Study Material for Political Science V: Public Administration, Lecture notes of Introduction to Public Administration

Download Study Material for Political Science V: Public Administration and more Lecture notes Introduction to Public Administration in PDF only on Docsity! KLE LAW ACADEMY BELAGAVI (Constituent Colleges: KLE Society’s Law College, Bengaluru, Gurusiddappa Kotambri Law College, Hubballi, S.A. Manvi Law College, Gadag, KLE Society’s B.V. Bellad Law College, Belagavi, KLE Law College, Chikodi, and KLE College of Law, Kalamboli, Navi Mumbai) STUDY MATERIAL for POLITICAL SCIENCE V: PUBLIC ADMINISTRATION Prepared as per the syllabus prescribed by Karnataka State Law University (KSLU), Hubballi Compiled by Madhusudhan G, Asst. Prof. Reviewed by Dr. Chaitraprasad M.D., Asst. Prof. K.L.E. Society's Law College, Bengaluru This study material is intended to be used as supplementary material to the online classes and recorded video lectures. It is prepared for the sole purpose of guiding the students in preparation for their examinations. Utmost care has been taken to ensure the accuracy of the content. However, it is stressed that this material is not meant to be used as a replacement for textbooks or commentaries on the subject. This is a compilation and the authors take no credit for the originality of the content. Acknowledgement, wherever due, has been provided. Political Science study material on Public Administration Page 1 TABLE OF CONTENTS SL.NO UNITS TOPICS PAGE NO 01 UNIT I Public Administration - Definition, Introduction, nature, sources, importance; public Vs private Administration. 3 – 23 Organisation - Meaning & importance, Principles – hierarchy, span of control, delegated of authority, unity of command, centralization vs. decentralization 24 - 50 02 UNIT II Line & Staff - Meaning, differences, functions, line agencies- their features, working & control. Staff Agency- general, specialized/technical, & auxiliary. 51 - 56 Chief Executive - types, functions; & role. 57 - 66 Delegated Legislation - causes for growth, forms, merits, limitations & safeguards. 67 – 72 Administrative Adjudication - importance, causes for growth, functions limitations & working. 73 - 86 03 UNIT III Personnel Bureaucracy - Meaning, merits & demerits, functions, kinds. 87 – 96 Recruitment & Recruitment Agencies - Recruitment agencies UPSC & SPSC. 97 – 121 Training 122 – 129 Promotion 130 – 135 Retirement 136 – 141 Morale & Discipline - meaning & implications, relationship, conditions. 142 - 151 KLE SOCIETYS LAW COLLEGE, BENGALURU POLITICAL SCIENCE- V PUBLIC ADMINISTRATION II BALLB – IV SEM Political Science study material on Public Administration Page 4 Broadly speaking, the term administration appears to bear at least four different meanings or different senses depending upon the context in which it is used: (1) As a Discipline: The name of a branch of learning or intellectual discipline as taught and studied in colleges and universities. (2) As a Vocation: Type of work/trade or profession/occupation, especially one that involves knowledge and training in a branch of advance learning. (3) As a Process: The sum total of activities undertaken to implement Public Policy or policies to produce some services or goods. (4) As a Synonym for 'word' Executive or Government: Such other body of persons in supreme charge of affairs, for example, Modi Administration, Trump Administration, etc. Noted below are definitions by a few famous writers. E.N. Gladden “Administration is a long and slightly pompous word, but it has a humble meaning, for it means to care for or look after people, to manage affairs…. is determined action taken in pursuit of conscious purpose”. Brooks Adams “Administration is the capacity of coordinating many, and often conflicting, social energies in a single organism, so adroitly that they shall operate as a unity. Felix A. Nigro “Administration is the organisation and use of men and materials to accomplish a purpose”. J.M. Pfiffner and R. Presthus “Administration is the organisation and direction of human and material resources to achieve desired ends”. L.D. White “The art of administration is the direction, co-ordination and control of many persons to achieve some purpose or objective”. Luther Gullick “Administration has to do with getting things done, with the accomplishment of defined objectives”. F.M. Marx “Administration is determined action taken in pursuit of a conscious purpose. It is the systematic ordering of affairs and the calculated use of resources, aimed at making those things happen which one wants to happen and foretelling everything to the country”. Political Science study material on Public Administration Page 5 Herbert Simon, D.W. Smithburg and V.A. Thompson “In its broadest sense, the administration can be defined as the activities of group cooperating to accomplish common goals.” A brief analysis of the definitions listed above reveals that administration comprises two essentials, namely (1) cooperative effort, and (2) pursuit of common objectives. One does not find any administration if there is only a common purpose without a collective effort or vice- versa. Administration is also called a ‘technology of social relationships. Thus, administration is a process common to all group effort, public or private, civil or military, large scale or small scale. It is process at work in a department store, a bank, a university, a high school, a railroad, a hospital, a hotel or a local government. ADMINISTRATION, ORGANISATION AND MANAGEMENT Before we discuss about the meaning, definition, nature, scope and importance of public administration we will try to know what is administration, organisation and management. As these terms are often used interchangeably and synonymously, it is pertinent to know the differences and distinctions between these three terms. According to William Schulze Administration is the force, which lays down the object for which an organisation and its management are to strive and the broad policies under which they are to operate. An Organisation is a combination of the necessary human beings, materials, tools, equipment and working space, appurtenances brought together in systematic and effective co-relation to accomplish some desired object. Management is that which leads guides and directs an organisation for the accomplishment of pre-determined object. To put the above in simple terms, administration sets the goal, management strives to attain it and organisation is the machine of the management for the attainment of the ends determined by the administration. Some scholars have a different view about the administration and management. According to Peter Drucker management is associated with the business activity, which has to show economic performance, whereas administration is associated with the non-business activities like activities of the Government. Political Science study material on Public Administration Page 6 The other view is that administration is associated with performing routine things in known settings in accordance with certain procedures, rules, and regulations. The Management is associated with performing functions like risk taking, dynamic, creative and innovative functions. Some scholars of Public Administration are closely associated with the first view that is, administration is a determinative function. Management, on other hand is an executive function that is primarily concerned with carrying out the broad policies laid down by the administration. Organisation is the machinery through which coordination is established between administration and management. DEFINING PUBLIC ADMINISTRATION L.D. White observes that although public administration varies in form and objects, and although the administration of public and private affairs differs at many points, there is an underlying similarity, if not identity. As an integral aspect of such generic concept, public administration could be related to that type of administration, which operates within a specific ecological setting. It is a means to carry out the policy decisions made by political executive. To be seen along with it is the ‘Public’ aspect of Public administration, which attributes a special character and focus to it. ‘Public’ can be looked at formally to mean ‘government’. So, public administration is government administration, government in action, or a socio-economic and politico-administrative confluence, the focus being especially on public bureaucracy. Encyclopaedia Britannica defines public administration as ‘the application of a policy of a state through its government.’ Public Administration, therefore, refers to that part of administration, which pertains to the administrative activities of the government. Now we will try to look into the definitions of Public Administration provided by various scholars. Woodrow Wilson Public administration is the detailed and systematic application of law. Every particular application of law is an act of administration. L.D. White “Public administration consists of all those operations having for their purpose the fulfilment or enforcement of public policy”. As per White, this definition covers a multitude of particular operations in many fields the delivery of a letter, the sale of public land, the negotiation of a treaty, the award of compensation to an injured workman, the quarantine of a Political Science study material on Public Administration Page 9 According to the managerial view of administration, the managerial activities of people who are involved in planning, organising, commanding, coordinating and controlling constitute Public Administration. This view regards administration as getting things done and not doing things. Luther Gullick, Herbert Simon, Smithburg and Thompson are the supporters of this view. The managerial view excludes Public Administration from non-managerial activities such as manual, clerical and technical activities. The two views differ from each other in many ways. According to Prof. M.P. Sharma the difference between the two views is fundamental. The integral view includes the activities of all the persons engaged in administration whereas the managerial view restricts itself only to the activities of the few persons at the top. The integral view depicts all types of activities from manual to managerial, from nontechnical to technical whereas the managerial view takes into account only the managerial activities in an organisation. Furthermore, administration, according to the integral view would differ from one sphere to another depending upon the subject matter, but whereas that will not be the case according to the managerial point of view because the managerial view is identified with the managerial techniques common to all the fields of administration. The difference between the two views relates to the difference between management and operation or we may say between getting things done and doing things. The correct meaning of the term administration would however, depend upon the context in which it is used. Dimock, Dimock and Koening sum up in the following words: “As a study public administration examines every aspect of government’s efforts to discharge the laws and to give effect to public policy; as a process, it is all the steps taken between the time an enforcement agency assumes jurisdiction and the last break is placed (but includes also that agency’s participation, if any, in the formulation of the programme in the first place); and as a vocation, it is organising and directing the activities of others in a public agency.” SCOPE OF PUBLIC ADMINISTRATION By the scope of Public Administration, we mean the major concerns of Public Administration as an activity and as a discipline. Scope of Public Administration as an activity broadly speaking, Public Administration embraces all the activities of the government. Hence as an activity the scope of public administration is no less than the scope of state activity. In the modern welfare state people Political Science study material on Public Administration Page 10 expect many things – a wide variety of services and protection from the government. In this context public administration provides a number of welfare and social security services to the people. Besides, it has to manage government owned industries and regulate private industries. Public administration covers every area and activity within the ambit public policy. Thus, the scope of public administration is very wide in modern state. Scope of Public Administration as a Discipline The scope of public administration as a discipline, that is subject of studies, comprises of the following: The POSDCoRB view several writers have defined the scope of public administration in varying terms. Gullick sums up the scope of the subject by the letters of the word POSDCoRB which denote: Planning, Organisation, Staffing, Directing, Co-ordinating reporting the Budgeting. Planning means the working out in broad outline the things to be done, the methods to be adopted to accomplish the purpose. Organisation means the establishment of the formal structure of authority through which the work is sub-divided, arranged, defined and coordinated. Staffing means the recruitment and training of the personnel and their conditions of work. Directing means making decisions and issuing orders and instructions. Coordinating means inter-relating the work of various divisions, sections and other parts of the organisation. Reporting means informing the superiors within the agency to whom the executive is responsible about what is going on. Budgeting means fiscal planning, control and accounting. According to Gullick the POSDCoRB activities are common to all organisations. They are the common problems of management which are found in different agencies regardless of the nature of the work they do. POSDCoRB gives unity, certainty, and definiteness and makes the study more systematic. The critics pointed out that the POSDCoRB activities were neither the whole of administration, nor even the most important part of it. The POSDCoRB view overlooks the fact that deferent agencies are faced with different administrative problems, which are peculiar to the nature of the services, they render and the functions they performed. The POSDCoRB view takes into Political Science study material on Public Administration Page 11 consideration only the common techniques of the administration and ignores the study of the ‘subject matter’ with which the agency is concerned. A major defect is that the POSDCoRB view does not contain any reference to the formulation and implementation of the policy. Therefore, the scope of administration is defined very narrowly, being too inward looking and too conscious of the top management. The Subject Matter View We all know that public administration deals not only with the processes but also with the substantive matters of administration, such as Defence, Law and Order, Education, Public Health, Agriculture, Public Works, Social Security, Justice, Welfare, etc. These services require not only POSDCoRB techniques but also have important specialised techniques of their own which are not covered by POSDCoRB techniques. For example, if you take Police Administration it has its own techniques in crime detection, maintenance of Law and Order, etc., which are much and more vital to efficient police work, than the formal principles of organisation, personnel management, coordination or finance and it is the same with other services too. Therefore, the study of public administration should deal with both the processes (that is POSDCoRB techniques and the substantive concerns). We conclude the scope of public administration with the statement of Lewis Meriam: “Public administration is an instrument with two blades like a pair of scissors. One blade may be knowledge of the field covered by POSDCoRB, the other blade is knowledge of the subject matter in which these techniques are applied. Both blades must be good to make an effective tool”. We may conclude the discussion with the observation of Herbert Simon who says that Public administration has two important aspects, namely deciding and doing things. The first provides the basis for the second. One cannot conceive of any discipline without thinking or deciding. Thus, Public administration is a broad-ranging and an amorphous combination of theory and practice. PUBLIC AND PRIVATE ADMINISTRATION The major concern of administration is to properly organise men and material for achieving desired ends. As a co-operative group activity, administration is truly universal and operates in all types of public and private organisations. In other words, administration occurs in both public and private institutional settings. Its nature depends upon the nature of the setting and goals with which it is concerned. On the basis of the nature of the institutional setting, public Political Science study material on Public Administration Page 14 Public Gaze: All the actions of public administration are exposed to wide public gaze because the public closely watches it. This does not happen in private administration. Service and Cost: Most governments spend more money than their income or revenues. That is the reason for finding generally a deficit