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Constitutional Framework of State Admin

This document outlines the constitutional framework and functioning of state administration in India, detailing the distribution of powers between the Union and state governments. It discusses the roles of key figures such as the Governor and Chief Minister, the structure and procedures of the State Legislature, and the mechanisms for legislative control over administration. The document emphasizes the quasi-federal nature of the Indian Constitution and the cooperative relationship between different levels of government.

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Constitutional Framework of State Admin

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BLOCK 2

STATE AND DISTRICT ADMINISTRATION

UNIT 2 CONSTITUTIONAL PROFILE OF
STATE ADMINISTRATION*
Structure

2.0 Objectives

2.1 Introduction

2.2 Powers of the State Government

2.3 Role of the Governor

2.4 State Legislature

2.4.1 Legislative Procedure
2.4.2 Legislative Control over Administration

2.5 State Council of Ministers

2.6 Role of the Chief Minister

2.7 Conclusion

2.8 Glossary

2.9 References

2.10 Answers to Check Your Progress Exercises

2.0 OBJECTIVES
After studying this Unit, you should be able to:

 Understand the Constitutional provisions regarding the functioning of the state

Government;

 Explain the role of Governor in state administration;

 Describe the powers and the functions of the Chief Minister in relation with
bureaucracy and Council of Ministers; and

 Examine the working of State Legislature, and its control over administration.

2.1 INTRODUCTION
The very first Article of our Constitution says, “India, that is, Bharat, shall be a Union of
states.” The word “Union” has been used to mean “Federation” in the Constitution of
the United States (US) of America. In our Constitution, however, the Union is not a
Federation of the type setup by the US Constitution. The Indian Constitution has several
features of a Federation like the dual government, distribution of powers between the
union and state governments, supremacy of the Constitution and final authority of courts
to interpret the Constitution. On the other hand, there are several unitary features like a
unified judicial system; integrated machinery for election; accounts and audit; power of
superintendence of union government over state government in emergencies, and to

* Adapted from BPAE-102, Indian Administration, Block-3, Unit-12. 27

State and District some extent even in normal times; single citizenship, etc. Due to these features, our
Administration Constitution lays down a quasi-federal polity. Granville Austin has called our Federation
a “Cooperative Federalism” due to the need for close cooperation between the Union
government and state governments. The purpose here is not to discuss in detail the
nature of Indian Federation, but to put the study of state administration in proper context.
It is, therefore, enough for us to know that we have governance – at the Union or
Central level, State level and Local level. The powers and functions of the government
are specified in the Constitution. The Union and the state governments, function
independently in their own spheres. Of course, there is an area of overlapping
responsibility, and certain powers of superintendence vested in the Union government.

In this Unit, we propose to study the functions assigned to the state government in
the Constitution and the way in which the state administration is organised to perform
these functions.

2.2 POWERS OF THE STATE GOVERNMENT

As already mentioned, the Union government and state government derive their powers,
directly from the Constitution. The Constitution has adopted a three-fold distribution of
legislative powers between the Union and states (Article 246). Schedule VII of the
Constitution enumerates the subjects into three lists. List I or the Union List consists of
the items over which the Union has exclusive powers of legislation. Similarly, List II or
the State List comprises items over which the state has exclusive powers of legislation.
There is yet another List (List III) known as the Concurrent List that comprises subjects
over which both the Union and states have powers to legislate. The residual powers are
vested in the Union. We would now briefly discuss List II and List III, which enumerate
the subjects over which the states have jurisdiction either exclusively or concurrently
with the Union.

i) State List

The State List contains 59 items (originally 66 items in the Schedule VII) over which
states have exclusive jurisdiction. Some of the important ones are- Public Order, Police,
Agriculture, Public Health and Sanitation, Local Government, etc. These are subjects
of maximum concern to the people, which can be better dealt with at the state level.
These subjects are generally under the exclusive jurisdiction of the states, but under the
following circumstances, the Parliament can legislate on these matters.

a) In national interest, Council of States by a resolution of 2/3rd of its members present

and voting may authorise the Parliament to legislate on a state subject. Such
authorisation may be for one year at a time, but can be renewed by a fresh resolution;

b) Under a proclamation of emergency, the Parliament may legislate on a state subject;

c) With the consent of two or more states, the Parliament may legislate on a state
subject with respect to the consenting states;

d) Parliament has powers to legislate with reference to any subject (including a state
subject) for the purpose of implementing treaties or international agreements and
conventions; and

e) When a proclamation is issued by the President on the failure of Constitutional

machinery in any state, s/he may declare that the powers of the state legislature
shall be exercised by or under the authority of Parliament.
28
ii) Concurrent List Constitutional
Profile of State
The Concurrent List, which originally comprises 52 items (though the last item is numbered Administration
47) over which the Union and state legislatures have concurrent jurisdiction. The important
ones are- Criminal Law, Criminal Procedure, Marriage, Education, Civil Procedure,
Insurance, Economic and Social Planning etc.

