate
projections must be rational. At the
end of each year, the explanations for
the difference between "estimates" and
"actuals" must be determined, and steps
must be taken to reduce them. These
assumptions can also be audited.
• Creating the annual budget by
gathering information from various
organizations/units/agencies and
fitting it into a predetermined composite
number results in unrealistic budget
projections.
» This method should give up along with
budgeting based on ‘analysis of trends’.
» It should be replaced by a ‘top- down’
method by indicating aggregate limits
to expenditure to each organization/
agency.
• Strict adherence to the Modified Cash
Management System is required. This
System should be applied to all Grant
Demands as soon as possible.
• The tradition of announcing
programmes and schemes ad hoc in
 budgets and on crucial National Days,
as well as during visits of dignitaries
and functionaries to States, must be
discontinued.
• Outcome budgeting is a complicated
method that requires multiple steps
before it can be attempted with some
degree of usefulness. With adequate
planning and instruction in the Flagship
Schemes and clear national goals, a
start can be made.
• The difference between Plan and Non-
Plan must be eliminated.
• In consultation with the C&AG, the
Controller General of Accounts shall
establish the principles for applying the
scheme of flow of sanctions/approvals
from Union Ministries/Departments to
State implementing agencies to enable
fund release at the time of payment.
• A Task Force should be formed to
investigate the risks and advantages of
implementing the accounting accrual
scheme. This Task Force should also
investigate its applicability in case
of the Appropriation Accounts and
Finance Accounts.
• In selected Ministries/Departments,
an Office of the Chief Internal Auditor
(CIA) should be formed to carry out
internal audit functions. A law should
specify its liberty, responsibilities, roles,
and coordinating structure with the
CAG, among other things. CIAs should
report directly to the Secretary of the
Department.
• The Financial Adviser's position as the
Ministry's Chief Finance Officer, liable
and accountable to the Secretary
of the Ministry/Department, should
be recognised, and the pattern of
concurrent responsibility should be
reversed..
• Officers with adequate expertise and
experience in advanced financial
management programmes should be
assigned to Ministries/Departments as
119
Financial Advisers.
Recommendations
on State & District
Administration (15th
Report)
• The composition of the Council of
Ministers in the States should be reduced
further in order to address the needs of
an effective administration. The overall
size of the Council of Ministers can be
set at 10% to 15% of the power of their
Legislative Assemblies for this reason.
• The number of Secretariat Departments
in the States should be reduced
further on the following grounds:
Established divisions that cover similar
topics, operations, and duties should
be combined. There is a need for
coordination between the efforts of
different departments. Delegation of a
wide range of responsibilities to PRIs/
ULBs;
• State governments can examine each
department's functions/activities and
determine if these activities/functions
are essential to the department's
mandate and can only be carried out
by government departments.
• Each Executive Branch, whether new
or transferred from an established
departmental undertaking/agency/
board/special purpose entity, etc., must
be semi-autonomous and properly
governed under a mandate.
• The Commission reiterates that the
recommendations in the Tenth Report
regarding the Civil Services Law and
Civil Services Authority should be
followed in both letter and spirit by the
state governments.
• After the implementation of the State
Civil Services Law along the lines of
 the proposed Union enactment, the
proposed State Civil Service Authority
shall handle matters pertaining to the
hiring and tenure of senior officers of all
ranks in the State Governments.
• The Vigilance Commission/
Commissioner's organisation in the
State should be structured on the
Central Vigilance Commission's
patterns.
• The Lokayukta laws would need to be
amended to incorporate the changes
suggested in the Report on ‘Ethics in
Governance’.
• Each state should develop a robust
Human Resource Development
Policy, with preparation as an integral
component of the 1996 National
Training Policy.
• In addition to the apex level teaching
body known as the Administrative
Training Institute (ATI), appropriate
Regional Training Institutes should be
formed in various locations across the
State.
• The Public Service Commission
may only be in charge of recruiting
candidates for higher-level roles within
the State Government (Class I and
Class II positions in different State
120
cadres), (ii) advising the government
on senior-level promotions through the
DPC, and (iii) recruiting and promoting
candidates to teaching positions in
government Colleges and fully funded
divisions of universities.
• It is necessary to realign the duties
of the Deputy Commissioners/
District Collectors in order to focus
on key functions such as land and
tax administration, law and order
maintenance, emergency management,
and so on.
• At the district level, there should be
an integrated governance structure
in the form of a "District Council" with
representation from both urban and
rural areas. The Council will take on the
role of "District Government.”.
• The Municipal Corporation of Delhi
(MCD), including the Commissioner
and other functionaries' appointment,
should lie in the Government of the
National Capital Territory (GNCT).
• The arbitrary division between urban
and rural areas in the National Capital
Territory is unnecessary. The entire
geographical area falling under the
NCT should be declared “urban” in
accordance with Section 2(61) of the
DMC Act.
 CHAPTER - 12
POLICE REFORMS
Current Indian
Police System
• The Indian Police Act (IPA) of 1861 is the
current regulatory tool of the Indian
police. It defines the organisation and
roles of the country's police forces.
• The IPA was written by the British
colonists due to the first independence
war to ensure that the police system
submits to the authorities and maintains
control when communicating with the
public.
• It also established two administrations
at the district level.
• The police did not respond to
individuals or private institutions. The
police system was designed to fortify
strong military structures based on the
colonies' infidelity.
• Efforts were made after independence
to reform the government system, but
the police system remained harsh.
• Police management currently falls
under the IPA; Indian Penal Code
(IPC) of 1862 (amended 1993); Indian
Evidence Act (IEA) of 1872; and the
Criminal Procedure Code (CrPC) of 1861
(revised in 1898 and 1973).
• They constitute India's new but
outmoded police system. There have
been attempts to change the police
system at the state level, but all these
efforts based on the 1861 IPA leave the
colonists' legacy and philosophy strong
on these actions.
• In 2014, PM Modi called for making the
police a SMART force.
121
SMART’ force:
» Strict and Sensitive,
» Modern and Mobile,
» Alert and Accountable,
» Reliable and Responsive and
» Techno savvy and Trained.
Issues Related to
Working of Police
in India and Reason
Behind the Need of
the Reform:
Political Criminalisation Nexus:
• The Vohra Committee report
highlighted the nexus between the
criminals, politicians and government
functionaries. It stated that the network
of the mafia is virtually running a
parallel government, pushing the
state apparatus to irrelevance, and
suggested that an institution be set up
to effectively deal with the menace.
• Factors responsible for atrocities done
by police and criminals evading the
criminal justice system range from their
political nexus to inefficiency of police.
An Overburdened Police Force
and Shortage of Personnel:
• According to a study released by
Common Cause in 2019, India's police
force is just 77% of its authorised size.
• For every lakh people in India, there
 are 144 police officers, with some states
having less than 100.
• This is way too low when compared
with the United Nations’ recommended
standard of 222 police per lakh persons.
• Further, an average policeman ends up
having an enormous workload and long
working hours, which negatively affects
his efficiency and performance.
Gender Issue:
• Our police force is disproportionately
underrepresented, with women
accounting for less than 7% of total
officers.
• With the rise in the number of gender-
based crimes, it has become necessary
to increase the size of the police force
by hiring more women officers.
Custodial Violence:
• In India the strong legislation for anti-
torture and the criminalisation custodial
violence is yet to be done.
• Lack of transparency and inherently
opaque prison system in India with
many pending prison reforms.
• India has signed the United Nations
Convention against Torture in 1997 its
ratification still remains.
Lack of Assets/Resources:
• Weapons shortages have been
discovered by CAG audits of state police
forces. The state police in Rajasthan
and West Bengal, for example, had 75
percent and 71 percent shortages of
necessary weapons, respectively.
• The Bureau of Police Research and
122
Development discovered a 30.5 percent
shortage of necessary vehicles among
state police forces.
Ever Increasing Threat:
• Internal security is very much a
prerogative of police and efficient
policing is needed in order to tackle
these threats.
• With the advancement in technology,
newer versions of threats are
continuously arising in the form of
cyber-attacks, bank frauds, and
organized crimes, which need to be
tackled in a more specialised manner.
Against all these security threats, the
first line of defense is the police system.
Increasing Interference by the
Government:
• As per the police laws, both the Central
and State police forces come under the
superintendence and control of political
executives. This enables the executives