budget that is, expenditure exceeding income. Conversely, private administration income often exceeds expenditure without which they cannot survive. Legal framework: Public administration operates within a legal framework. It is rule oriented. The responsibilities of public administrators are fixed by a set of constitutional practices, laws and regulations. Government officials are obliged to act within their legal powers and not outside the law. Consistency of treatment: A government official is required by law to maintain a high degree of consistency in his dealings with the public. He has to observe the principle of equality of treatment in serving the people. It is a legal obligation to not to discriminate against any person. Public accountability: Public accountability is the hallmark of Public administration in a democracy. Public administration is responsible to the public, though not directly but indirectly through political executive, legislature, judiciary, etc. Large-scale administration: Public administration is large-scale administration. It is said that almost anything under the sun is directly or indirectly under the domain of public administration. It is by all means larger than any big private concern in terms of size., complexity and diversity of activities. Monopolistic and Essential Services: In the field of public administration, there is generally a monopoly of the government and it does not generally allow private parties to compete with it. For example, no person or bodies of persons are allowed to establish or perform functions related to public services like national security, foreign relations, law and order, mint and currency, as these are the exclusive fields of the government and thoroughly important for the community and polity to prosper. Officials remain Anonymous: In public administration, even the most senior officials remain anonymous and their identity is not disclosed. This is so because whatever they do, they do in the name of the government and not in their own name. Political Science study material on Public Administration Page 15 Financial meticulousness: Public administration has to be very careful in financial matters because it is working as custodian of people’s money. Lower level of Efficiency: Efficiency is said to be the cornerstone of any organisation. However, due to varied responsibilities, lack of effective control, less accountability, involvement of a large number of levels and job security of employees, efficiency has not been there in public organisations to the effect desired. When compared to private administration, one finds that the degree of efficiency in public organisations is at a lower level. With profit as the major motive coupled with excessive control and flexibility in personnel administration the level of efficiency in private organisations is much higher. Similarities between Public and Private Administration Scholars like Henry Fayol, Mary P. Follet and L. Urwick do not make a distinction between public and private administration. The classical writers held the view that public and private administrations are the undifferentiated members of the genus administration. Henri Foyal, for example, says that there is only one administrative science, which can be applied equally well to public and private sectors. In his address in the Second International Congress of Administrative Science, Fayol remarked, “The meaning which I have given to the word administration and which has been generally adopted, broadens considerably the field of administrative sciences. It embraces not only the public service but also enterprises of every size and description, of every form and every purpose. All undertakings require planning, organisation, command, co-ordination and control and in order to function properly, all must observe the same general principles. We are no longer confronted with several administrative sciences but with one which can be applied equally well to public and to private affairs”. The following similarities between the two types of administration may be noted: 1. Both public and business administration rely on common skills, techniques and procedures. 2. In modern times the principle of profit motive is not peculiar to private administration, because it is now accepted as a laudable objective for public sector enterprises also. 3. In personnel management, the private organisations have been influenced greatly by the practices of public organisations. Political Science study material on Public Administration Page 16 4. The private concerns are also subjected to many legal constraints. Government is exercising much control over business firms through regulatory legislation such as taxation, monetary and licensing policies, etc. Consequently, they are not as free as they once used to be. 5. There is a similar type of hierarchy and management systems, both in public and private sectors. Both have same kind of organisation structure, superior – subordinate relationships, etc. 6. Both Public and private administration carries on continuous efforts to improve their internal working and also for efficient delivery of services to people or customers. 7. Public and private administration serves the people, whether being called clients or customers. Both have to maintain close contact with people to inform about their services and also to get feedback about services and product. In both the cases, public relations help them to inform and improve their services to the people. The preceding discussion shows that the distinction between public and private administration is not absolute. In fact, they are becoming more and more alike in many respects. However, it does not mean that there are no significant differences between these two types of administration. Waldo observes that Public administration is distinct because it reflects the peculiar characteristics of government activity and the public setting in which it functions. Given the wide acceptance of the ideas of liberalisation, privatisation and globalisation, both public and private administrations have to compete in the same area to provide services to people. Here both are dealing with customers, who pay for their services, in such a situation it narrows down the differences between the public and private administration. New Public Management, which has come into prominence, recently, puts emphasis on managerial techniques, which are to be adopted by public administration for the efficient delivery of public services. But in providing public services in the field of social and welfare areas there exists a difference between public and private administration With this brief characterisation, it could be stated that both public and private administration are placed in different environments. But this difference is more apparent than real. According to Waldo, The generalisation which distinguish public administration from private administration by special care for equality of treatment, legal authorisation of, and responsibility of action, public justification of decisions, financial probity and meticulousness, etc. are of very limited applicability,” In fact public and private administrations are the “two Political Science study material on Public Administration Page 19 Importance of Public Administration as an Activity The contemporary age, which has witnessed the emergence of ‘Administrative State’, public administration has become an essential part of society and a dominant factor. The functions it is called upon to perform, have expanded in scope and nature, and what is more, are continually increasing. Many of them are more positive in nature because they care for the essential requirements of human life, be it health, education, recreation, sanitation, social security or others. It is, therefore, a creative factor, with its motto being ‘human welfare’. These functions are over and above its regulatory functions. The viewpoints of eminent scholars, as referred to below, amply reflect the significance of public administration. Woodrow Wilson: “Administration is the most obvious part of government; it is government in action, it is the executive, the operative and the most visible side of the government. Brooke Adams: “Administration is an important human faculty because its chief function is to facilitate social change and to cushion the stock of social revolution”. W.B. Donham, ‘If our civilization fails, it will be mainly because of breakdown of administration’. Paul H. Appleby: ‘Administration is the basis of government. No government can exist without administration. Without administration government would be a discussion club, if indeed, it could exist at all’. The role of public administration in various facets is noted below: • Basis of the Government: A Government can exist without a legislature or an independent judiciary. But no Government can exist without administration. • An instrument for providing services: Public administration is mainly concerned with the performance of various activities performed by government in the public interest. Felix A. Nigro aptly remarks, “The real core of administration is the basic service which is performed for the public”. • An instrument for implementing policies: Modern governments go a long way in formulating and adopting sound policies laws and regulations. It should not be forgotten that such policies, laws, etc. are not merely printed papers. Such paper declarations of intent are translated into reality by public administration thus converting words into action and form into substance. Political Science study material on Public Administration Page 20 • A stabilising force in society: Public administration is a major force for bringing stability in society. It has been observed that though government often changes, but violent change is seldom experienced by administration. An element of continuity between the old and the new orders is provided by public administration. It does not hold true only of constitutional 19 changes of government in democratic countries, but is also reflected when there are revolutionary changes in the form and character of government. • An instrument of social change and economic development: Public administration’s role as a change agent is particularly crucial in developing nations. It is expected of the state at present to work for accelerating socio-economic change and not to be a passive agency to maintain the status quo. • Technical Character: The present-day government is expected to provide various services to its population. The increase in the number of functions undertaken by the government requires highly specialised, professional and technical, services. Modern public administration usually represents a galaxy of all of a nation’s occupations. According Gerald Caiden public administration has assumed the following crucial roles in contemporary modern society: • Preservation of polity; • Maintenance of stability and order; • Institutionalisation of Socio-Economic changes; • Management of large-scale commercial services; • Ensuring growth and economic development; • Protection of the weaker sections of society; • Formation of public opinion; and • Influencing Public policies. The points mentioned below summarise the reasons for the growing importance of public administration: Political Science study material on Public Administration Page 21 • Emergence of Welfare and Democratic state Emergence of welfare and democratic state has led to an increase in the activities of public administration compared to that of the laissez-faire state. The state has to now serve all sections of people in the society. This amount to enhanced responsibilities of public administration. Public administration is also to regulate and control private economic enterprises to meet the objectives of the state. • Industrial Revolution The industrial revolution gave rise to socio-economic problems making the government to assume new roles and responsibilities such as protection and promotion of the rights of workers in industrial establishments, etc. Consequently, the state has 20 enacted a number of Industrial and Labour laws and it is imperative for public administration to implement such laws in order to meet the requirements of labour welfare. • Scientific and Technological Development Scientific and technological developments have brought about welcome additions in infrastructure such as power, transport and communication system. The invention of telephone, telegraph and other mechanical devices such as typewriter, tele-printer, and calculators, photocopying machines, computers, fax and the electronic mail has brought revolutionary changes in office administration. All these have made possible ‘big government’ and ‘large scale administration’. Besides changing the ethos and character of public administration, the revolution in information and communication technologies have contributed to improved delivery of services to people. • Economic Planning Centralised economic planning has been pursued in many developing countries as a method for socio-economic development. It requires a large number of experts and elaborate administrative machinery for plan formulation, implementation, monitoring, and evaluation. Apart from the reasons cited the rapid growth of population, modern warfare, increase in natural and manmade disasters, decline in social harmony, increase in violence due to conflicts, communal riots, ethnic wars, terrorism, etc. have increased the importance of public administration. It goes without saying that public administration is not only the operative but also the most obvious part of the government. It is government in action and occupies a significant place not merely as an instrument of governance but also as an important mechanism for preserving and promoting the welfare of community. It has substantive impact upon the life of the people. It is a vital process charged with implementation of pre-determined, welfare oriented, and developmental objectives. Political Science study material on Public Administration Page 24 ORGANISATION SYNOPSIS ❖ Meaning and Definition ❖ Division of Labour ❖ Delegation of Authority ❖ The Scalar Principle ❖ Unity of Command ❖ Hierarchy ❖ Span of Control ❖ Unity of Command Organisation: Meaning, Process and Principles Meaning of Organisation: The word organisation is used and understood widely in our daily lives. The organising function is important in the managerial functions. It is the primary mechanism with which managers activate such plans. “Organising” is the function of gathering resources, establishing orderly uses for such resources and structuring tasks to fulfil organisational plans. It includes the determination of what tasks are to be done, how the tasks are to be grouped, who is going to be responsible to do these tasks and who will make decisions about these tasks. Organisation has been defined in a number of ways by psychologists, sociologists, management theorists as well as practitioners. A definition of organisation suggested by Chester Barnyard, a well-known management auctioneer, nearly sixty-five years ago still remains popular among organisation and management theorists. According to him, an organisation is “a system of consciously coordinate activities or efforts of two or more persons”. In other words, a formal organisation is a cooperative system in which people gather together and formally agree to combine their efforts for a common purpose. It is important to note that Political Science study material on Public Administration Page 25 the key element in this rather simplistic definition is “conscious coordination” and it implies a degree of formal planning, division of labour, leadership and so on. Ralph C. Paris has defined organisation in terms of people, while Oliver Sheldon, has defined it in terms of activities. According to Davis, “Organisation is a group of people, who are cooperating under the direction of leadership for the accomplishment of common end”. According to Sheldon “Organisation is the process of so combining the work which individuals or groups have to perform with the facilities necessary for its execution, that the duties so performed provide the best channels for the effective systematic, positive and coordinated application of the available effort”. Terry defined “Organisation is the establishing of effective behavioural relationships among persons so that they may work together efficiently and gain personnel satisfaction in doing selected tasks under given environmental conditions for the purpose of achieving some goal or objective.” Koontz and O’Donnell, defined organisation as “the structural relationship by which an enterprise is bound together and the framework in which individual effort is coordinated.” Urwick defines it as “dividing up of the activities which are necessary to any purpose and arranging them in groups which are assigned to individual.” On the basis of these definition organisation is treated as a mechanism to achieve certain objectives by division of work, authority and responsibility among its members and coordinating their activities. It is structural framework within which the various efforts are coordinated and related to each other. The Process of Organising: The process of organising has the following steps: 1. Determination of objectives. 