While the Union and states can legislate on any of the subjects in the Concurrent List,
predominance is given to the Union Legislature. It means that in case of repugnancy
between the Union and a state law relating to the same subject, the former prevails. If,
however, the state law was reserved for the assent of the President and has received
such assent, the state law may prevail notwithstanding such repugnancy, but it would
still be competent for the Parliament to override such state law by subsequent legislation.

Any dispute about the interpretation of the entries in the three lists is to be decided by
the Courts. Following principles have been followed in such interpretation:

a) In case of overlapping of a subject between the three lists, predominance is to be

given to the Union Legislature;

b) Each entry is given the widest importance that its words are capable of, without
rendering another entry nugatory; and

c) In order to determine whether a particular enactment falls under one entry or

another, it’s “pith and substance” is considered.

2.3 ROLE OF THE GOVERNOR

Our Constitution provides for the Parliamentary form of government at the Union as
well as the state levels. The Governor is the Constitutional head of the state and acts on
the advice of the Council of Ministers headed by the Chief Minister. She/he (S/he) is
appointed by the President for a term of five years and holds office during her/his
pleasure. S/he can be reappointed after her/his tenure as Governor of the same state or
of another state.

According to the Constitution, the Governor has many executive, legislative, judicial
and emergency powers. For example, the Governor appoints the Chief Minister and
on her/his advice the Council of Ministers. S/he makes many other appointments like
those of Chairman and Members of the State Public Service Commission, Advocate
General, State Election Commissioner, etc. In fact, the entire executive work of the
state is carried on in her/his name.

The Governor is a part of the State Legislature. S/he has a right of addressing and
sending messages to and of summoning, proroguing the State Legislature and dissolving
the Lower House. All the bills passed by the Legislature have to be assented by her/him
before becoming the law. S/he can withhold her/his assent to the Bill passed by the
Legislature and sends it back for reconsideration. If it is again passed with or without
modification, the Governor has to give her/his assent. S/he may also reserve any Bill
passed by the State Legislature for the assent of the President. The Governor may also
issue an Ordinance when the legislature is not in session.

The Governor even has the power to grant pardon, reprieve, respite, and remission of
punishment or to suspend, remit or commute the sentence of any person convicted of
any offence against any law related to a matter to which the executive power of the
state extends. As far as the emergency powers of the Governor are concerned, 29
State and District whenever the Governor is satisfied that a situation has arisen in her/his state
Administration whereby the administration of the state cannot be carried on in accordance with the
provisions of the Constitution, s/he can report the fact to the President. On receipt of
such a report, the President may assume to herself/himself the powers of the state
government and may reserve for the Parliament the powers of the State Legislature
(Article 356).

Exercise of Discretion by the Governor

It has already been pointed out that the Governor has to exercise her/his powers on the
advice of the Council of Ministers. S/he does not, therefore, have much discretion in
the exercise of her/his powers as long as a stable Ministry enjoying the confidence of
the Assembly is in office. However, this is not always the case. The Governor may then
be called upon to exercise her/his discretion. It is this exercise of discretion that has
made the Governor’s office the most controversial Constitutional office of the country.
Major controversies have arisen in the following types of cases in the past.

i) Appointment of Chief Minister

The Governor appoints the Chief Minister and on her/his advice the Council of Ministers.
When a party with absolute majority elects a leader, the Governor has no choice but to
appoint her/him the Chief Minister and invite to form the government. Problems arise
when no political party has an absolute majority in the legislature. Here the discretion of
the Governor comes into play.

ii) Dismissal of a Ministry

A Chief Minister and her/his Ministry hold office during the pleasure of the Governor,
which is not subject to any scrutiny. However, the Governor has to exercise her/his
discretion judiciously.

iii) Dissolution of the Assembly

In British Parliamentary Democracy, the king is guided by the advice of the Prime
Minister in the matter of dissolution of the House of Commons. Likewise, the Governor
should be guided by the advice of the Chief Minister in the matter of dissolution of the
Assembly.

iv) Use of Emergency Powers

It has also been alleged that the Governors have not used their discretion judiciously in
advising the President for using her/his emergency powers under Article 356 of the
Constitution.