to reduce the police to mere tools in the
hands of political leaders to fulfill their
vested interests.
Police-Public Relations:
• The 2nd ARC has noted that police-
public relations is in an unsatisfactory
state because people view the police as
corrupt, inefficient, politically partisan
and unresponsive.
• Police require the confidence,
cooperation and support of the
community to prevent crime and
disorder. A police-public relation is an
important concern in effective policing.
The Current
Structure and
Functions of the
Police
• According to Article 246 of the Indian
Constitution and section 3 of the IPA, the
police force is provincial and medium-
sized. Each country's government is
responsible for drafting the guidelines,
rules and regulations of their respective
police. These rules are found in state
police records.
• The state is divided into administrative
police units. The highest level of
management is the Director-General
of Police (DGP), who is also the head
of state police and is responsible for
policing and advising the government
on police matters.
• With the DGP in charge of the state
police force, the state is divided into
several Zones, Ranges and Districts.
Also, the districts are divided into
subdivisions, circles and police stations.
Each police station is responsible for a
particular area, divided into bits and
assigned to staff.
• The police force structure may vary
slightly from country to country,
depending on the organization and its
administration and its people.
• However, the structure is complete, of a
high standard and the decision-making
capacity has been prioritized by a few
senior police officers.
Previous Attempts at
Police Reforms
• After independence, the need to make
changes to the police was paramount
123
and many provinces established
their commissions. The first police
commission was established in 1959 in
Kerala.
• The different state police forces are
regulated by their respective state laws
and regulations. The Police Act of 1861
has been used as a model for several
state's legislation.
• The following is a list of post-
independence transition commissions.
Gore Committee on Police
Training (1971 – 1973)
• The Annual Police Training Committee
was established to review state
police training from union level to
IPS level. The committee made 186
recommendations, 45 of which were
related to police reforms.
• Recommendations for police training
have been implemented but changes
to the police plan framework on the
other hand have been ignored.
National Police Commission
(NPC) (1977 – 1981)
• The National Police Commission (NPC)
was the first commission to review the
Indian police system thoroughly. The
NPC has written eight reports over four
years.
• According to eight reports, there are a
total of 291 guidelines relevant to police
reform. Most of the recommendations
were not implemented.
Ribeiro Committee on Police
Reforms (1998)
• The Ribeiro Committee was established
in 1998 by the Supreme Court's order
following the Public Interest Litigation
 (PIL) related to the police reforms.
• The committee has made five significant
recommendations related to state
security, DGP elections and complaints
to the police, the recommendations
have not yet been made.
Padmanabhaiah Committee
on Police Reforms (2000)
• Former Union Home Secretary Shri
K. Padmanabhaiah was appointed
chairman of the Padmanabhaiah
commission in 2000 by the Home
Ministry of Affairs.
• The commission examined police
recruitment, training, duties and
responsibilities, police performance,
police investigation and prosecution.
Group of Ministers on National
Security (2000 – 2001)
• The Ministerial Security Team has
been used for four functions namely a)
intelligence program b) internal security
c) border management and d) security
management.
Malimath Committee on
Reforms of Criminal Justice
System (2001 – 2003)
• The Malimath Committee discussed
the Criminal Justice System's principles,
investigation, prosecution, law, crime,
and punishment.
• The report has been widely criticized
by the human rights organization for
its proposal to change the burden of
evidence.
124
The Police Act Drafting
Committee submits its Model
Police Act, 2006
• In October 2005, the central government
established the "Police Act Drafting
Committee" (PADC) - better known as
the Soli Sorabjee Committee - tasked
with drafting a new Police Act.
• PADC was mandated to consider the
role and commitment of the changing
police force and the challenges
before them and set an example to
guide countries as they adopted their
legislation.
• The constitution of the PADC was
prompted by the Prime Minister's
concern expressed at the Conference
of District Superintendents of Police
in early 2005 that: "We need to ensure
that police forces at all levels, and even
more so at the grassroots, change from
a feudal force to a democratic service’.
Important
Observations and
Guidelines for Police
Reforms
• National Police Commission
observation: It recorded a back in 1979
that “the present culture of the police
system appears a continuation of what
obtained under the British regime when
the police functioned ruthlessly as an
agent for sustaining the government in
power” and mentioned that “It is difficult
for cops to fulfil their legal obligations
while still ensuring that their actions are
acceptable to the general public”.
• Curbing Criminalisation of Politics: The
criminal-political axis must be severed,
and changes must begin with the
political system. As a result, legislation
prohibiting people with severe criminal
 records from participating in assemblies
and Parliament are required.
• ‘SMART’ police: It is Prime Minister
Narendra Modi's vision. He urged the
country's police force to become a
"SMART" force, one that is strict and
sensitive, modern and mobile, alert and
accountable, reliable and responsive,
and technologically savvy and trained.
• Model policy for women in police: In
2019, women comprised less than 10%
of police personnel. The Home Ministry
set 33% as the target for women’s
representation in the police, increasing
women’s recruitment in the police force
has been the goal of the Central and
State governments.
Some of the
Other Important
Suggestions
The problem of political interference
in the police's work and its disastrous
consequences on the rule of law in this
country were examined by the National
Police Commission in its Second Report
(August 1979). The Commission made the
following significant recommendations to
deal with the problem:
• Set up a State Security Commission
each State with an objective to:
» Prepare broad policy guidelines;
» Evaluate the performance of the State
police;
» Function as a forum of appeal to dispose
of officers' representations regarding
their being subjected to illegal orders
and regarding their promotion; and
» Review the functioning of the police
force.
• A panel of three IPS officers from that
State cadre should choose the Chief of
125
the State Police Force. The board itself
should be put together by a committee
led by the UPSC Chairman. The Police
Chief thus chosen should be appointed
for a set period of time.
• Under the current scheme, the Chief
Minister/Home Minister's decision on
whether or not to keep the State Police
Commissioner in office is final. This
encourages an unhealthy race among
senior police officers to lobby for the
top job. It causes the police to lose their
leadership standards and discipline, as
well as undermining their organisational
structure and command system.
• The 1861 Police Act should be replaced
by a new Police Act that will bring
reforms in the system of regulation and
supervision over the police, and will
expand the role of the police to make
it a force that supports the rule of law
in the country and provides impartial
service to the people.
The Law Commission
Emphasized the Following In
Its 154th Report:
i. Less executive power over criminal
investigations, since the latter will be
protected by the courts.
ii. Better analysis owing to scrutiny of
courts which will lead to successful
prosecutions.
iii. Reduction in the possibility of unjustified
and unwarranted prosecutions.
iv. Speedy investigation leading to quick
disposal of cases.
• The arrival of Independence altered the
government structure, but the police
system remained essentially intact.
However, the need for improvement
and reform in the police force was well
recognised.
• Many State Governments had set up
commissions to examine the police's
 problems and suggest improvements.
• During the 1970s, India's government got
involved, establishing the Committee
on Police Training in 1971, followed by
the National Police Commission in 1977.
• In 1996, Mr Prakash Singh, a former
police officer, petitioned the Supreme
Court under Article 32, requesting that
directives be sent to the Government of
India to draught a new Police Act along
the lines of the model Act drafted by the
Commission to ensure that the police is
held responsible solely to the law of the
land and the people.
• In 2006, the Supreme Court determined
that it should no longer wait for
governments to take adequate action
for police reforms and appropriate
directions for effective implementation.
The Supreme Court Cited
Several Commissions'
Proposals for Police Reforms
and Summarized Four
Essential Reform Points:
a. A State Security Commission at state
level;
b. A straightforward process for the
selection of the Police Chief, as well
as the importance of granting him a
minimum set tenure;
c. Parting of investigation work from law
and order; and
d. Revised Police Act that represents the
people's political expectations.
• On Sept 22, 2006, the Supreme
Court of India delivered a landmark
decision in Prakash Singh v. Union
of India, instructing the Central and
State Governments to follow a series
of seven directions outlining realistic
mechanisms to kick-start police reform.
• The Supreme Court ordered that all
governments, both at the federal and
126
state levels, comply with the seven
directives by December 31, 2006. The
Supreme Court dismissed the objections
raised and reiterated that its orders
would be followed without alteration.