2. Determining activities. 3. Grouping activities. 4. Assigning duties. Political Science study material on Public Administration Page 26 5. Developing relationships. 1. Determination of Objectives: The first step in the organising process is to determine the organisational goals and objectives. So, it is necessary to state in clear terms what the objectives are. 2. Determining Activities: Managers prepare and analyse the activities needed to accomplish the objectives in the second stop. There may be specific activities, which are unique to the type of business that an organisation is in. Example: In the restaurant, the two major activities or tasks are cooking food and serving customers. 3. Grouping Activities: Once the tasks have been determined, these tasks must be classified into manageable work units. This is usually done on the basis of similarity of activities. The major categories of tasks can be subdivided into smaller units to facilitate operations and supervision. Example: There may be different persons for taking cocktail orders, for food orders and for clearing the tables in the area of serving customers in the restaurant. 4. Assigning Duties: After grouping the various activities into manageable units, suitable persons are selected to be assigned the duty or responsibility for each group of activities. For example: The purchase manager is assigned the duties relating to purchase of goods, the sales manager relating to sale of goods. 5. Developing Relationships: It is necessary to define the relationships among the employees, when two or more people work together. Here, everyone should clearly know who is his superior from whom he has to take orders and to whom he will be answerable. This will help the smooth working of the enterprise by facilitating the delegation of responsibility and authority. Principles of Organisation: The following important principles of organisation are given below: Everything you need to know about the principles of organisation. Organisation is peopled by human beings arranged in relationship with one another. There are always chances of friction amongst them owing to misconception of authority responsibility, thereby affecting the whole enterprise adversely. Political Science study material on Public Administration Page 29 cases which offset against the confusion resulting due to lesser/lack of unity of command in such scenarios. Principles of Organisation – Cardinal Principles of a Sound Organisation The following are the cardinal principles of a sound organisation: a. Align departmental objectives to corporate goals – It is to be ensured that the objectives of different departments in the organisation are unified and aligned to the corporate goals. b. Cost-effective operations – An organisation is said to be efficient if it can achieve the goals at the lowest costs and with minimum undesirable consequences. c. Optimum number of subordinates – In each managerial position, there is a limit to the number of persons an individual can effectively manage. The optimum number will depend on various factors such as efficiency of the superior and subordinates, the nature of work—routine or special, responsibility, and so on. d. Specialisation – Similar activities are grouped together to ensure better performance of the work and efficiency at each level. e. Define authority – The authority and responsibility relationships underlying each position in the organisation have to be defined clearly to avoid confusion or misinterpretation. f. Flow of authority – This refers to the line of authority from the top management in an enterprise to other levels. If this is clear, then the terms of responsibility also can be understood. Further, this will strengthen the flow of communication to different levels in the organisation. g. Manage via exceptional cases – An organisation should be geared in such a way that manager’s attention is drawn only to exceptional problems. In other words, a system (such as – organisation manuals) should be developed to take care of routine administration. h. Ensure one employee, one superior – Each subordinate should have only one superior. There should not be any room for conflict of command. i. One head and one plan – Every group of activities with common objective should be handled by one person and one plan. If handled by different persons, the organisation may lose direction. j. Define responsibility – A superior is responsible for the omissions and commissions of his subordinates and at the same time the subordinates must be held responsible to their superiors for the performance of the work assigned. k. Commensurate authority and responsibility – Authority is the right instituted in a position to exercise discretion in making decisions affecting others. The manager occupying that position Political Science study material on Public Administration Page 30 exercises the authority. Responsibility is the willingness on the part of the employee to be bound by the results. The authority and responsibility should always be commensurate and coextensive with each other. In other words, if the authority is less than the responsibility, the manager cannot deliver performance of the task and similarly, if the responsibility is less than the authority, the employee may go berserk and unchecked. In other words, the manager cannot discharge his responsibility for want of necessary authority to execute the work assigned. l. Attain balance – Every organisation needs to be a balanced one. There are several factors such as – decentralisation of authority, delegation of authority, departmentation, span of control, and others, that have to be balanced to ensure the overall effectiveness of the structure in meeting the organisational objectives. m. Ensure flexibility – The more the flexible structures, the better is the scope to be successful. The principle of contingency endorses this. Where the organisation procedures are cumbersome or rigid, it is necessary to develop an in-built mechanism to forecast any type of constraint. n. Provide for continuity – The organisation structure should provide for the continuation of activities. There cannot be any breakdown in the activities of the organisation for the reasons such as – a change in the policies or retirement or death of any key employee in the organisation. Principles of Organisation – 10 Principles of Organisation according to Urwick Organisation is peopled by human beings arranged in relationship with one another. There are always chances of friction amongst them owing to misconception of authority responsibility, thereby affecting the whole enterprise adversely. Though such misconceptions are inevitable, they can be minimised. Several management theorists have studied this problem and through their observations, investigations, analysis and experience, have put forward some “principles” for creating a sound organisation. Taylor, Fayol and Urwick have embodied their experience into a set of principles; especially Urwick has laid down a set of “Ten Principles” as a measure of sound organisation. Political Science study material on Public Administration Page 31 These principles are: 1. Principle of Objective: The organisation as a whole as well as its parts must have a clear-cut idea about the objectives of an enterprise. Every organisation is evolved for a specific purpose. It does not exist in a vacuum. Every part of the organisation and the organisation as a whole must be geared to the objectives laid down for the enterprise. This will secure unit of objectives. 2. Principle of Division of Labour or Specialisation or Principles of Departmentation: The workload is so divided that each member of the organisation is called upon to perform a single function. Overburdening as well as entailing diverse duties must be avoided. Aptitude of the employee must be considered while assigning him a specific job. If a man fits into a job, his productivity enhances. It thereby maximises the productivity of an enterprise as a whole. Most efficient break down of activities reflecting proper departmentalisation is a must for a sound organisation. The term “departmentation” stands for the division and classification of an industrial enterprise into several distinct departments or sections. It helps in fixing definite responsibility, in measuring the efficiency of each functional performance, in drawing departmental budgets accurately, in obtaining true departmental costs in manpower planning and in controlling the whole spectrum of activities of the organised unit. 3. Principle of Unity of Efforts: For the good performance of different activities, the enterprise itself is divided into a number of divisions, departments and sections. Though there are different divisions, departments and sections carrying out specific activities, all these activities ultimately aim at bringing the unity of efforts. Coordination is necessary there to move in the direction of the given objectives. It will avoid bottlenecks, frictions, conflicts and rivalries. 4. Principle of Authority: The chain of command, i.e., the line of authority, must be well defined so that every subordinate knows who is his superior. The authority of different individuals, at different levels, must be spelt out. Who shall take a decision, issue instructions, recruit staff, control work, must be fixed in advance. Then only can the work be carried out by the subordinates as planned. There should never be confusion as to whom to report or refer to for decisions. There are different levels of authority in an organisational structure from the top executive to the worker. The scalar principle maintains that these levels represent gradation of distributed authority, each successive level downward representing a decreasing amount of authority, a decreasing Political Science study material on Public Administration Page 34 Promotion comes at a dead slow speed and loses its motivational value, so the need to limit the span of control must be carefully weighed against the benefits of reducing the number of organisational levels. In the case of managers who are reluctant to delegate, increasing the span of control gives positive benefits. It is necessary to appreciate the benefits than can be gained by increasing rather than restricting the span of control. Factors Relevant in Determining Span of Control: (a) The ability of the manager and the amount of work other than supervision he has to do. It is often overlooked that supervision is only a part of a manager’s total function. It is increasing the number of his subordinates, therefore, his workload increases, but not in the same proportion. (b) Span of control is affected by the supervisory needs of the subordinates. It, in turn, depends upon the competence of subordinates and on the group behaviour — whether co-operative or conflicting. It also depends on how much their jobs have been simplified by a good information system and routine decision making. Moreover, where the jobs of subordinates are very similar, their supervisory needs will also be similar, and so they will make smaller demands on the supervisor’s time. (c) Personal assistants can be used to relieve managers of specified duties. Spans of Control are Limited: At high levels the responsibility in the company are great and the work assignments are broad and general so the span is small (often between 5 and 9). At lower levels, the responsibilities are more limited and work assignments are detailed and specific but they don’t change often and so spans can be larger (often they are between 20 and 30). What factors affect the proper number of men that a man should supervise? First is the complexity of the work being supervised? At the bottom of the organisation, men usually work on highly structured jobs which need directions only at the start of a job. Once the worker learns his job, a machine operator, for example, he needs little supervision. How many men one foreman can supervise depends upon both- (1) The complexity of the work, and (2) The frequency of new work assignments. Besides these two conditions, there are at least two more factors which affect the span of control; (3) The ability of people being supervised; and (4) How much time the foreman spends on non-supervisory work. Political Science study material on Public Administration Page 35 9. Principle of Balance: An organisation is made up of different units. All these units should be kept in balance. Each function should be given its proper emphasis with regard to its basic purpose in the organisation. Moreover, a good organisation must be balanced with respect to centralisation and decentralisation, authority and responsibility, span of control and line of communication. Giving dominion to one activity over the other will hamper smooth and balanced working of an organisation. The object of this principle is that each portion and function of an enterprise should operate with equal effectiveness in making its allotted contribution to the total purpose. An organiser must assume the responsibility of ensuring a reasonable balance of the vertical and horizontal dimensions of his structure. A growing business takes into its stride new departments and new levels. There is, however, a strong temptation to go too far in either direction with the result that the line of communication is unduly lengthened and overhead expenses are increased. “The final result is that instead of higher efficiency and greater profit expected from specialisation, there is a lower overall efficiency and lower profit. It is, therefore, necessary to take care, particularly in a growing organisation, to see that the organisational structure does not become extremely tall or flat and to ensure that its dimensions are in a reasonable balance.” 10. Principle of Continuity and Flexibility: An organisation is a continuous process. The organisational structure must adopt itself to the environmental changes. As the enterprise grows, its activities become varied and complex. The existing organisational structure must be flexible enough to incorporate such a growth. It must be able to adapt readily to the technological and business changes. Reorganisation is a sign of a continuous and dynamic organisation. No company is static. Its goals may change for many reasons. For each such change, there should be a concomitant modification in the organisational structure, it means that the organisational structure should be such as to provide not only for the activities immediately necessary to secure the objectives of the enterprise but also for the continuation of such activities in the foreseeable future. Political Science study material on Public Administration Page 36 In addition, a good organisation must incorporate the following principles: (а) Unity of Command: According to this principle, an employee receives orders only from one superior officer and none else. He is responsible only to one particular superior and to none else in the organisation. If two superiors exercise their authority over the same individual or department, there is going to be confusion. In order to expedite decisions and, at the same time, to prevent the consequences of dual command, Urwick has recommended the device of the Gang Plank. It means that two or more supervisors may authorise their immediate subordinates to settle directly certain matters but require that they will be kept informed. The principle of unity of command, in other words, reduces to “no man will serve to two masters”. It avoids conflict and frictions arising out of dual commands. It also helps effective communication. (b) Unity of Direction: The total work is divided and subdivided. The activities are classified and grouped. For each group, of activities, there must be only one plan and the efforts must be towards one and the same end. This will help removal of conflicts and confusion. (c) Exception Principle: The principle states that the routine matters should be left to the subordinates while only important matters (policy matters) be left to the executive. One cannot imagine an executive concentrating on routine matters and allowing less time for deciding on policy matters. The executive must not be burdened with routine matters which can be easily dealt with by the subordinates. The executive must be able to concentrate on important matters and perform the managerial functions. Only those matters which are exceptions to routine matters will be referred to the executive. (d) The Principle of Simplicity: It means that an organisation should strive for structural simplicity for fulfilling the purpose in mind. It provides the company an economically effective means of accomplishing its objective. Simplicity helps in the minimisation of the fixed costs and eases out the difficulties arising from the complicated organisational structure. Political Science study material on Public Administration Page 39 Vertical and horizontal dimensions must be kept in reasonable balance by ensuring that the structure is neither too tall nor too flat. 14. Principle of Exception: Every manager should take all decisions within the scope of his authority and only matters beyond the scope of his authority should be referred