• The Court issued a three-month
extension to comply with four of its
orders, but stated that the others would
be followed immediately.
• Many states have formed special
commissions to prepare a proposed
Police Bill, which they plan to introduce
in the legislature in the coming months.
• The judgment is the first concrete
step towards police reform in a long
time and only an initial step. What is
now required is solid political will to
introduce long-lasting reforms and not
merely cosmetic changes.
Directions of the
Supreme Court in
Prakash Singh Vs.
Union of India
These directives can be largely divided
into two categories:
1. Those seeking to attain functional
autonomy for the police (Part I);
2. Those seeking to improve police
accountability (Part II).
State Security Commission
The State Governments are focused to
constitute a State Security Commission to:
i. Establish broad policy guidelines,
ii. Assess the State Police's efficiency, and
iii. Ensure that the State Government does
not exert undue control or coercion on
the police.
Director General of Police
• The State Government ensures that the
Director General of Police is chosen on
the basis of merit in an open procedure
and serves for a term of two years.
Minimum Tenure for Other
Police Officers
• The State Government ensures that
other operational police officers
(including Superintendents of Police in
charge of a district and Station House
Officers in charge of a police station)
have a two-year minimum term.
Police Establishment Board
• The State Government intends to
establish a Police Establishment Board,
to make recommendations on postings
and transfers of officers who are above
the rank of Deputy Superintendent of
Police. It will also decide all transfers,
postings, promotions, and other
service-related matters involving police
officers of and below the rank of Deputy
Superintendent of Police.
National Security Commission
• At the Union level, establish a National
Security Commission to prepare a
council for the appointment and
placement of Chiefs of Central Police
Organizations (CPO). They can also be
granted a two-year minimum contract.
Police Complaints Authority
• The State Government plans to create
impartial Police Complaints Authorities
at the State and district levels to
investigate public complaints against
police officers in cases of serious
127
wrongdoing, such as custodial death,
grievous bodily harm, or rape in police
custody.
Separation of Investigation
and Law and Order Functions
• The State Government is to separate
the investigation and law and order
functions of the police.
• The State Government intends to split
the prosecution and law enforcement
duties of the police.
Compliance of
Directions by States
• Compliance with the Prakash Singh
Case Reforms by Indian States: On 11-1-
2007, the states filed affidavits with the
Supreme Court outlining their attempts
to comply with the decision.
• States and the Union filed new
affidavits to keep the Court up to date
on enforcement.
• Only around 15% have been compliant
(have reported taking steps to
implement all directives like Sikkim,
Nagaland, Meghalaya, and Arunachal
Pradesh) while 63% have been partially
compliant, the rest have completely
ignored them.
Problems Contended By
States:
• Gujarat and Nagaland: There is
no political intervention in police
administration. The necessity for a
State Security Commission is called
into question, since there is no undue
control on the police. Nagaland said
that the commission of excesses by the
police is an infrequent occurrence.
• Andhra Pradesh, Gujarat, Karnataka
and Uttar Pradesh: Undermines the
power of the elected Government
» Establishing a State Security
Commission with binding authority is
likely to circumvent a legally formed
State's jurisdiction over the State police,
result in the formation of a parallel
agency that is not responsible to the
citizens of the State, and infringe on the
rights of the State.
• Andhra Pradesh, Gujarat, Nagaland
and Uttar Pradesh: - Fixed tenure
will demoralise officers and limit the
Government.
» A fixed two-year tenure for the DGP will
block opportunities for other eligible
senior officers, who will be demoralised
irrespective of their superannuation
date.
» Therefore, the directives limit the
government's ability to move police
officers to satisfy institutional needs.
Similar claims have been advanced in
opposition to a set tenure for the IG,
DIG, SP, and SHO.
• Gujarat and Karnataka:- Participation
of the UPSC is neither practical nor
necessary.
» The current law makes no allowance for
the Union Public Service Commission
to nominate three officers to send
three names of candidates for DGP to
the State Government to appoint. The
UPSC's role in this is neither realistic nor
appropriate.
• Gujarat, Uttar Pradesh:- Police
128
Establishment Board will replacement
existing systems
» A Police Establishment Board would
be incompatible with the democratic
roles of the government, resulting in
the establishment of a new power
centre comprised of bureaucrats that
are not accountable to the public and
duplicating established structures.
Conclusion
• The backbone of the police force's
transformation is to ensure the
independence of the police so that
they can function effectively as well
as efficiently as an impartial law
enforcement officer and, at the same
time, enable the State to oversee police
operations to ensure compliance.
• An administrative mechanism must be
established without the police force's
interference illegally, irregularly or by
mala-fide.
• It was widely hoped that the Government
would review and publish this report as
soon as possible so that implementing
the various recommendations made
could begin immediately.
• Therefore, this is the most critical time
for all people with good intentions in
this country to make their voice heard;
to come out and press their case
with clean and efficient police; a law
enforcement officer who respects the
law.
• Educating the public on debates and
discussions and media programs and
by all means is a priority.
 CHAPTER - 13
‘CASE STUDIES’ RELATED TO GOOD
GOVERNANCE
Barcoded Ration
Card System,
Gujarat
• This case discusses the Targeted
Public Distribution System (TPDS)
Computerization initiative by the Civil
Supplies department of Gujarat.
• The department harnessed technology
to reduce leakages of ration charged
on the public exchequer.
• This Biometric Coupon System and
Barcoded Ration Card helped in
eliminating ghost cards and fake
beneficiaries thus ensuring that more
food is obtainable for the poor.
• It brought Fair Price Shops and
Distribution Centres under scrutiny
which improved transparency and
accountability for all stakeholders.
Kaushalya Vardhan
Kendra (KVK),
Gujarat
• This study documents the
implementation of a unique skill
development program in Gujarat which
targets the rural population.
• The KVK program follows a cluster
based decentralized approach for skill
development which is responsive to
traditional skills and industry needs.
It offers flexibility in eligibility criteria,
course curriculum and timing, making
it accommodating for disadvantaged
groups such as women, minorities,
129
school dropouts, and members of
lower-income households.
• Ms. Sonal Mishra IAS played a
pioneering role in the implementation
of the KVK program.
• In 2012, this programme received the
PM’s Award for Excellence in Public
Administration.
Mee Seva (At Your
Service), Andhra
Pradesh
• Mee Seva brought the convergence
of all the NeGP initiatives in rendering
G2C services in a transparent and fast
way.
• The reengineering of the departments'
business processes became both
the pre-requisite and the by-product
of Mee Seva. The efficiency levels
of departments increased as IT
deployment drastically reduced their
avoidable workload.
• With Mee Seva in place, stage is all set
to monitor the Right to Services Act.
• The Mee Seva model offers the
most advanced, cost-effective and
straightforward solution to meet the
country's aspirations.
Delhi State Spatial
Data Infrastructure
(DSSDI)
• High-quality geo-spatial information
 is critical to every sphere of socio-
economic activity –land management,
urban
development,
planning, infrastructure
forestry, disaster
management etc.
• The Government of Delhi initiated
the DSSDI project in 2008 to use the
geospatial technologies in governance
and urban planning.
• This project resulted from a pilot
project by the Department of Science,
Government of India, on 3D GIS in
Chandni Chowk in Delhi.
• The project is of immense usefulness,
especially the 3D databases, for various
applications for Delhi Government.
• The Project encompasses all properties,
houses, and underground utilities. It
makes it easier for the Delhi government
to spot illegal constructions. It has
allowed the identification of changes in
real time as they occur on the ground.
• This project is the forerunner of many
such SDI (Spatial Data Infrastructure)
projects in India.
130
Dynamic Integration
of Property
Registration and
Land Records,
Haryana
• The project of integrated land records,
right of documents, mutations and
cadastral maps were implemented in
Haryana to bring transparency and
efficiency in the land records domain.
• It is a crucial step for moving from the
existing “presumptive land titling system”
to the “conclusive titling system”, as
proposed under National Land Records
Management Programme (NLRMP).
• The primary objective of the NLRMP
project is making tamper-proof records
and removing malfunctioning in the
land domain. It has reduced corruption
by private deed writers, local advocates
and Patwaries by implementing end-to-
end computerization of land records.
Daliya Jalao Case Study:
• The Daliya Jalao (literally meaning
‘burn the basket’) initiative sought
to eliminate manual scavenging
in Badaun district, Uttar Pradesh,
through a mission mode approach,
generating a high impact within
a short period of time. Under the
initiative 2,750 manual scavengers
were liberated within a year and the
initiative has had a profound impact
on health indices with no fresh cases
of polio reported since 2010.
 CHAPTER - 14

RECENT DEVELOPMENTS RELATED TO

GOVERNANCE
• Denmark has the first rank in the 2020
United Nations’ ranking, followed by South Korea,

e-Government Estonia, Finland, Australia, Sweden, UK,

New Zealand, USA Netherlands and
Survey 2020 Singapore.
• Bhutan, Bangladesh and Cambodia
• In the UN’s E-Government Survey 2020, (among the world’s least developed
India has slipped four places to rank countries) have become leaders in
100th and is ranked behind countries ‘digital government development’. They
like Bolivia (i.e. 97) and Iran (i.e. 89). In have advanced from the middle to high
the last survey (2018), India had jumped E-Government Development Index
to 22 places to rank 96. (EGDI) group in 2020.

E-GOVERNMENT DEVELOPMENT INDEX 2020

Saint kitts and nevis HEGDI 95 0.6352
San Marino HEGDI 96 0.6175
Bolivia HEGDI 97 0.6129
Antigua and Barbuda HEGDI 98 0.6055
Dominica HEGDI 99 0.6013
India HEGDI 100 0.5964
Ghana HEGDI 101 0.5960
Grenada HEGDI 102 0.5812
Bhutan HEGDI 103 0.5777
Namibia HEGDI 104 0.5747
Malaives HEGDI 105 0.5740
Morocco HEGDI 106 0.5729

Pragati (Pro- Central and State governments.

• It is the ICT based multi-modal platform
Active Governance for Pro-Active Governance and Timely
Implementation. It aims to address
and Timely citizens' grievances and simultaneously
monitor the Government of India and
Implementation) State Governments. The platform was
launched in 2015.
• In January 2021, PM Modi chaired the • It is a three-tier organization (PMO,
35th edition of PRAGATI, involving Union Government Secretaries, and

131
 States Chief Secretaries). PM will hold
a monthly programme to interact with
the Government of India Secretaries
and Chief Secretaries by Video-
conferencing enabled by data and
geo-informatics visuals.
• It will be held once every month on
Fourth Wednesday to be known as
PRAGATI Day.
National
Recruitment Agency
(NRA)
• In 2020, the Union Cabinet approved
the National Recruitment Agency (NRA)
creation, paving the way for reforming
central government jobs' recruitment
process.
• NRA will be a multi-agency body to
conduct a Common Eligibility Test (CET)
to shortlist candidates as the Group B
and C (non-technical) posts.
• It will be representatives of the Ministry
of Finance/Department of Financial
Services, Ministry of Railways, the RRB,
SSC & IBPS.
• It would be an expert body bringing
the best practices and state-of-the-
art technology to the field of Central
Government recruitment.
Mission Karmayogi
• In September 2020, Union Cabinet
approved the launch of a National
Programme for Civil Services Capacity
Building (NPCSCB).
• It will have the following institutional
framework:
132
» Prime Minister's Public Human
Resources (HR) Council,
» Capacity Building Commission,
» Special Purpose Vehicle (SPV) for
owning and operating the digital assets
and the technological platform for
online training and
» Coordination Unit headed by the
Cabinet Secretary.
• NPCSCB will lay the foundations for
capacity building for Civil Servants to
remain entrenched in Indian Culture
while learning from the best practices
across the world.
• An Integrated Government Online
Training-iGOT Karmayogi Platform will
be set up to implement the programme.
Doorstep Service
for Submission
of Digital Life
Certificate
• The Department of Pension &
Pensioners’ Welfare initiative, namely
“Doorstep Service for submission of
Digital Life Certificate through Postman,
" was launched in 2020.
• It was launched by the India Post
Payments Bank (IPPB) of the Department
of Posts and Ministry of Electronics and
Information Technology.
• Earlier, the facility to submit a life
certificate online through Jeevan
Pramaan Portal was launched by PM
Modi in 2014 to provide a transparent
facility to pensioners to submit a Life
Certificate.
Revamped Scheme Information
for PM’s Awards for Commissioners
Excellence in Public • In November 2020, the Chief Information
Administration 2020 Commissioner administered the oath
of office to Information Commissioners
• In 2020, the Union Minister of personnel
administration launched the revamped
Scheme for PM’s Awards for Excellence
in Public Administration 2020.
• The Scheme has been refurbished
to recognize the District Collectors'
performance towards outcome
indicators, economic development,
redressal of public grievances, and
peoples’ participation.
• Nominations have called in four major
categories:
» Namami Gange Program,
» Innovation in General Category,
» Aspirational Districts Program and
» District Performance Indicators
Programme.
Interviews for Jobs
Abolished
• Interview for jobs has been abolished in
23 States and 8 UTs of India.
• It is a follow up to the interview's
abolition since 2016 for Group-B (Non-
Gazetted) and Group-C posts in the
Central Government.
• In 2015, PM Modi had suggested making
the job selection based on a written test
because whenever a candidate receives
an interview call, his/her entire family
would get disturbed with anxiety.
133
Heeralal Samariya, Saroj Punhani and
Uday Mahurkar.
• Of their induction, the total number
of Information Commissioners (ICs),
including the Chief Information
Commissioner, has increased to 8 in the
Central Information Commission.
Good Governance
Index
• In 2019, the Ministry of Personnel
launched the ‘Good Governance
Index’ on Good Governance Day (25th
December) on the birth anniversary
of former Prime Minister Atal Bihari
Vajpayee.
• The States and UTs are divided into
three groups:
1. The Big States,
2. North-East and Hill States and
3. Union Territories.
Objectives:
• Allow states and UTs to develop and
implement appropriate governance
strategies.
• To compare the state of governance in
the states and UTs, provide quantifiable
data.
The GGI takes into consideration ten
sectors:
1) Agriculture and Allied Sectors, 2)
Human Resource Development, 3)
Commerce & Industries, 4) Public Health,
 5) Public Infrastructure & Utilities, 6)
Social Welfare & Development, 7)
Economic Governance, 8) Judicial
& Public Security, 9) Citizen-Centric
Governance and 10) Environment.
Shillong Declaration RTI Amendment Bill,
• Ministry of Electronics & Information
2019
Technology (MeitY), in association
with the Department of Administrative
Reforms and Public Grievances
(DARPG) and the Government of
Meghalaya, organized the 22nd
National Conference on e-Governance
(NCeG) 2019 in 2019 at Shillong.
• The theme of this Conference was
“Digital India: Success to Excellence”.
• The historic ‘Shillong Declaration’ was
adopted at the session, which outlined
the country's e-Governance.
• It states that the Government of
India and State Governments would
collaborate to improve the citizen’s
experience with Government services by
promoting the timely implementation
of India Enterprise Architecture (IndEA)
and implementing a single sign-on for
interoperability and integration among
e-Government applications throughout
the country.
Nagpur Resolution
• In 2019, the ‘Nagpur Resolution- A
Holistic approach for empowering
citizens’ was adopted during the
Regional Conference on ‘Improving
Public Service Delivery – Role of
Governments’.
• The resolution called for empowering
the citizens by:
» Policy interventions for better service
134
delivery through updating of citizens
charters and
» Implementation of benchmarking
standards for continuous improvement.
• It was passed to amend the right to
information act, 2005.
• This will provide that the term of
office, salaries and allowances of Chief
Information Commissioner (CIC) and
Information Commissioners (IC) at
the centre and states, shall be such
as may be prescribed by the Central
Government.
Annual Report of the
Central Information
Commission (CIC)
It was tabled in Parliament in 2018. The
trends of Annual Report were as follows:
• During 2016-17, 9.17 lakh RTI applications
were received by the registered Central
Public Authorities (PAs). This is 6.1%
lower than what was reported during
2015-16.
• The Central PAs rejected 6.59% of
the RTI applications processed during
2016-17 showing a downward trend in
rejections compared to 2015-16.
• Highest percentage of RTI applications
rejected was reported by the Ministry
of Finance, followed by the Ministry of
Home Affairs and Ministry of Labour.
• It also shows a decrease of 0.08% in
First Appeals received by the Central
PAs compared to the last year.
Central Information
Commission (CIC)
App
In 2018, CIC launched an updated version
of a mobile app in Hindi - “CIC App” with
the following features:
• Applicant can submit his 2nd Complaint
in both the languages, i.e. in Hindi and
English.
• The appellant can search and trace
the Complaint in both languages. The
Real-time status is available in both
languages.
• Appellant can download a copy of the
Facilitation memo, Hearing notice and
decision.
Centralised Public
Grievance Redress
and Monitoring
System (CPGRAMS)
• DARPG organised the National
Workshop on Centralised Public
Grievance Redress and Monitoring
System (CPGRAMS) Reforms in 2019.
• The latest version of CPGRAMS 7.0
will reduce grievance disposal time
and improve the quality of grievance
redressal.
• Departments of Telecommunications
(DoT) and the CPGRAMS reforms for
Departments of Financial Services
and the ‘Online Hackathon on Data-
Driven Innovation for Citizen Grievance
Redressal’ were launched during the
event.
135
All India Pension
Adalat
• It was organized in 2019 by DoPPW
(Department of Pension & Pensioners'
Welfare) by roping in various Ministries
all over India.
• More than 50 centres were connected
through live video conferencing. Around
4,000 Pensioners’ cases were solved in
a single day.
International
Cooperation in
the Field of Public
Administration
• Department of Administrative Reforms
and Public Grievances (DARPG) works as
the nodal point with respect to matters
relating to international cooperation in
the field of Public Administration.
• It includes organizing visits of the
foreign delegation to India and visiting
the Indian board abroad as part of
projects taken up according to the
MOUs signed between India and other
countries.
• The purpose is to enable the sharing of
information and best practice across
national governments.
Darpgseva
• DARPG started it to address issues
related to public grievances and
administrative reforms.
• The DARPG started its Twitter Seva in
2017. This Twitter Handle is ‘DARPGSEVA’.
It aims to address issues relating to
the DARPG like Public Grievances,
 Administrative Reforms etc. Sabka Vikas’.
• It aims to transform 115 identified
districts with relatively lesser progress
Comprehensive in key social areas and have emerged
as under-development pockets.
Online Modified • Under this programme, 49 key
Modules on performance indicators (KPIs) have
been identified across sectors to
Induction Training improve ease of living.