to higher levels of management. In other words, routine decisions should be taken at lower levels and top management should concentrate on matters of exceptional importance. Principles of Organisation – 15 Principles of a Sound Organisation Structure Sound organization structure is an essential pre-requisite of efficient management. It depends upon certain established principles which must be kept in mind while establishing and developing organizational structures. The most important of them are as follows: (1) The Principle of Unity of Command: Henry Fayol, a French Management theorist, deserves credit for publicising the principle of unity of command, but, no doubt, the idea had occurred to many managers long before his time. The basic idea is that no member of an organization should report to more than one superior. If two superior bosses wield their authority over the same individual or department, everything will be in disorder. The boss by-passed will naturally feel irritated and there would be hesitation on the part of the subordinate. In order to ensure quick action and at the same time to prevent the consequence of dual command, Urwick has recommended the device of Gang Plank. It means that two or more superiors may authorise their immediate subordinates to settle directly certain matters but require that they will be kept informed of what has been agreed to by the latter. (2) The Scalar Principle: It holds that in every organization there must be an ultimate authority from which a clear authority must be derived to every subordinate position in organization. Some advocates of the Scalar Principle imply that most organizations could place greater stress on hierarchy, and greater stress on definition of responsibilities up and down the line. When applied this way the scalar principle becomes controversial. The extent to which definition of responsibilities is productive, are matters of degree on which this principle is unclear. In planning an organization, it may be appropriate to begin with the vertical structure of authority, but this provides little guidance in determining what the character and extent of that authority should be. Political Science study material on Public Administration Page 40 (3) The Span of Control Principle: This is also known as Span of Management Principle. Like unity of command, the famous principle of span of control arouses doubt when expressed in an extreme form. The principle states that there is a limit to the number of subordinates that should report to one superior. Some writers state precisely that five or eight people are the maximum number one-man can supervise. Supervision of too many people can lead to trouble. The superior will not have the time to devote to any one subordinate to do an adequate job of supervision. He may be distracted by the large number of contacts required in his position so that he neglects important question of policy. Some theorists have pointed out that as the number of people reporting to a superior increase arithmetically, the number of possible interrelationships among them and with the superior increases geometrically, rapidly reaching a point at which the structure becomes too complex for management by single individual. The appropriate span depends upon a number of considerations. It is easy to supervise a large number of subordinates doing routine jobs and located in a single room; but it is difficult to supervise highly diverse and specialized personnel scattered widely geographically. The ability of the employees, their willingness to assume responsibility, and the general attitude of management towards delegation and decentralization, should influence the decisions on span of control. (4) The Management by Exception Principle: F. W. Taylor advocated another widely accepted generalization-the Exception Principle. According to this concept, decisions which frequently should be reduced to a routine and delegated to subordinates, leaving more important issues and exceptional matters to superiors. (5) The Principle of Unity of Objective: It holds that each part and sub-division of the organization should be the expression of a definite purpose in harmony with the objective of the undertaking. (6) The Principle of Unity of Direction: There must be only one plan for a group of activities directed towards the same end. If each person in a department begins to work under a different plan or programme of action, nothing but confusion will follow. Unity of direction is a ‘must’ for sound organization. (7) The Principle of Simplicity: Simplicity should be an objective of organizational planning. It is, however, a relative term. It means that an organization should strive for structure which is the simplest possible and yet, will fulfil the purposes intended and provide for economic and effective means of Political Science study material on Public Administration Page 41 accomplishing desired objectives. Simplicity helps in the minimization of the overhead costs and reduces the difficulties that may arise due to complicated organization structure. (8) The Principle of Continuity: It means that the organization structure should be such as to provide not only for the activities immediately necessary to secure the objectives of the enterprise but also for the continuation of such activities the foreseeable future. (9) The Principle of Ultimate Authority: The responsibility of a higher authority for the act of its subordinates is absolute. Hence delegation of authority does not entail resignation of responsibility. (10) The Principle of Parity of Authority and Responsibility: The responsibility for the execution of work must be accompanied by the authority to control and direct the means of doing the work. (11) The Principle of Assignment of Duties: The duties of every person in an organization should be confined as far as possible to the performance of a single leading function. (12) The Principle of Definition: The duties, authority, responsibility and relations of everyone in the organizational structure should be clearly and completely prescribed in writing. (13) The Principle of Homogeneity: An organization, to be efficient and to operate without friction, should be so designed that only duties and activities that are similar or are directly related are combined for execution by a particular individual or particular group. (14) The Principle of Authority-Level: In every organization there should be some level in which authority for decision must reside. And only decisions that cannot be made at a given level must be referred to upward levels. (15) The Principle of Organization Effectiveness: The final test of an industrial organization is smooth and frictionless operation. Organization should determine the selection of personnel; rather than personnel determine the nature of organization. A member does not, by delegation, divest himself of responsibility. Two members should not delegate responsibility to the same member. Political Science study material on Public Administration Page 44 this and since then bureaucracy, public administration and hierarchy are well-knit concepts. In the structure of hierarchy there is a chief executive who gives orders and it is channelled through the system of hierarchy. For this reason, L.D. White calls it a Channel of Command. The order of the chief executive passes through several stages and it finally reaches its destination. It is said that it is impossible for the chief executive to send his order personally to all concerned. Needless to say, that here lies the crucial role of the hierarchy. Another function of hierarchy is called channel of delegation. The decision of one person or a decision taken at a particular stage is delegated or sent to another stage and in this way the public administration performs its duty. It is not feasible for the chief executive to take all decisions regarding the management of organisation. He simply formulates the general guidelines and, at subsequent stages, authorised persons or departments to take decision or make changes in the original policy. In the British parliamentary and other parliamentary systems there is a very well-known concept which is called “delegated legislation”. Its meaning is-the parliament adopts the general principle of a policy and the general administration has been empowered to make minor changes. The system of hierarchy falls in this category. The third important function of hierarchy is that the modern public administration is to perform numerous and different types of function and it is not possible for any particular department to do all the duties. There are different departments and various aspects of a decision are performed by them. In this way, public administration is run today. No one department is absolutely responsible for any decision or performance. Sometimes the reconsideration or reformulation of the original policy or decision may be required and hierarchical system does this job. L.D. White has pointed this out. Still there is another function. It is said that hierarchy ensures channel of internal control. This may be called checks and balances. This system is prevalent in American constitutional structure. In the structure of hierarchy no one particular section or department is fully empowered to take all decisions. The final form of a decision passes through a number of sections and after this it assumes final shape. L.D. White has mentioned an important function of hierarchy. He says: The linkage of civilian officers in a chain of command and responsibility of the main two-way highway along which public business travels is an endless stream. The duty or responsibility of each section or person is specified and naturally there does not arise any ambiguity. Each person or department Political Science study material on Public Administration Page 45 performs specific duty and in this way the management of the organisation is run. The specification of duty is an essential aspect of this system and this feature helps running the public administration. The hierarchy introduces in an indirect way a type of division of labour. The public administration has numerous aspects and all these cannot be fruitfully performed by any single person. Naturally, the division of labour or duty is an essential part of every organisation. Limitations and Criticisms: Peter Self does not hold favourable opinion about hierarchy. In governmental system the application of this policy or idea is not a realistic one. Let us see what he says: “A hierarchical image of government is not very realistic… This is because the procedural rules or conventions which legitimise the ultimate exercise of authority are rarely clear enough.” Hierarchy is a very well-known feature of modern administrative system. But there are several shortcomings-and one such shortcoming is conflicts frequently arise among various ranks and office-holders. Many employees of different ranks may refuse to cooperate with the higher officer. It is very often found that the order of the higher officer does not conform to reality and, in that case, employees of the lower rank may raise objection. A very important aspect of hierarchy is cooperation. There must be cooperation among all the sections or departments of organisation. But in reality, it is found that this does not exist. This damage the function of hierarchy as well as organisation. If in any organisation there are recalcitrant employees whose leitmotif is not to cooperate with the management or to find fault with others in that situation the normal functioning of the organisation is likely to be adversely affected. Again, the management cannot be in a position to get rid of such employees because in many states trade unionism is very powerful. The feature or special aspect of hierarchy is that all the departments or sections must cooperate with each other and must try to make the organisation a grand success. For successful functioning of hierarchy there must exist cordial relation among all sections — especially between the chief executive and his subordinates. In many cases the relation is a sour one and the inevitable consequence is that fruitful functioning of the organisation is affected. Since hierarchy is not controlled or managed by definite laws or principles conflicts become the normal feature of the organisation. Political Science study material on Public Administration Page 46 Another drawback of this system is authority, labour and remuneration are not always properly distributed; grievances among many are bound to crop up. This usually happens in large organisations. Some persons get higher remuneration doing less work and many others get more salary doing less job. This very often acts as potential source of conflict. Since there are no fixed principles of hierarchy, the system is not uniform everywhere. The system works differently in different organisations. This evidently creates problem for hierarchy in public administration. It may be an idea or principle but public administration as a distinct discipline of social science; it must have a clear principle. It may be stated here that in order to be a clear and effective principle the hierarchy must have definite ideas, processes and rule and these must have as far as possible—universality (universality not in the strict sense). Another criticism against it is that it creates a wall between the superior and his subordinates. But the fact is that in an administration everyone is essential. One employee may not always be more important than others. But in the hierarchical structure the black spot is superior and subordinate and this is likely to sour the relationship. This is undesirable—we must remember this. These shortcomings can, however, be overcome if cautious steps are adopted. Span of Control The larger an organisation, the more management layers it has. As a result, a hierarchy is born. Multiple people in a department deal with a single superior. Some departments might only have ten people, while others consist of over a hundred employees. In both cases, span of control is present to properly manage all layers of the organisation. The Span of Control is the number of employees a manager can supervise as effectively as possible. The addition of new hierarchical layers makes the organisational structure steeper. A large Span of Control leads to a flatter organisational structure, which results in lower costs. A small span of control creates a steeper organisational structure, which requires more managers and which will consequently be more expensive for the organisation. It is therefore useful for an organisation if its managers have a large span of control. Two dimensions The Span of Control always involves two dimensions: Horizontal dimension This is the number of direct subordinates a manager actually supervises. This is also referred to as Span of Control. Political Science study material on Public Administration Page 49 It implies that in management there shall be transparency and when the chief executive issues command or order this shall be treated as final. Henri Fayol thought that for the better and efficient management it is essential that unity of command should be strictly followed. Fayol has said that there are three things in the idea of unity of command —the person who issues command or order, the employee who carries out the command that is executes the order and, finally, if the organisation is being managed in accordance with the order. Fayol observed that in the French military department the principle of unity of command was strictly followed and according to Fayol that produced good results. Still today in many states (in some departments this principle is strictly followed) the existence of this principle comes to our notice. Henri Fayol was quite eager to implement this principle in the management world of France and from the history of public administration we come to know that it achieved success. In the opinion of Fayol, the crucial aspects of unity of command are- there must exist an authority who has the power or right to issue order, the power to extract obedience, and there is an atmosphere of implementation. A number of objections have been raised against this principle and one such has been made by some specialists such as Dimock and Dimock. They are of opinion that if the organisation is small in size the principle will have some practical importance that is it may or will be executed. Even in military department the unity of command has been fruitfully implemented. But in general, public administration or civil administration the principle cannot be implemented. Particularly if the organisation happens to be large, there is not one person to give orders. A worker may have to serve more than one master and, in that case, he will carry out the orders of whom. This relates to the structure of one management. In that situation an employee cannot say that he will carry out the order of a particular boss and no other bosses. In many organisations there is a group of managers and all of them are authorised to issue command. The unity of command principle will create confusion in such an organisation. Some people say that in Fayol’s time there was no existence of large organisation. There is another drawback of this principle. For better or efficient management the principle of coordination should be strictly-followed. But some critics say that in their principle the coordination has no importance. In modern organisation the division of labour or division of work is sincerely followed. But many critics are of opinion that there is conflict between unity of command and division of labour or division of work. The size of the organisation is Political Science study material on Public Administration Page 50 expanding day after day and in this background the utility of this principle is decreasing gradually. There must exist strict and effective coordination among all the departments of an organisation. Simon in his Administrative Behaviour has vehemently criticised this principle. He does not contribute to the idea that if the principle of unity of command is sincerely followed that will result in the efficiency and better management of the organisation. The whole idea is exaggerated. Simon has said that the efficiency of a management depends on a number of factors and the unity of command is one of them. But this is not an important one. Simon has further said that the unity of command is against the well-known principle of specialisation. Let us quote him: “The real fault that must be found with this principle is that it is incompatible with the principle of specialisation”. It is said that for the better management of any modern organisation both specialisation and unity of command are indispensable and in that case both cannot co-exist. He has further observed that the unity of command is an over simplified principle. Modern organisation is too complex to apply it. Simon has said that when the specialisation and unity of command are in conflict situation the management will be complex. Peter Self has criticised it from another standpoint. He says that the principle in its full form is “unworkable”. Let us see what he says: “The modified unity of command model is more often accepted in theory, but the coordinative and arbitrative power of the line supervisors is often much less than the theory suggests. Unity of command often suggest no more than the existence of procedures for settling disputes”. In conclusion we are of opinion that because of these shortcomings there is no reason to reject the principle. To speak the truth no principle of public administration is free from defects and the unity of command is no exception. Instead of saying unity of command it is better to say unity of direction. Political Science study material on Public Administration Page 51 UNIT II LINE AND STAFF Synopsis ❖ Introduction ❖ Meaning and Definitions ❖ Line and Staff Agency ❖ Line Staff conflicts ❖ Conclusion Introduction According to the literature available, the administrative organization of government institutions generally consists of three types of agencies, namely, line, staff and auxiliary. The distinction that exists between those three organization units lies in the nature of work performed by them. All this constitutes the subject matter of this article. II. Purpose of Article The purpose is to define and illustrate the differences between line, staff and auxiliary and their interdependence. III. Line and Staff Meanings The administrative organization of government consists of three types of agencies, namely, line, staff and auxiliary. The distinction between these three organizational units lies in the nature of work done by them. The line agencies directly work for the achievements of the organizational purpose, the staff agencies advice and assist the line agencies in their activities, and the auxiliary agencies provide common house – keeping services to the line agencies. According to L. D. White, the business of government is transacted by means of an elaborate organization held together in a universal superior – subordinate relationship, and based on the principle of specialization. The central hierarchy comprises the line; assisting the line are various units, some concerned with advisory and preparatory operations, known as staff, some concerned with house – keeping operations described as the auxiliary agencies. The line comprises the central element of any administrative system; staff and auxiliary agencies are necessary in a large and complex organization, but they are secondary. They serve the line. The Political Science study material on Public Administration Page 54 vi. Exercising delegated authority from line. vii. Planning L. D. White has mentioned the following functions of staff agencies 1. to ensure that the chief executive is adequately and currently informed 2. to assists him in foreseeing problems and planning future programmes 3. to ensure that matters for his decision reach his desk promptly and to protect him against any hasty or ill – considered judgments 4. to exclude every matter that can be settled elsewhere in the system 5. to protect his time 6. to secure means of ensuring compliance by subordinates with established policy and executive direction According to Mooney, the staff is an expansion of the personality of the executive. It means more eyes, more ears, and more hands to aid him in forming and carrying out his plans. Pfiffner and Presthus have describer that staff as the alter ego of the chief executive. According to Pfiffner, staff agencies are of three kinds, namely i. The general staff, which assist the chief executive in his administrative work, generally by advice, collection of information, research, and so on. The fundamental purpose of general staff is to act as a filter and funnel to the chief executive ii. The technical staff, which advises the chief executive in technical matters and exercises functional supervision. It is also known as special staff or function staff iii. iii. The auxiliary staff, which provide common housekeeping services to the line agencies. However, L. D. White and Willoughby do not include the auxiliary agencies under the category of staff agencies (auxiliary staff) and consider them as a separate and distinctive unit. White calls them as auxiliary services, while Willoughby refers to them as institutional or housekeeping services, John Gaus calls them auxiliary – technical staff services. Auxiliary agencies The important auxiliary agencies of the government of India are: • Central public works department • Law ministry/finance ministry\information and broadcasting ministry • Union public service commission Political Science study material on Public Administration Page 55 • Parliamentary affairs department • Director – general of supply and disposal Like staff agencies, the auxiliary agencies also assist the line agencies in the accomplishment of organizations purpose and do not come in contact with the people. But they differ from the staff agencies in the following respects. i. The staff agencies advise the line agencies, while the auxiliary agencies provide common housekeeping services to the line agencies. ii. The staff agencies have no operating responsibilities, while the auxiliary agencies do have operating responsibilities. iii. The staff agencies do not exercise authority and do not make decisions, while the auxiliary agencies exercise limited authority and make decision in their own sphere. iv. The staff agencies have multiple functions and wider jurisdiction than auxiliary agencies which are concerned with maintaining the line agencies Line staff conflicts Though line and staff units are indispensable in all government organizations and are meant to complement each other, the relationship between them is not always cordial and happy. The relations in practice between line and staff units are characterized by conflicts, clashes, tensions, suspicions and so on. The reasons for such a conflicting situation are as follows; i. The staff agency, being close to the chief executive, tend to usurp the authority of the agency ii. The differences between line and staff officials in terms of age, status, outlook, experience, technical competence, and so on. iii. The staff people usually adopt ivory-tower approach, that is, they suggest unrealistic plans and ideas to the line people who are more practical in their approach. Consequently, they do not care much to such suggestions, leading to misunderstanding and tension between the two. iv. The tendency of the line officials to disown responsibility and blame the staff officials for mistakes. \ v. The staff officials tend to discover the deficiencies in the work and procedures of line authorities. Measures to reduce the conflict, rivalry and rancour in line – staff relationship are: - i. The chief executive should clearly specify the nature of responsibilities of line and staff people. This enables him to hold them responsible for their mistakes ii. Political Science study material on Public Administration Page 56 ii. The opportunities to exchange roles should be created, that is, there should be periodic transfer between the line and staff iii. The chief executive should encourage both to get better acquainted with each other as well as with their mutual roles. He should highlight the desirability of close relationship between line and staff officials for accomplishing organizational purpose and objectives iv. The line people should be given training in staff work and vice – versa. This enables them to know the proper aspects and dimension of their duties and responsibilities. Moreover, matrix organization can be adopted to overcome the problem of line – staff controversy. Conclusion From the study, it is concluded that the administrative organization of government consisting of three types of agencies, namely, line, staff, these three organizational units lies in the nature of work performed by them, that is, • line agencies directly work for the achievement of the organizational purpose; • staff agencies advise and assist the line agencies, and • the auxiliary agencies provide common house – keeping services to the line agencies. Political Science study material on Public Administration Page 59 (ii) Chief Executive, the Master of Civil Service: It means that all members of civil service are under the direct control of the Executive. It has the right of selection, promotion and removal of them. While with regard to the lower employees, the discretion of the Executive is limited by the authority of the Public Ser. ice Commission, with regard to the head of departments, the executive enjoys fall discretion in matters of their appointment and removal. (iii) Control over Institutional Activities: The Executive exercises fall control over institutional activities of the administrative services, i.e., it prescribes and controls the methods in which the several operating services perform their duties. The legislature does not interfere in these matters. (iv) Control over Administrative Reports: All administrative reports are submitted to the legislature through the executive. The heads of departments do not appear before the legislature. Administrative Functions of the Chief Executive: The chief executive has to perform a number of functions. Luther Gulik coined the word “posdcorb” for the administrative functions of the chief executive. The ‘posdcorb’ stands for Planning, Organising, Staffing, Directing, Co-Ordinating, Reporting and Budgeting. Marshall Dimock summarises these functions in one sentence. “He is a trouble shooter, a supervisor and a promoter of the future programme”. L.D. White has put these functions under the following main categories: (i) Deciding Administrative Policy: The legislature lays down the policy to be followed by the government in general terms. For the implementation of the general policy the executive has to decide a large number of questions pertaining to administrative policy. The administrative policy has been defined by E.M. Gladden as “the form in which the ministerial administrator or board carries the will of the government into effect.” As general administrator, the chief executive has to issue a number of instructions and orders, written or oral, to enable the administrative officers to perform their duties in a proper manner. Apart from these, the departmental heads and division chiefs also issue a number of orders, instructions, circulars, formal letters and proclamations. Political Science study material on Public Administration Page 60 The chief executive is sometimes consulted by the departmental heads and other principal officers on many State matters particularly those which are important and controversial, e.g., Hindi agitation, Akali movement, etc. in case of India. The ability and personality of the chief executive has a close bearing on administrative efficiency. (ii) To Authorize Details of Organization: Legislature usually provides for the establishment of main units of organization, like departments, commissions, corporations. Details are left to be filled in by the executive at his discretion. The chief executive leaves the shaping of divisions, branches and sections in the hands of their chiefs subject to his approval. The number and duties of the various sub-units, the setting up of various ad hoc committees to meet particular situations are determined by the executive, e.g., In India the Reorganization of States Commission was appointed by the Union Cabinet in 1954 without any reference to the legislature. The Boundary Commission under the chairmanship of Justice Shah of the Supreme Court to reorganize Punjab in 1966 was also appointed without reference to Parliament. Many such instances can be quoted from USA. Similarly, the executive prescribes the manner in which the several operating services shall perform certain or all of their duties. As told elsewhere, the working activities of an administra- tive service may be institutional or functional. The institutional activities are those which the service has to perform in order that it may exist and operate as an institution. Functional activi- ties are those which it must perform in order to accomplish the purpose for which it has been established. The institutional activities embrace such work as maintenance, care and operation of plant, the recruitment and management of personnel, the purchase, custody and distribution of supplies, the keeping of accounts, the maintenance of files, etc. The two types of activities differ not only with regard to their end for which they are performed but also in character. Institutional activities differ from service to service. It is highly important, therefore, that insti- tutional activities should be performed in a uniform manner. In order that uniformity may be secured and most efficient methods employed, it is necessary that the power to prescribe and subsequently to enforce the manner in which these duties shall be performed shall be vested in some agency exercising general jurisdiction over all services. That agency may be the chief executive. Political Science study material on Public Administration Page 61 (iii) To Coordinate the Organisation: Modern administration is a mosaic of departments, commissions, divisions, sections each performing only a specialized part of the function. In order to create unity in this huge mass of diversified activities, a very high degree of coordination and integration is needed. This has to be done at lower as well as higher levels. To achieve the purpose of administration, i.e., the general good of the people, integration is desirable from every point of view. In spite of the presence of coordinating machinery, mutual feuds due to personnel rivalries are likely to arise. All these are settled by the executive. Coordination is rightly considered as the heart of administration. Hence Chief Executive’s role in this field is of pivotal importance. It is suggested that the chief executive should adopt a strong line of action in the matter so that the conflicts may be reduced in number and his decisions may be readily acceptable to the parties concerned. (iv) To Appoint and Remove the Personnel: The chief executive is responsible as general manager for the manager in which the heads of the several departments perform their duties. Since the responsibility ultimately is that of the chief executive, it is logical that he should have the power to select and remove the officers. In modern times thousands of people are required to fill in the various administrative posts. A substantial majority of these is appointed on the basis of merit Most of the personnel are selected by the Civil Service Commissions. The Commissions are merely recommendatory and not appointing authorities. The executive which is the appointing authority may refuse to accept the recommendation. Appointments of a high category such as of ambassadors are made by the chief executive. In the United States the President makes high appointments subject to the approval of the Senate. After appointment all the questions of training, pay, increment, and promotion are determined by the executive. The chief executive also has the power of dismissal or demotion of public servants, if he finds it necessary in the interests of administrative efficiency. In general, with regard to the removal of high officers whose appointments he has made, he has full discretion; but, in the removal of personnel of the lower