(COMMIT)
• It was launched in 2017 as a new training
Ranking States on
programme for State Government Outcomes in Critical
officials.
• Objective: To provide citizen-centric Sectors
administration and improve public
service delivery mechanism through
• NITI Aayog has finalized indices to
measure incremental annual outcomes
officials who regularly interact with the
in critical social sectors like education,
citizens.
health, water and Sustainable
Development Goals (SDGs).

Integrity Index • The District Hospital Index has

• The Central Vigilance Commission
(CVC) announced the Integrity
Index development in 2017 for 25
Organizations.
• This is in line with the emphasis on
‘preventive vigilance'.
• It is based on the benchmarking of
internal processes and controls within
an organisation and the management
of outside stakeholders' expectations.
Transforming
of 115 Identified
Aspirational
Districts
• In 2018, the Prime Minister launched the
‘Aspirational District Programme (ADP)’
to realise the vision of ‘Sabka Saath,
developed to monitor the performance
of hospitals with a focus on outcomes.
• In 2018, NITI Aayog released the ‘Healthy
States, Progressive India’ Report known
as the ‘Health Index’.
• The Composite Water Management
Index launched in 2018.
• The ‘School Education Quality Index
(SEQI)’, ‘Digital Transformation Index
(DTI) and ‘SDG India Index’, to measure
the states progress in various sectors
such as education, health and SDGs
etc.
Integrated
Grievance Cell &
Call Center for
Pensioners
• In 2019, an Integrated Grievance Cell

136
 & Call Centre was inaugurated for
providing easy access to pensioners in
registering their grievances and speedy
resolution.
• This centre is working as a team that
coordinates with different Ministries
to resolve problems of the elderly
pensioners.
Enquiry Against
Officers of All India
Services (AIS)
• India's government has laid down
a specific 'timeline' for completing
investigation against All India Services
officers (AIS).
• For this, the AIS (D&A) Rules, 1969 have
been amended.
Digital India
• In 2014, the Union Cabinet approved
the Digital India Programme.
• It is envisaged by the Department of
Electronics and Information Technology
(DeitY). Various Ministries/Departments
would have the overall responsibility
for implementing different Mission
Mode and other projects under this
Programme.
• Vision: To transmute the country into
a knowledge economy and digitally
empowered society, all Government
services are available to citizens in
electronic form.
• Benefits: It would bring public
accountability through the delivery of
government’s services electronically
• Funding: The funding source is through
budgetary provisions of respective
Ministries in Central/State governments.
Individual Ministries/Departments will
work out requirements of funds for
projects for Digital India.

Vision Areas of Digital India:

Infrastructure as • High-speed internet as a core utility to be made available in all
Utility to Every Gram Panchayats.
Citizen • Mobile phone and Bank account to enable participation in
financial space.
• Digital identity with unique, lifelong, online and authenticable.
• Easy access to all Common Service Centres within a locality.
• Safe and secure Cyberspace to be made available in the
country.
• Shareable private space available on a public Cloud.

137
Governance • Seamless integration across departments/jurisdictions to
and Services on provide single window access to all persons.
Demand • Government services to be available in real-time from mobile
and online platforms.
• All citizen entitlements will be available on the Cloud for
ensuring easy access.
• Government services to be digitally transformed for improved
Ease of Doing Business.
• Financial transactions above a threshold to be made electronic
and cashless.
• Leveraging geographic information system (GIS) for decision
support systems.
Digital • Ensuring Universal digital literacy.
Empowerment of • All digital resources are made universally accessible.
Citizens
• All Government documents to be available on the Cloud.
• Availability of digital services in Indian languages.
• Collaborative digital platforms to ensure participatory
governance.
• Portability of all entitlements for citizens through the Cloud.

Scope of Digital India: 2. Universal Access to Mobile Connectivity,

3. e-Kranti - Electronic Delivery of Services,
1. To prepare India for a knowledgeable
future. 4. Public Internet Access Programme,
2. To realize that IT (Indian Talent) + IT 5. Information for All,
(Information Technology) = IT (India 6. Electronics Manufacturing,
Tomorrow).
7. e-Governance: Reforming Government
3. To make technology central to enabling through Technology,
change.
8. IT for Jobs and
4. It is an Umbrella Programme covering
9. Early Harvest Programmes.
many departments and schemes to
see each of them as part of a larger
goal. This weaving together makes the
programme transformative in totality. Approach and Methodology
5. Many existing schemes would be 1. Stakeholders would fully leverage the
re-focused and restructured in a Common and Support ICT Infrastructure
synchronized manner. established by the Government of India.
2. The existing initiatives would be
revamped to align them with the
Nine Pillars Growth Areas principles of Digital India. Scope
Under Digital India: enhancement, use of integrated &
interoperable systems, Process Re-
1. Broadband Highways, engineering and deployment of

138
 emerging technologies like Cloud &
mobile would enhance government
services delivery to citizens.
3. States to be given the flexibility to
include additional state-specific
projects relevant to their socio-
economic needs.
4. e-Governance to be promoted through
a centralised initiative to ensure citizen-
centric service orientation.
5. Successes would be highlighted and
would be replicated.
6. Public-Private Partnerships (PPPs)
would be preferred.
7. Unique ID would be promoted to
facilitate authentication and delivery
of benefits.
8. NIC to be restructured to strengthen the
IT support to all government agencies.
9. Positions of Chief Information Officers
(CIO) to be created in critical ministries
so that various e-Governance projects
could be implemented faster.
10. DeitY to create necessary senior
positions within the department for
managing the programme.
Program Management
Structure:
• A programme management structure
to be established for monitoring
implementation.
• Key components of the management
structure:
» Cabinet Committee on Economic
Affairs (CCEA) for approving projects,
» Monitoring Committee headed by
Prime Minister,
» Digital India Advisory Group chaired by
Minister of Communications and IT,
» Apex Committee chaired by Cabinet
Secretary and
139
» Expenditure Finance Committee (EFC)
/ Committee on Non-Plan Expenditure
(CNE).
Recent Initiatives
Under Digital India
1. Under the National e-Governance
Action Plan (NeGP) – which is now
subsumed under Digital India – core
infrastructure components such as
State Wide Area Networks (SWANs),
State Data Centres (SDCs), Common
Services Centres (CSCs), e-District,
State e-Governance Service Delivery
Gateway (SSDGs) and Capacity
Building are being implemented.
2. The focus of the e-Kranti is to expand
the portfolio of Mission Mode Projects
(MMPs) in e-Governance under
various Government Departments
by undertaking Government Process
Reengineering (GPR), introducing the
latest technologies such as Cloud and
mobile platform, workflow automation
and focus on the integration of services.
3. MyGov aims to establish a link between
citizens and the Government towards
meeting the goal of good governance.
4. Digital Locker System enables
citizens to securely store & share their
documents with those service providers
who can access them electronically.
5. e-Hospital Online Registration
Framework (ORF) initiative aims to
facilitate the patients to take online
OPD appointments with government
hospitals.
6. National Scholarships Portal (NSP)
offers a centralized platform for
the application & disbursement of
scholarship to students under any
scholarship scheme.
7. India's government is implementing
Common Services Centres 2.0 (CSC 2.0)
 scheme to use information technology
in rural areas. The CSCs are ICT enabled
kiosks with broadband connectivity
to provide various Governments and
social services at the doorstep of the
citizen.
8. Mobile Seva provides Government
services to the people also through
mobile phones and tablets.
9. Jeevan Pramaan is an Aadhaar based
Biometric Authentication System
for Pensioners. The Prime Minister
inaugurated the Jeevan Pramaan in
2014. The scheme ensures the validity
of Digital Life Certificates without
requiring the pensioner to appear in
person before his Pension Dispensing
Authority (PDA).
10. Under the National Centre of
Geo-informatics (NCoG) project,
Geographic Information System (GIS)
platform for sharing, location-based
analytics and decision backing system
for departments has been developed.
• Even though India is known as a
powerhouse of IT/software,
availability of electronic government
services to citizens is still relatively low.
• The National e-Governance Plan
permitted in 2006 has made steady
progress through Mission Mode Projects
and Core ICT Infrastructure, but a
greater thrust is still required.
• This new programme provides the
intensified impetus to promote inclusive
growth that covers electronic services,
products, devices, manufacturing and
job opportunities.
• India of the 21st Century must meet its
citizens' aspirations where government
services reach citizens' doorsteps
and contribute toward a long-lasting
positive impact.
140
New National
Education Policy
• The Union Cabinet permitted the
National Education Policy (NEP), 2020.
This policy will help in sweeping changes
to the country's education policy, which
include a renaming of the Ministry of
Human Resource Development as the
Education Ministry.
Special Features of the
National Education Policy
2020
• The policy covers all three education
stages: school education, higher
education, and professional education.
• It includes agricultural education,
legal education, medical education,
technical education, vocational
education, teacher education, research,
and innovation.
• Emphasizes early child care and
education and includes it in the Ministry
the
of Education (Ministry of HRD will be
called Ministry of Education).
• The policy also focuses on specific
foundational skills that children should
have in the proposed new structure of
5+3+3+4.
School Education
• Universalization of education of pre-
school to secondary level with 100%
Gross Enrolment Ratio (GER) in school
education by 2030.
• To bring two crores out of school
children back into the mainstream
through an open schooling system.
• The current 10+2 system should be
replaced by a new curricular structure
(5+3+3+4) corresponding to ages 3-8,
 8-11, 11-14, and 14-18 years, respectively.
• It will bring the uncovered group
of 3-6 years old children under the
school curriculum, which has been
known globally as the crucial stage for
developing a child's mental faculties.
• It will have 12 years of schooling
with three years of Anganwadi/pre-
schooling.
• Class 10 and 12 board examinations
to test core competencies rather than
memorised facts, to be made more
accessible, with all students allowed to
take the exam twice.
School governance is set up to change,
with a new accreditation framework and
an independent authority to regulate
public and private schools.
• Emphasis on Foundational Numeracy
and Literacy, no rigid separation
between academic extracurricular,
streams, vocational streams in schools.
• Vocational Education to start as of
Class 6 with Internships.
• Teaching up to Grade 5 in the student's
mother tongue/regional language. No
student would be forced to learn a
language.
• Assessment reforms with 360-degree
Holistic Progress Card which track
Student Progress for achieving Learning
Outcomes.
• The National Council for Teacher
Education in discussion with the
National Council of Educational
Research and Training (NCERT) will
formulate a new and comprehensive
National Curriculum Framework for
Teacher Education (NCFTE), 2021.
• By 2030 the minimum degree
qualification for tutoring will become a
4-year integrated B.Ed. Degree.
141
Higher Education
• Gross Enrolment Ratio of higher
education raised up to 50% by 2035,
which is 26.3% currently. Also, 3.5 crore
seats to be added in higher education.
• Holistic Undergraduate education
with a supple curriculum can be 3 or
4 years with multiple exit options and
appropriate certification within this
period.
• M.Phil. Courses will be discontinued,
and all the classes at undergraduate,
postgraduate and PhD level will be
interdisciplinary.
• Academic Bank of Credits established
to facilitate Transfer of Credits.
• Research Universities and
Multidisciplinary Education at par with
IITs, IIMs, to set up as models of best
multidisciplinary education of global
values in the country.
• The National Research Foundation
should be created as an apex body to
foster a strong research culture and
build research capacity across higher
education.
• The Higher Education Commission of
India (HECI)should form as a single
umbrella body for all higher education
with the exclusion of medical and
legal education. The same system of
rules, accreditation, and academic
requirements would apply to all
public and private higher education
institutions. HECI would also have four
distinct verticals, namely:
» National Higher Education Regulatory
Council (NHERC) for regulation,
» General Education Council (GEC) for
standard-setting,
» Higher Education Grants Council
(HEGC) for funding and
» National Accreditation Council (NAC)
for accreditation.
• Affiliation of colleges is to be phased out
in 15 years and a stage-wise mechanism
for granting graded autonomy to
colleges.
• Over time, every college is expected
to develop into either an autonomous
degree-granting College or a
university's constituent college.
Other Changes
• The National Educational Technology
Forum (NETF), an independent
organisation, will be established to
provide a forum for the free exchange
of thoughts on using technology
to improve research, evaluation,
preparation, and administration.
• A National Assessment Centre, known
as ‘PARAKH,' has been established to
test students.
• It also opens the door for international
universities to build campuses in India.
• It stresses the establishment of a
Gender Inclusion Fund as well as
Special Education Zones for vulnerable
areas and communities.
• The establishment of a National
Institute for Pali, Persian, and Prakrit, as