cadre, he is guided by the Civil Service rules. There are certain constitutional and statutory guarantees which the executive cannot override, e.g. Article 311 of our Constitution provides that no member of the civil service will be removed or dismissed by any authority subordinate to that by which he was appointed, and that no such person shall be Political Science study material on Public Administration Page 64 Willoughby finds the following benefits in erecting the office of Chief Executive into that of General Manager: (i) The administrative branch, both its organization and its practical operations should become a single piece of administrative mechanism, in which its several parts shall work in unison and not pull in contrary directions. (ii) It shall make the formulation of general programme and its subsequent implementation possible with the benefits of coordination and cooperation. (iii) It will fix responsibility and see that it is enforced. If these views of Willoughby are to be implemented the authority of the chief executive becomes onerous as his powers are enormous. Hence, he will be requiring assistance of staff and auxiliary agencies which act as ‘filter and funnel’. Only very prominent matters and that too duly perused and sifted at lower levels come to his table for final orders. He may delegate power for his convenience but delegation does not amount to abdication. The Chief Executive is always the chief executive. He heads the administration. Hence, he is responsible for its proper functioning. His assignment as a chief executive necessitates maximizing his influence throughout his organisation. He is not supposed to rely exclusively upon his formal authority and the power of command. He should harness his talents is being the catalyst, perfect in assimilation, and assemblage of the varied ideas and export in getting agreements nailed down. He symbolizes organisation par excellence in his country. Much depends upon the personality and caliber of the chief executive as to succeed he has to get assistance from a band of well-chosen colleagues for running the administration efficiently and smoothly. In USA where Presidential system of government exists the President chooses his adviser and colleagues in the cabinet not only from his own party but also the opposition party if they are men of calibre and possess the requisite abilities for holding a particular assignment. President elect in November 2008. Barrack Obama appointed his main rival – Hilary Clinton, as secretary of state a pivotal post. Likewise, a few young Indian Americans find berth in his cabinet. The Parliamentary and Presidential Types of Chief Executive: The parliamentary executive is the one where the executive is responsible to the legislature whereas in a presidential executive the executive is independent of the parliamentary control. Political Science study material on Public Administration Page 65 The U.K. and India provide the examples of parliamentary executive whereas in the U.S.A., there is presidential executive. In a parliamentary executive the chief executive is the Prime Minister who is the creator, preserver and destroyer of the cabinet. The President or the King is only the nominal executive. Thus it may be said that the real chief executive in the parliamentary countries is a plural body, viz the Council of Ministers which consists of a Prime Minister and a number of other ministers, while in the countries, opting for Presidential saltern the chief executive is a single individual heading both, the State and Government. A body of advisors known as his cabinet assists him. This difference between the parliamentary and presidential chief executive has got an administrative significance. The cabinet headed by Prime Minister in Parliamentary government with its plural composition is less troubled with the problems of the ‘span of control’ than an individual head like the U.S. President. Under the parliamentary form the task of supervision and control gets distributed among the ministers and comparatively few problems need go to the Prime Minister. Secondly, in a parliamentary executive there are less chances of the rise of dictatorship of a single individual than in a presidential one. The second main difference between the two types is related to the legislative-executive relationship. Under the parliamentary type there is close collaboration between the legislature and the executive. The members of the executive are the members of the legislature. They sit in the legislature, lead it, initiate and pilot bills and the budget, and assume responsibility for the entire administration. They can be put questions and censured for negligence or carelessness. In a presidential executive like that of the U.S.A. the theory of separation of powers and a system of checks and balances prevails. The secretaries in the USA who constitute the Presi- dential cabinet are not the members of the Congress. They are not responsible to it. They are the boy-errands of the President. They are his creation. He is their boss and not the leader unlike that of Prime Minister in parliamentary democracy. He can fire them whenever he likes. Hence, they are categorized as Kitchen Cabinet or his family. They are accountable to him and not the Congress. The consequence is that legislative-executive relations are precarious at times. The third difference between the two types is that parliamentary executive is responsible to the legislature for all its policies and acts while there is no such responsibility to the legislature in the presidential executive. Political Science study material on Public Administration Page 66 The result is a certain amount of distrust of executive on the part of the legislature and an unwillingness to grant it additional functions and powers. As such, a parliamentary executive is more adequately equipped with the means of meeting its responsibilities than the presidential type of executive. Comparing both the types of executives, the parliamentary type is better suited for administrative efficiency because it establishes a responsible and effective chief executive. For efficiency of administration the chief executive must supply administrative direction, driving power and coordination between executive-legislative operational relationships. Even in the U.S.A., thoughtful critics have advocated the modification of the presidential system along parliamentary lines to assure its smooth functioning. It has been observed that in case the House of Representative and the Senate are having the majority of the opposition party, the American President invariably faces insuperable Bottlenecks and the administration comes to a standstill. The Swiss Executive embodies features of both of these types. The seven councillors constituting the executive are elected for a fixed period. They are accountable to the legislature but cannot be ousted by it. They do not have right to vote though can sit in the legislature and participate in discussions. They cannot dissolve the legislature as is the case in parliamentary executive. Such a type of executive possesses the advantages of both the systems though avoiding their defects. However, such a type of government can exist in a small country like Switzerland. Political Science study material on Public Administration Page 69 administrative power is the power to lay down the law for them, or apply the law to them in some particular situation. It is also a common principle of legislation that legislative acts should be public. One test of distinction may be that where the former is a process of performing particular acts or of making decisions involving the application of general rules to particular cases, the latter is the process of formulating a general rule of conduct without reference to particular cases and usually for future operation. Rule - making action of the administration partakes with some exceptions, all the characteristics of a normal legislative action process. These may be generality, non-retroactivity and a behaviour which bases action on policy consideration and gives a right or a disability. In some cases, however, administrative rule making action may be particularized, retroactive and based on evidence. On the other hand, a quasi-judicial action is particularly based on the facts of the case and declares a pre-existing right. 4.2 The Need for Delegated Legislation Despite the ever-increasing volume of primary legislation, the complexities of governing a sophisticated society (and even a developing society) demands the delegation of some legislative functions to inferior bodies such as ministers and administrative agencies. Clearly parliament does not have time or resources to enact every single piece of legislation that is needed in the form of primary legislation, which can be fully debated and scrutinized in accordance with legislative procedures. The result is delegated legislation- legislation produced by an ‘inferior body’ which nevertheless has the force of law. Tackling the complexities of modern administration in an efficient and efficient manner demands an atmosphere of complexity. Parliament has to follow strict legislative procedures to make a single law. Hence, it will be far from being flexible without delegating some of its powers to the executive. Can you try to identify impacts of retaining all legislative power by the lawmaker (parliament)? The complexities of modern administration are so baffling and intricate and bristle with details, urgencies and difficulties. Therefore, to tackle these problems, an atmosphere of flexibility is needed. A parliament which sits for a limited period of time and which is required to observe strict legislative procedures will be far from being flexible without delegating some of its powers to the executive. Political Science study material on Public Administration Page 70 Taking into account the above general justification, the following factors may be mentioned as reasons for the need for delegated legislation. A) Limitation on Parliamentary Time Art 58(2) of the F.D.R.E. constitution reads: “The annual session of the house shall begin on Monday of the final week of the Ethiopian month of Meskerem and end on the 30th day of the Ethiopian month of sene. The House may adjourn for one month of recess during its annual session” As stated in Art. 58(2) of the constitution, assuming that there is one-month recess, for how many maximum days will the House of Representatives sit in parliament? Then subtract 39-week days and multiply it by 8 working hours. Taking into consideration the average time necessary to make law, do you think the house of people’s representatives has sufficient time to provide all the laws in quantity and quality? It is said that even if today parliament sits all the 365 days in a year and all the 24 hours, it may not give the quantity and quality of law, that which is required for the proper functioning of a modern government. Therefore, it is clear and self-evident that the main reason for delegation of legislative power is to relieve the pressure on parliamentary time. B) Technicality Subject of Matter Read carefully the following provisions: I.) “For the purpose of fostering monetary stability and credit and exchange conditions conducive to the balanced growth of the economy of Ethiopia, the Bank may issue directives governing its own credit transactions with banks and other financial institutions, and credit transactions of banks, and other financial institutions.”(Art 28(1) of Monetary and Banking Proclamation No.83/1994) II) “The council of ministers may by regulations exempt any income recognized as such by this proclamation for economic, administrative or social reasons” (Art 13(e) of Income Tax Proclamation No.286/2002) 1. Regulations and directives may be issued for the complementary of this proclamation. 2. The regulations shall, in particular, provide for the payment of fees in connection with applications for the grant of patents and utility model certificates and for the registration of industrial designs and matters related thereto.” (Art 53 sub 1 and 2 of Inventions and Industrial Designs Proclamation No 123/1995) Which of the above provisions do you think are technical matters which do not involve policy issue and need some expertise knowledge? Political Science study material on Public Administration Page 71 Legislation has become highly technical because of the complexities of a modern government. Members of the parliament are not experts, and so they cannot comprehend the technicality of the subject matter of some economic and social issues. Technical matters, as distinct from policy issues, are not susceptible to discussion in parliament and therefore cannot be readily be included in legislation. Therefore, technicality of the subject matter stands as another justification for delegation. It is convenient for the legislature to confine itself to policy matters only and leave the technical law-making sequence to the administrative agencies. C) Flexibility Ordinarily legislative process suffers from lack of viability and experimentation. A law passed by parliament has to be in force till the next session of parliament when it can be replaced therefore, in situations which require adjustments frequently and experimentation, administrative rule making is the only answer. The need for frequent adjustment or flexibility can be observed from the following provision. “The Bank may, from time to time, prescribe by regulations the terms and conditions upon which persons departing from Ethiopia may carry with them foreign exchange or make remittance for services.” (Art 55 of Monetary and Banking Proclamation No.83/1994). In the above provision, the terms and conditions for carrying foreign exchange by persons departing from Ethiopia could be changed from time to time. Hence this flexibility could be attained through delegation of power to make these rules. D) Emergency During emergency, it may not be possible for the parliament to pass necessary legislation to cope up with the situations. Under such conditions, speedy and appropriate action is required to be taken. The parliament cannot act quickly because of the time that requires passing an act. Moreover, immediate knowledge and experience is only available with the administration. For this reason, wide legislative power must be conferred up on the executive to enable the government to take actions quickly. The above grounds clearly justify the need for administrative rule making. On the other hand, this rule-making may have some negative effects. Can you give one undesirable impact of the administrative rule making? 4.3. Theoretical Objections against Delegated Legislation The fact that delegation is indispensable and inevitable due to practically convincing needs, it has not been a bar to theoretical challenges and criticisms against it. The main constitutional objection raised against delegation of rulemaking power to administrative agencies has been Political Science study material on Public Administration Page 74 (iv) A special committee or commission like Independent Regulatory Commissions; (v) Specialized courts of law; (vi) Single member tribunal; (vii) Composite tribunal. Dr. Robson has thus remarked, “One of the most striking developments in the British Constitution during the past half century has been the acquisition of judicial power by the great departments of the state and by various other bodies and persons outside the courts of law.” The main point of difference between administrative adjudication and administration of justice by the courts is that administrative justice is administered by administrative agencies instead of regular courts. The administrative courts follow the principles of natural justice and common good whereas the courts of law follow the settled principles of law and evidence. The administrative courts are manned by officers belonging to the executive branch whereas the judges are the members of the judiciary independent of executive control. 2. Kinds of Administrative Adjudication: Administrative adjudication may take the following forms: (i) Advisory administrative adjudication which means that the power of final decision is vested in the head of the department or other authority. (ii) Administrative Adjudication may constitute a part of the regular functions of an administrative officer. (iii) Administrative Adjudication may be combined with a legislative administrative process. (iv) Regular suits may be filed against administrative decision. (v) Administrative Adjudication sometimes applies to licensing activities. (vi) Administrative Adjudication may be adopted for the settlement of claims. (vii) Administrative Adjudication may sometimes serve as a condition precedent to the performance of an administrative act. 3. Causes of the Growth of Administrative Adjudication: The following causes have led to the growth of administrative adjudication: 1. A By-Product of the Welfare State: The Administrative Tribunals rendering Administrative justice constitute a by-product of the welfare state. In the 18th and 19th century when ‘laissez’ faire theory held sway, law courts emerged out as the custodian of the rights and liberties of the individual citizens. At times they protected the rights of the citizens at the cost of State authority. With the emergence of welfare state, social interest began to be given precedence over the individual rights. The existing Political Science study material on Public Administration Page 75 judiciary failed to uphold the new system. In the words of Robson, “with the extension during the nineteenth and twentieth centuries of the functions of the government to one new field after another, with the progressive limitation of the rights of the individuals in the interests of the health, safety and general welfare of the community as a whole, with the development of collective control over the conditions of employment and manner of living and the elementary necessities of the people, there has arisen a need for a technique of adjudication better fitted to respond to the social requirements of the time than the elaborate and costly system of decision provided by litigation in the courts of law.” In brief the new system of administrative adjudication suited new social ends espoused by a welfare state. It proved a potential instrument for enforcing social policy and legislation. 2. Suitable to Industrialized and Urbanized Society: Administrative Adjudication suits modern industrialized and urbanized society as well. The latter necessitates positive and prompt action which is possible if the problems arising out of the new order are not left to the mercy of ordinary courts. In the words of Robson, “Parliament did not overlook the courts of law but they found the possibility of setting up new organs of adjudication which would do the work more rapidly, more cheaply and more efficiently than the ordinary courts, which would possess greater technical knowledge and fewer prejudices against government, which would give greater weight to the social interests involved and show less solicitude for private property rights which would decide with a conscious effort at furthering the social policy embodied in the legislation. This prospect offered solid advantages which induced the legislature to extend in one sphere after another the administrative jurisdiction of governmental departments so as to include judicial functions affecting the social services.” 3. Ordinary Law Courts Not Competent: (i) Law courts, on account of their elaborate procedures, legalistic forms and attitudes can hardly render justice to the parties concerned in technical cases. Ordinary judges brought up in the traditions of law and jurisprudence are not capable enough to understand technical problems which crop up in the wake of modern complex economic and social processes. Only administrators having expert knowledge can tackle such problems judiciously. In the words of White, “Another important consideration was the desire to secure adjudication by a body of experts in the subject-matter of litigation rather than by a body of experts in the law.” Lord Political Science study material on Public Administration Page 76 Summer also held a similar opinion. According to him, the common law judges are “ill- equipped to weigh the merits of one solution of a practical question against another.” (ii) The expedient adopted by the courts is to examine the experts of the subject. The expert witnesses are only too often hired assassins of the truth; and even if they were just men made perfect the assimilation of technical facts at short notice, through the testimony of another individual, is a different thing from a first-hand knowledge of the groundwork based on personal experience or training. In the recent past in a decision given by Madras High Court, it frankly admitted that it knew nothing of the subject. That clearly reflects the handicaps of regular judiciary. (iii) The court procedures when tested by times are found wanting. Litigants have to face exasperating delay because of crowded dockets of these courts and an excessive right of appeal to the higher courts. (iv) The justice in these ordinary courts has neither been speedy nor cheap. It has been dilatory or cumbersome. Hence an improvement was contemplated in administrative courts. (v) Ordinary courts were under too much strain. Hence, they were to be relieved of the strain. Dr. White has graphically summed up defects of the ordinary courts which caused aversion to them and a swing towards administrative courts, in these words “For a half century, there had been growing dissatisfaction with the court procedure. Litigants were faced with exasperating delay… they found the technical rules of evidence sometimes inappropriate and conducive to dispute among lawyers rather than to a just and early settlement; they were dubious about the value of jury in many kinds of cases; and the cost of judicial action including Attorney’s fees sometimes reduced victory to a hollow success.” 4. Safety to be Ensured: A good number of situations are such as require quick and firm action otherwise health and safety of the people may remain in jeopardy. For instance, ensuring of safety measures in coal mines, preventing of illegal transactions in foreign exchange, and unfair business practices necessitate prompt action. Such cases, if to be dealt with in the ordinary courts of law, would cause immense loss to the state exchequer and undermine national prestige. However, the administrative courts presided over by the experts would ensure prompt and fair action. Political Science study material on Public Administration Page 79 Moreover, such tribunals are not bound by precedents. They are free to go against the existing precedents. This makes administrative law flexible and enables administrative tribunals to further a policy of social amelioration unhampered by legal rigidities. Robson has well summed up the advantages of Administrative Adjudication in these words, “cheapness, and speed with which they usually work; the technical knowledge and experience which they make available for the discharge of judicial functions in special fields; the assistance which they lend to the efficient conduct of public administration; and the ability they possess to lay down new standards and to promote a policy of social improvement.” Frederick and Miriam are also of the same view, “Administrative courts not only relieve the ordinary courts of a great bulk of work, but also serve purposes foreign to the latter…The informal and inexpensive procedure before most administrative courts and the possibility of specialization either in separate courts or in chambers are generally considered very desirable… The weight of expert opinion considers the continental system more satisfactory than the separate administrative courts practically always subject in certain respects to the judicial courts which are found in England and the United States. There IS no doubt that the administrative courts of some kind are a necessary and increasingly important part of modern governmental machinery.” 5. Disadvantages of Administrative Adjudication: Though these advantages of Administrative Courts are quite impressive, yet they have been targeting of criticism at the hands of certain critics like Dicey, Lord Hewart, Allen and K M Munshi. Lord Hewart calls administrative adjudication as ‘organised lawlessness’. Dicey considers it derogatory to the rule of law. An Editorial Note in Times of India describes it a ‘Martial Law’. K.M. Munshi while realizing the indispensables of Administrative Courts opines, “… it would in my opinion undermine the democratic structure if administrative methods of adjudication are considered convenient alternatives to the court of law.” Following are the main defects of the administrative adjudication: (a) Violation of Rule of Law: It violates the rule of law-the cornerstone of democracy. Rule of Law stands for equality before law, supremacy of law and due procedure of law over governmental arbitrariness. The administrative tribunals, with their separate law and procedure often made by themselves, seriously circumvent the celebrated principles of Rule of Law. Political Science study material on Public Administration Page 80 (b) Principle of Natural Justice Undermined: Administrative Adjudication violates the principles of natural justice, viz., no man should be a judge in his own case; no party ought to be condemned unheard; party should know the reason for the decision. The Administrative courts do not often give the reasons for decision. The quality of investigation is also poor. Free from the trammels of judicial procedure, administrative courts depend on unsworn written statements, unsupported by verbal testimony given on oath and subjected to cross-examination. Neither the documents are sent for nor witnesses are compelled to attend. Thus, justice remains at stake. (c) Limited Right to Appeal: The right to appeal from the decisions of these courts is either very limited or is non-existent. The opportunity for judicial review is restricted. This is apt to lead to miscarriage of justice. (d) Lack of Publicity: The rules of procedure of administrative courts do not provide for the publicity of proceedings. Provision of oral hearing may not be there or if it is there it may not be open to the public and the press. Reports of the cases so decided may not be publicized. Even the statement of reasons on which they are based, may not be given. In the absence of proper publicity, it is not easy to predict the trend of future decisions. In the words of Robson, “without publicity, it is impossible to predict the trend of future decisions and an atmosphere of autocratic bureaucracy is introduced by the maintenance of secrecy which in the ordinary course of events is quite unnecessary…” (e) Tribunals do not Act Judicially: Tribunals are not maimed by judicial luminaries. As such, they do not have the impartial outlook. They become the limbs of the executive, and dance to its tune and cease to act judicially. (f) Prediction of Future Decisions not Possible: The Administrative courts hold summary trials and do not take into consideration precedents. Hence, it is rather impossible to predict the course of future decisions. It is contended by the critics that administrative law today is a medley of confusion practically in all those countries where rule of law prevails. It is neither written, nor definite, nor known. (g) Uniform Procedures Non-Existent: The Administrative courts do not observe uniform procedures. It leads to inconsistent and arbitrary decisions. Fixed standards of conduct are conspicuous by their absence. Hence justice is negated. Political Science study material on Public Administration Page 81 Lord Hewart correctly remarked, “Justice should not only be done but should undoubtedly and manifestly be seen to be done.” In the U.S.A., however, the Administrative Procedure Act 1946 has clearly laid down minimum procedural requirements. According to Schwartz, “The Administrative Procedure Act represents the first legislative attempt in the common law world to state the essential principles of fair administrative procedure. The Congress, in enacting the law of 1946, mirrored the mood of discontent with the administrative process which existed in the United States among many of those subject to administrative authority…” Though these defects seem to be quite alarming yet they are not inherent defects. There is a necessity of providing proper safeguards to eliminate these defects. In reality, there is a need for striking a proper balance between cheapness and promptness of justice and the liberty of individuals. 6. Safeguards in Administrative Adjudication: Three types of safeguards if provided, Administrative Adjudication may prove an asset to a democracy. They are – organisational, procedural and judicial. A. Organisational Safeguards: (a) The Adjudicator of disputes should be a person different from the one who is involved in a dispute against the individual or group of individuals. He may be drawn from the same service responsible for administration of the functions of the agency. (b) An adjudication board or tribunal rather than a single officer should be empowered to adjudicate. This is in consonance with a well-established rule of fair justice. (c) The appointment of the members and particularly of the chairman should not vest solely with the minister concerned. The Franks Committee in U.K. had recommended that to insulate the Tribunal from departmental influence, the chairman of all such Tribunals should be appointed by the Lord Chancellor. It further suggested that the members of such Tribunals should be appointed by Council on Tribunals. Such a suggestion may be of use for India as well. A Council or Tribunal in India may comprise judges both existing and retired, lawyers, academicians and reputed persons in other walks of life. Such a council should be consulted in matters concerning composition and procedures of administrative tribunals. B. Procedural Safeguards: Political Science study material on Public Administration Page 84 Administrative Tribunals in U.K.: In the Anglo-Saxon countries like England, a large number of Administrative Tribunals have come to exist. Railway Courts, the Transport Tribunal, Road Transport Licensing Authorities National Health Service Tribunals, School Tribunals, National Insurance Tribunals National Assistance Tribunals, Pensions Tribunals, Rent Tribunals, Local Valuation Tribunals, Land Tribunals are the examples of regular Administrative Tribunals. Besides, certain ministers per- form judicial functions. Adjudicatory powers have been entrusted to particular officers, viz., District Auditors, Registrar of Friendly Societies, etc. Administrative Tribunals in U.S.A.: In the U.S.A., there are four types of Administrative Tribunals: (a) Independent Administrative Courts, viz., the U.S. Customs Courts, Board of Tax Appeals, Courts of Claims, etc. (b) Special Administrative Courts, viz... Board of Appeal in the Patent Office, Board of Veterans appeal in the Veteran Administration. (c) Regulatory bodies, viz., the Interstate Commission, Federal Trade Commission. (d) Licensing authorities like the Bureau of Marine Inspection and navigation. Civil Aeronautics Authority, etc. Besides these courts, some of the executive departments or their heads, e.g., the Secretary of Agriculture, also possess adjudicatory powers. In U.S.A., the number of Administrative Tribunals goes on increasing annually. In U.K., their number is no less. About 14 closely printed pages of Pollards’ book. Administrative Tribunals at Work are devoted to a mere mentioning of such courts. Their constitution, however, differs. Some of them consist of single officers, others are plural in composition. Some are independent or quasi- independent of executive control. Some are departmental in character. Their proceedings may be private or public. Personal hearing may or may not be permitted. Lawyers may or may not be allowed to appear as defence counsels. Reasons for decisions may or may not be quoted. Appeals may or may not be allowed. Administrative Tribunals in India: In India also like U.K. and U.S.A., their growth has been rather haphazard. They have come into existence as or when required. Though their number has been gradually multiplying, yet they have never been organized into a coherent system. Over 3,000 such courts exist in India. Income Tax Appellate Tribunal, Railway Rates Tribunal, Labour Courts, Industrial Tribunals, Wage Boards, Compensation Tribunals, Election Tribunals, Central Administrative Tribunal, Political Science study material on Public Administration Page 85 Rent Tribunals are some of the examples of such Tribunals. Certain other agencies of Government as Central Board of Revenue, Collectors of Customs and Excise, Custodian Gen- eral of Evacuee Property also perform adjudicatory functions. They constitute part of adminis- trative machinery. There is a common feeling that the administrative tribunals in India do not act impartially and the citizens fail to get justice at their hands. The principles of natural justice are not observed and the administrative courts do not give speaking orders. However, the Constitution of India under Articles 32, 136, 226 and 227 provides adequate safeguards against the miscarriage of justice. The decisions of administrative courts are open to judicial review. (i) Income Tax Appellate Tribunal: Section 252 of the Income Tax Act, 1961 provides that the Central Government shall constitute an Appellate Tribunal consisting of an many Judicial Members and Accountant members as it thinks fit to exercise the powers and functions conferred on the Tribunal by the Act. Under the Act, a judicial Member shall be a person, who has held a judicial office for at least ten years or has been a Member of the Central Legal Services and has held a post in Grade II of that service or any equivalent or higher post for at least three years or who has been an Advocate for at least ten years. For an Accountant Member, the person must have been for at least ten years a Chartered Accountant or a member of the Income Tax Service Group A and has held the post of Additional Commissioner of Income Tax or any equivalent post for at least three years. The powers and functions of the Tribunal are exercised and discharged by the Bench constituted from amongst the members of the Tribunal. A Bench consists of one Judicial