well as an Indian Institute of Translation
and Interpretation.
• It further plans to boost public spending
in the education sector to 6% of GDP
as soon as possible. Currently, India
spends approximately 4.6 percent of its
overall GDP on e-commerce.
Controversy over the Three-
Language Formula:
• The three-language formula, which
dates back to 1968, requires students
in Hindi-speaking states to learn a new
Indian language in addition to Hindi
and English, and students in non-Hindi-
speaking states to learn Hindi as well as
142
the regional language and English.
• It is seen as a transparent partition
of languages between the Southern
states and the Northern states, making
it irrational to impose Hindi in South
Indian states.
• The Kothari Commission in 1964
advocated that students from the North
should learn one South Indian language
and students from South should learn
one language of North India.
• In Tamil Nadu and south there was
agitation on the imposition of Hindi.
Issues in the Draft Policy
• There are opposing opinions over
integration of foundational learning
with schooling. For example; in Europe,
compulsory education begins at the
age of 6 unlike 3 years according to
National Education Policy 2020.
• There is no mention of how the State
regulatory body would regulate the
government institutions in the draft
policy:
» A constitutional amendment is required
to change the limits for compulsory
schooling in the country.
» There is no sufficient capacity in
the country to provide for teachers’
education.
» Prioritizing of B.Ed. Over M.Ed. by the
policy.
Way Forward
• Apart from consulting states, the central
government needs to consult all the
other stakeholders, including parents,
students and institutions.
• There should be a course of Masters
of Teacher Education, and there is a
need to build good teacher training
institutions.
• The eminence of education provided
in the country shall be such that it
delivers basic literacy and numeracy
and creates an analytical environment
and promotes scientific temper among
citizens.
India Innovation
Index
• In January 2021, NITI Aayog, together
with the Institute for Competitiveness,
released the second edition of the India
Innovation Index.
• The report examines new skills and
performance of countries and territories
for unions. The first version of the index
was launched in October 2019.
• In the second edition, Index found
that the level of competition between
countries and union territories was high,
which was vital for them to continue
improving their ratings and innovations
year after year.
• Karnataka continued on the top
position in the' Major States' category,
while Maharashtra passed through
Tamil Nadu to second place.
• Telangana, Kerala, Andhra Pradesh,
Gujarat, Haryana, Uttar Pradesh and
143
Punjab finish in the top ten.
• The Karnataka ranking is due to
its large number of engagement
deals, registered local references,
and information transmission and
communication technology.
• The high penetration of Karnataka
Investment Direct (FDI) has also
improved state capacity. The four
southern provinces - Karnataka, Tamil
Nadu, Telangana and Kerala - have
taken the top five places under the
‘Major States’ category this year.
• Delhi retained its first position, while
Chandigarh has faltered since 2019 and
finished second this year.
• Under the 'North-Eastern or Hill States'
category, Himachal Pradesh came in
second and emerged as the best of the
year, while 2019's top (in this category),
Sikkim, dropped to fourth.
• The new input was measured by five
parameters of the enabler and the
output by two operation parameters.
While ‘Knowledge Workers’, ‘Business
Environment’, ‘Human Capital’,
‘Investment’, ‘Security and Legal
Environment’ were identified as
empowerment mechanisms, ‘Release
Knowledge’ and ‘Information Diffusion’
were selected as performance
parameters.
 CHAPTER - 15
GOVERNANCE IN TIMES OF COVID-19
PANDEMIC
Introduction
• The magnitude of the situation brought
on by the COVID-19 epidemic calls -
or instead compels us - to reflect on
our governance plans' efficiency and
effectiveness.
• Not only through health systems, but
more broadly to manage our complex
societies and their international flow.
Governance
• Governance is often used to refer to
certain positive traits that organization
and institutions (usually public
institutions) should incorporate.
• These attributes include ambiguous
concepts such as Openness, Response,
Corruption management, Success,
Involvement and The law.
• This approach to governance, also
commonly referred to as "good
governance", has a broader contextual
meaning. It has been widely criticized
that development cooperation aims
to move Western models of state
institutions into areas which are not in
line with local realities and cultures.
• Effective governance is about setting
rules and incentives such as compulsory
orders, indicators or recommendations.
In this way, many people's behaviour in
a breed group is directed in a consistent
direction with achieving shared aims.
144
Governance Models
are Being Put to the
Assessment
• In the current context, with the ongoing
disease of COVID-19, the issue of central
governance involves diverting people
from their standard practices in the
name of public health goals. In some
cases, they have even been asked to
refrain from engaging in activities that
provide daily sustenance.
• This emphasizes the importance of
testing the strengths and weaknesses
of different governance forms being
tested by leaders. They face difficult
decisions to curb the spread of HIV /
AIDS.
• On the other hand, the Chinese
government adopted a model of
governance to address the outbreak.
So far, it seems to have successfully
prevented infection, but it is a problem
in terms of human rights.
• Democratic governments in Europe and
elsewhere face the daunting challenge
of controlling every emergency
concerning the rights and freedoms of
democracy.
What Factors
Underpin the
Current Challenges?
• Sources that cause difficulties in
controlling the spread of the virus are
different and complex.
• But if we have to learn from this
experience how effective governance is,
we can and should take the initiative to
go back and find out the various things
present in the ban on this epidemic's
content.
• For example, it is a known fact that
integrated action problems come
together quickly to develop public
interest.
• The problem with free rides arises
because people estimate that they can
still pursue their interests and enjoy the
good of society (which includes the
spread of the virus) if everyone keeps
shared rules (staying home, avoiding
contact with people).
• However, we know that individuals can
show generosity and work together to
punish those who break the rules that
promote the wider group's welfare.
This clearly shows that social norms
also need to be considered to build
better governance to deal with critical
situations.
Lessons in Crisis
Governance for the
Age of Corona Virus
• Much research and evidence of
excellent effectiveness in disaster risk
management and governance can
provide valuable lessons for this period.
• Here, we highlight three common ways
community leaders who try to address
these issues in the coming months can
consider - and show their compatibility
with examples of their current use by
the government.
First, effective communication is
an essential pillar of disaster risk
management.
• As policies are compiled and are
145
on track to address uncertainty and
ambiguity, governments must work hard
to address this issue while addressing
the public in real-time.
• To date, Singapore appears to have
succeeded in curbing the spread of
the virus and death toll while allowing
citizens, school children and businesses
to continue living as usual.
• Singapore's use of social media and
digital apps, such as live messaging
and 'tracking' via WhatsApp, as well
as its anticipated but limited social
media outreach, including daily social
updates, helped contain the spread of
the virus and announced to viewers,
including World Health Organization,
"as a general gold response".
Second, using a community-wide
approach is very important in this critical
situation.
• Citizens are urged to participate
in community outreach activities,
including social isolation and
community support, for a long time but
anonymously.
• The whole community process
involves individuals, families, faith-
based organizations, civil society
organizations, the private sector, the
media, and others to support national
efforts to operate effectively and
prevent significant law and order
problems that increase the pressures
on the public sector capacity.
• All participants must be on board for
these strategies to work. Besides, to
ensure that the community does not
become wholly isolated during the long
period of isolation or closure, active
participation of employers, universities
and schools is essential in promoting
remote-jobs, home-based efforts and
online education efforts.
• For example, the Prime Minister of
 Canada's adoption with the slogan
'Team Canada Effort' aims to use public
and community support to address this
issue.
Finally, evidence-based techniques based
on historical and current data are more
critical than working based on what is
politically expedient.
• Proven, evidence-based strategies
ensure the efficient use of resources
and help create the right conditions.
Partnering with research labs and
institutions worldwide can help
governments take practical steps
to reduce the risk of unintended
consequences.
• Using reputable evidence as an
essential tool when using alternative
measures can also help to gain public
support.
146
• For example, Imperial College London
experts' essential study helped change
the UK and US policy course with
COVID-19, which could have saved
thousands of lives.
Concluding Remarks
• While COVID-19 is a major challenge,
any crisis provides opportunities for
long-term creativity and learning.
• The progress of this crisis will be
determined by each government's
ability to confront it head-on and
get public on board while efficiently
communicating with stakeholders.
• Social processes are by necessity
adaptable, and this crisis offers an
impetus for all of us to learn. This is a
challenge for our democratic processes,
and our joint reaction will shape the
future for years to come.
 PREVIOUS
YEAR
QUESTIONS