Mem- ber and one Accountant Member. The Benches of the Tribunal have been constituted in differ- ent parts of the country presently there are 63 benches. The Tribunal is empowered (i) to hear and decide appeals; (ii) to state a case to the High Court on any question of law arising in the case. The powers of the Tribunal include the imposition of a penalty in addition to the tax, up to a maximum limit of one and a half times the amount of the tax. It may confirm, reduce, enhance or set aside the assessment or may send back the case to the lower authority. The Tribunal is the final court of Appeal in Income Tax matters. However, an appeal on a question of law can be taken to the High Court first and then to the Supreme Court. The Tribunal follows judicial procedure in the hearing of a case. Political Science study material on Public Administration Page 86 (ii) Central Administrative Tribunal: Article 323 A added in the Constitution of India in 1985 provides for the setting up of Administrative Tribunal for adjudicating the disputes relating to service matters of persons employed to public services and posts in the Central Government and the States. In Pursuance of the above amendment the Administrative Tribunals Act, 1985 was enacted. The CAT enjoys the status and powers of a High Court in respect of service matters Appeals against its orders He to the Supreme Court only. It has 17 regular Benches operating at the principal seats of High Court. These regular Benches also hold circuit sittings at other seats of High Courts. The sanctioned strength of the CAT is Chairman – 1, Vice-Chairman 16, Members – 49. The process of appointment of Chairman, CAT is initiated by the Chief Justice of India on a reference made to it by the Central Government. The appointment of Vice-Chairman and Members of CAT are made on the basis of recommendations of a Selection Committee chaired by a nominee of the Chief Justice of India who is a sitting judge of the Supreme Court. The appointments are made with the approval of the Appointments Committee of the Cabinet. The members are drawn both from judicial as well as administrative streams. The CAT is distinguished from the ordinary courts in the following respects: (i) The Tribunal exercises jurisdiction only in relation to the service matters of public servants covered by the Act; (ii) The Tribunal is free from the shackles of many of the technicalities of the ordinal courts in respect of hearing of evidence and pleading by the lawyers and the presentation of the case. (iii) The government can present its case through the departmental officers or legal prac- titioners. (iv) Further, only a nominal fee is to be paid by the petitioner for filing an application before the Tribunal. (v) The members of the Administrative Tribunals are drawn from the administrative stream also, whereas the judges of ordinary courts belong to the legal stream. (vi) The Ministry of Personnel, Public Grievances and Pensions looks after the Administrative Tribunals providing them better conditions of service and improve their functioning. One of the main objectives of setting up the Administrative Tribunals was to provide cheap and speedy justice to public employees in disputes relating to their service matters. The CAT has been able to achieve this objective to a considerable extent, despite many constraints faced Political Science study material on Public Administration Page 89 make the government, the civil servants remain politically neutral and carry out their assigned departmental roles impartially and faithfully. 4. Professional, Trained and Expert Class: The Bureaucracy constitutes the educated and professionally trained class of persons which helps the political executive in carrying out its functions. The members of civil service are recruited through competitive examinations for appearing in which they have to possess some minimum educational qualifications. Before their appointments, they get special trainings. During the course of their service they attend orientation and refresher courses. They have the knowledge, training and expertise necessary for carrying out their administrative work. 5. Fixed Salaries: Each member of the Bureaucracy receives a fixed salary. Right at the time of appointment he is allotted a scale of pay, which depends upon the nature and level of his job-responsibility. All the civil servants belonging to a particular class of administrative hierarchy are placed in one scale of pay. Each job also entitles them to some allowances. 6. Bound by Rules and Regulations: The Bureaucracy always works in accordance with ‘rules and regulations. ‘Strict obedience to rules’, ‘Through Proper Channel’, ‘Decision-making after satisfying the rules’, are the principles which always guide, direct and regulate the working of bureaucracy. Each official works only within the sphere prescribed for him by the rules of his department. 7. Class Consciousness: The Civil Servants are highly class conscious. They jealously work to protect and promote the interests of their class of civil servants. They are called the white-collar class because of their faith in their ‘superior status’ as government officials. 8. Public Service Spirit as the Ideal: Modern Bureaucracy identifies itself with public service spirit. It always tries to project itself as the civil servants devoted to the promotion of public welfare through the satisfaction of public needs. They are expected to behave as ‘officers’ responsible for public welfare, with service as their motto. Political Science study material on Public Administration Page 90 9. Bound by a Code of Conduct: The civil servants have to follow a code of conduct. They have to act in a disciplined way. Their rights, duties and privileges stand clearly defined. The procedure of work is definite and settled. They can be punished for misbehaviour, incompetence or negligence or for a violation of their conduct rules. In short, Bureaucracy is characterised by political neutrality, professional competence, permanent/ stable tenure, fixed salaries and strict obedience to rules. Role of Bureaucracy: Functions: Bureaucracy or Civil Service plays a key role in running the Public Administration e by performing the following functions: 1. Implementation of Governmental Policies and Laws: It is the responsibility of the bureaucracy to carry out and implement the policies of the government. Good policies and laws can really serve their objectives only when these are efficiently implemented by the civil servants. 2. Role in Policy-Formulation: Policy-making is the function of the political executive. However, the Bureaucracy plays an active role in this exercise. Civil Servants supply the data needed by the political executive for formulating the policies. In fact, Civil servants formulate several alternative policies and describe the merits and demerits of each. The Political Executive then selects and adopts one such policy alternative as the governmental policy. 3. Running of Administration: To run the day to day administration in accordance with the policies, laws, rules, regulations and decisions of the government is also the key responsibility of the Bureaucracy. The political executive simply exercises guiding, controlling and supervising functions. 4. Advisory Function: One of the important functions of the Bureaucracy is to advise the political executive. The ministers receive all the information and advice regarding the functioning of their respective departments from the civil servants. As amateurs, the ministers have little knowledge about the functions of their departments. They, therefore, depend upon the advice of bureaucracy. As Political Science study material on Public Administration Page 91 qualified, experienced and expert civil servants working in all government departments, they provide expert and professional advice and information to the ministers. 5. Role in Legislative Work: The civil servants play an important but indirect role in law-making. They draft the bills which the ministers submit to the legislature for law-making. The ministers provide all the information asked for by the legislature by taking the help of the civil servants. 6. Semi-judicial Work: The emergence of the system of administrative justice, under which several types of the cases and disputes are decided by the executive, has further been a source of increased semi-judicial work of the bureaucracy. The disputes involving the grant of permits, licences, tax concessions, quotas etc. are now settled by the civil servants. 7. Collection of Taxes and Disbursement of Financial Benefits: The civil servants play a vitally important role in financial administration. They advise the political executive in respect of all financial planning, tax-structure, tax-administration and the like. They collect taxes and settle disputes involving recovery of taxes. They play a vital role in preparing the budget and taxation proposals. They carry out the function of granting of legally sanctioned financial benefits, tax reliefs, subsidies and other concessions to the people. 8. Record-Keeping: The Civil Service has the sole responsibility of keeping systematically all government records. They collect, classify and analyse all data pertaining to all activities of the government. They collect and maintain vital socioeconomic statistics which are used for the formulation of Public policies and plans. 9. Role in Public Relations: The era of modern welfare state and democratic politics has made it essential for the government to keep close relations with the people of the state. The need for maintaining active and full public relations is a vital necessity of every state. The civil servants play an active role in this sphere. They are the main agents who establish direct contacts with the people. They serve as a two-way link. On the one hand, they communicate all government decisions to the people, and on the other hand, they communicate to the government the needs, interests and Political Science study material on Public Administration Page 94 MAX WEBER ON AUTHORITY Max Weber’s concept of bureaucracy is closely related to his ideas on legitimacy of authority. He worked on theories of domination, leadership and legitimacy of authority. Weber differentiated authority, power and control. To him, a person could be said to poses power, if in a social relationship, his will could be enforced despite resistance. Such exercise of power becomes controlled. Authority manifests when a command of definite content elicits obedience on the part of specific individuals. For Weber, ‘authority’ was identical with ‘authoritarian power of command’. Authority is state of reality where a person willingly complies with legitimate commands or orders because he considers that a person by virtue of his position could issue orders to him. Unlike in ‘power’ there is willing obedience on the part of clientele to legitimise authority. Components of Authority Weber identified five essential components of authority. They are: (1) an individual or a body of individuals who rule, (2) an individual or a body of individuals who are ruled, (3) the will of the rulers to influence conduct of the ruled, (4) evidence of the influence of the rulers in terms of the objective degree of command, and (5) direct or indirect evidence of that influence in terms of subjective acceptance with which the ruled obey the command. Categories of People in Organisation The authority exists as long as it is accepted as legitimate by the ruled. Thus, an administrator or organisation can rule only when it has legitimacy. While explaining authority in various organisations, Weber concluded “all administration means dominance”. Weber categorised persons in the organisations in to four types: (1) those who are accustomed to obey commands, (2) those who are personally interested in seeing the existing domination continue, (3) those who participate in that domination, and 4) those who hold themselves in readiness for the exercise of functions. Political Science study material on Public Administration Page 95 Types of Authority Since Weber believed that authority could be exercised as long as it is legitimate, he divided the authority in to three types based on sources of legitimacy for each authority. Weber classified authority in to three ‘pure’ or ‘ideal’ types based on its claim to legitimacy. They are: (1) traditional authority, (2) charismatic authority and (3) legal-rational authority. Traditional Authority It rests on “an established belief in the sanctity of immemorial traditions and the legitimacy of the status of those exercising authority under them”. In this kind of authority, a command is obeyed because of the belief in age-old customs, traditions, conventions and beliefs. Those who exercised authority does so under the rules that have always existed, but may also exercise personal prerogative. This is a pure type of feudal, patrimonial regime under which the organisation consists of household officials, relatives, and loyalists. Under this type, obedience is given not to the rules but to the rulers, not to the superiors, but to the chiefs. New rules are not enacted, they are “found”. The only documents in the administration of law are the “documents of tradition, namely precedents”. Resistance, when it occurs is directed against the person of chief or a member of his staff. The accusation is that he has failed to observe traditional limits of his authority. Under the traditional authority a person enjoy authority by virtue of their inherited status. The persons who obey orders are called ‘followers. They carry out the commands out of personal loyalty to the ruler and pious regard for his time honoured ‘status’. The system retains legitimacy as long as the customs and traditions are respected in the organisation. Charismatic Authority It “rests on devotion to the specific and exceptional sanctity, heroism, or exemplary character of an individual person and of the normative patterns or order revealed or ordained by him”. The term charisma (gift of grace) is taken from the vocabulary of early Christianity. Here it is applied supernatural, super human or extraordinary qualities of a leader. Among the holders of charisma are the sorcerer, the prophet or the warrior of chieftain or the personal head of a party and demagogue. In this type of authority obedience was justified because the person giving order had some sacred or outstanding character. The leader exercises authority based on his personal qualities rather than formal stipulations or prescribed norms. Those subject to the authority is “followers” of the leader, not “subject”. The only basis of legitimacy is personal Political Science study material on Public Administration Page 96 charisma. He can exercise his authority, so long as it is proved, that is so long as it receives recognition and is able to satisfy the followers. Under this authority the leader selects his disciples or followers as his officials based on their personal devotion to him rather than their special qualifications or status. These ‘disciple officials’ constitute an organisation and their sphere of activity and power of command depends upon likes and dislikes of the leader. Legal-Rational Authority It rests on “a belief in the legality of patterns of normative rules and the right of those elevated to authority under such rules to issue commands. Obedience is owed to the legally established impersonal order. It extends to the persons exercising the authority of office only by virtue of the formal legality of their commands, and only within the scope of the authority of the office”. Manifestations of legal authority are found in organisations where rules are applied judicially and in accordance with ascertainable principles valid for all members in the organisation. The members who exercise power under this authority are the superiors and are appointed or elected by legal procedures to maintain the legal orders. The organisation is a continuous process and all its members are subject to certain rules. Weber considers the legal authority as the most rational form of authority. Obedience to the authority depends upon certain related believes. They are: (1) that a legal code can be established which can claim obedience from members of the organisation; (2) that, the law is a system of abstract rules, these rules are applied to particular cases, and the administration looks after the interest of the organisation within the limits of the law; (3) that the man exercising authority also obeys this impersonal order; (4) that only ‘qua’ member does the member obey the law; and (5) that obedience is done not to the person who holds the authority but to the impersonal order which has granted him this position. Of all the three types of authority Weber considers the legal authority, not only the most rational authority, but also the most efficient form of authority. He considers bureaucracy as legal-rational type of authority. CONCLUSION Weber can be considered as one of the eminent thinkers of twentieth century. Though he has written extensively on various subjects, his contribution to the theory of bureaucracy is highly valued. Today we can see it in practice in all the societies of the world. Weber being proved