147
MAINS effective are these methods? 2019

1. “Recent amendments to the Right to

8. E-Governance is not only about
information Act will have profound
utilization of the power of new
impact on the autonomy and
technology, but also much about
independence of the Information
critical importance of the ‘use value’ of
Commission”. Discuss 2020
information. Explain 2018

2. How far do you think cooperation,

9. Citizens’ Charter is an ideal
competition and confrontation have
instrument of organizational
shaped the nature of federation in
transparency and accountability,
India? Cite some recent examples
but it has its own limitations.
to validate your answer. 2020
Identify the limitations and suggest
measures for greater effectiveness
3. “The emergence of Fourth Industrial of the Citizens Charter. 2018
Revolution (Digital Revolution) has
initiated e-Governance as an integral
10. Discuss the role of Public Accounts
part of government”. Discuss. 2020
Committee in establishing
accountability of the government to
4. Indian constitution exhibits centralising the people. 2017
tendencies to maintain unity and
integrity of the nation. Elucidate in the
11. Initially Civil Services in India were
perspective of the Epidemic Diseases
designed to achieve the goals of
Act, 1897; The Disaster Management
neutrality and effectiveness, which
Act, 2005 and recently passed
seems to be lacking in the present
Farm Acts. 2020
context. Do you agree with the view
that drastic reforms are required in Civil
5. Which steps are required for Services. Comment 2017
constitutionalization of a commission?
Do you think imparting constitutionality
12. ‘The emergence of Self Help Groups
to the National Commission for
(SHGs) in contemporary times points
Women would ensure greater gender
to the slow but steady withdrawal
justice and empowerment in India?
of the state from developmental
Give reasons. 2020
activities’. Examine the role of the
SHGs in developmental activities
6. Implementation of information and and the measures taken by the
Communication Technology (ICT) based Government of India to promote the
Projects / Programmes usually suffers SHGs. 2017
in terms of certain vital factors. Identify
these factors, and suggest measures
13. How do pressure groups influence Indian
for their effective implementation. 2019
political process? Do you agree with
this view that informal pressure groups
7. What are the methods used by the have emerged as powerful than formal
Farmers organizations to influence pressure groups in recent years? 2017
the policy- makers in India and how

148
14. “Effectiveness of the government
system at various levels and people’s
participation in the governance
system are inter-dependent.” Discuss
their relationship with each other
in context of India. 2016
15. In the integrity index of Transparency
International, India stands very low.
Discuss briefly the legal, political,
economic, social and cultural factors
that have caused the decline of
public morality in India. 2016
16. “In the Indian governance system,
the role of non-state actors has been
only marginal.” Critically examine this
statement. 2016
17. “Traditional bureaucratic structure and
culture have hampered the process
of socio-economic development in
India.” Comment. 2016
18. In the light of the Satyam Scandal
(2009), discuss the changes brought
in corporate governance to ensure
transparency, accountability. 2015
19. Examine critically the recent changes in
the rules governing foreign funding of
NGOs under the Foreign Contribution
(Regulation) Act (FCRA), 1976. 2015
20. The Self-Help Group (SHG) Bank
Linkage Programme (SBLP), which is
India’s own innovation, has proved to
be one of the most effective poverty
alleviation and women empowerment
programmes. Elucidate. 2015
21. How can the role of NGOs be
149
strengthened in India for development
works relating to protection of the
environment? Discuss throwing light
on the major constraints. 2015
22. “If amendment bill to the Whistle-
blowers Act, 2011 tabled in the Parliament
is passed, there may be no one left
to protect.” Critically evaluate. 2015
23. The penetration of Self Help Groups
(SHGs) in rural areas in promoting
participation in development
programmes is facing socio-cultural
hurdles. Examine. 2014
24. Has the Cadre based Civil Services
Organisation been the cause of slow
change in India? Critically examine. 2014
25. Though Citizen’s charters have been
formulated by many public service
delivery organizations, there is no
corresponding improvement in the level
of citizens’ satisfaction and quality of
services being provided. Analyze. 2013
26. ‘A national Lokpal, however strong it
may be, cannot resolve the problems of
immorality in public affairs’. Discuss. 2013
27. The legitimacy and accountability
of Self Help Groups (SHGs) and their
patrons, the micro-finance outfits,
need systematic assessment and
scrutiny for the sustained success of the
concept. Discuss. 2013
28. Pressure group politics is sometimes
seen as the informal face of politics.
With regards to the above, assess
the structure and functioning of
pressure groups in India. 2013
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 AUTHOR'S NOTE
This book tries to exhaustively cover the complete syllabus of UPSC CSE Preliminary
& Mains examination in an integrated approach for “Governance”. The purpose is to
enable the learners to correctly approach and solve the questions asked and thereby
achieve top ranks in UPSC CSE Examination.

Despite being exhaustive, we have tried to be as precise and accurate as we can to

supplement your smart study. We have tried to include recent events within and outside
India relevant for the CSE examination and present it in a manner in which UPSC
examination demands. The current issues have been linked with the static portion of the
syllabus (wherever possible) so as to develop a better understanding and have a better
grasp over the subject. The aim is to ensure that learners develop a knack of identifying
important subjects and topics from newspapers and magazines thereby saving their
precious time that usually gets wasted in reading the irrelevant stuff.

All this will not only prepare learners for the examination but also give a better
understanding of events happening around us in the society, polity, economy, global
affairs and prepare them for the challenges that they will have to tackle after clearing
the examination.

However, there is always scope for further improvement. It may so happen that learners
might have some suggestions about further improving the quality of the book. Such
suggestions would not only help us in assisting better but also the future learners to
do well. Any such suggestions would be welcome and can be communicated at
upscnotessuggestions@unacademy.com

Mayur Raut, Deepak Singh, Yogesh Joshi and Mayur Kale have contributed to the creation
of the content in the book. With their profound experience in the field of UPSC and in
the field, they were responsible for selection of topics, content creation and editing of
the content in the notes.

We wish you all the success in your efforts towards UPSC CSE Examination.

Team UNACADEMY

UPSC | Governance

152
UPSC | Governance