2.4 STATE LEGISLATURE

Legislation provides the framework for policy formulation, and arms the government
with powers to implement the policies. At the state level, the function of providing the
necessary legislative framework is performed by State Legislature. There is no uniformity
in the organisation of State Legislatures in India. In this regard, a sizable number of
states have unicameral system and remaining like Andhra Pradesh, Bihar, Maharashtra,
Karnataka etc. have bicameral system, that is, both Legislative Assembly and Legislative
Council. Our Constitution provides that every state shall have at least one house, viz.,
the Legislative Assembly comprising 60 to 500 members (except Sikkim, Goa, Mizoram
30
etc.) chosen by direct election on the basis of universal adult franchise from territorial
constituencies. In addition, any state can create a second house, viz., Legislative Council Constitutional
if it so desires. This can be done by a resolution of the Assembly passed by a special Profile of State
Administration
majority (i.e., a majority of total membership of the Assembly not being less than two-
thirds of the members actually present and voting) followed by an Act of Parliament. By
the same process, an existing Legislative Council can be abolished also.

The members of Legislative Council are indirectly elected. The election is to be in

accordance with the principle of proportional representation by means of the single
transferable vote. Duration of the Assembly is five years unless dissolved earlier by the
Governor. Its term may be extended by Parliament during an Emergency up to a period
of six months beyond the expiry of the proclamation of an Emergency by the President.

2.4.1 Legislative Procedure

i) Regarding A Money Bill
a) A Money Bill can originate only in the Legislative Assembly and not in the
Council.
b) The Council cannot reject or modify this Bill passed by the Assembly. It can
only make recommendations, which may or may not be accepted by the
Assembly. The Bill as passed by the Assembly with or without modification
is presented to the Governor for assent. If the Council does not return the Bill
within 14 days, it can straightaway be presented to the Governor for her/his
assent. Thus, the will of the Assembly ultimately prevails. The Council can at
best delay its passage.
ii) Regarding any Bill other than a Money Bill
a) Such a Bill can originate in either House.
b) If a Bill is passed by the Assembly, the Council may reject the Bill, modify it
or may not pass it for three months. If the Bill is again passed by the Assembly
with or without modification, the Council, on its second journey, may only
delay it by one month.
c) If a Bill originates in the Council and is rejected by the Assembly, the matter
ends.
d) Thus, in every way, the supremacy of the Assembly is established; more so,
in case of Money Bills. The dispute between two houses is always resolved
according to the will of the Assembly. This is in contrast to the Union Legislature
where a dispute between the two Houses is resolved by a joint sitting. This is
probably in recognition of the fact that the Upper House in Union Legislature
is representative of the states.
iii) Governor’s Veto
When a Bill, passed by State Legislature, is presented to the Governor for her/his
assent:
a) The Governor may assent to the Bill, in which case it would become law.
b) S/he may withhold assent, in which case it does not become law.
c) S/he may, in case of a Bill other than a Money Bill, return the Bill with a
message.
d) The Governor may reserve a Bill for the consideration of the President.
31
State and District iv) Governor’s Power to Issue Ordinances
Administration
When the Legislature is not in session, the Governor can issue Ordinances, which have
the force of law. Any Ordinance so issued by the Governor has to be placed before the
Legislature whenever it is convened and ceases to have an effect at the expiration of six
weeks from the date of reassembly unless disapproved earlier. The Governor’s
Ordinance - making power is co-extensive with the legislative powers of the State
Legislature and is subject to the same limitations pertaining to obtaining previous sanction
from the President.

2.4.2 Legislative Control over Administration

Apart from providing necessary legislative support to the executive, the Legislature
also acts as an instrument of popular control over administration. In a Parliamentary
democracy like ours, this control is exercised in following forms:

i) Assembly Questions

The members of the Assembly have a right to ask questions from the government. They
can also ask supplementary questions. This device keeps the government on its toes.
Whenever weaknesses are noticed, the government is compelled to promise and take
corrective action.

ii) Discussions

Apart from asking questions, the members may ask for discussions over important
matters. They may also bring forward Call Attention Motions and Adjournment Motions
on important public matters. Even if such motions are not allowed, a lot of information
has to be supplied by the government and some discussion does take place. Here again
the government is kept on a tight leash and has to answer the representatives of the
people.

iii) Financial Control by Budget

No money can be raised and no expenditure can be incurred without a vote by the
Legislature. By controlling the purse strings, the Legislature controls the programmes
and activities of the government. It is true that by virtue of its majority in the Legislature,
the government may ultimately get the money it wants, but during the process a lot of
discussion takes place. This keeps the government in touch with the needs of the people.
The discussion also highlights the weaknesses of the administration in the implementation
of the voted programmes.

iv) Post-expenditure Control

The State Legislature also scrutinises the expenditure incurred by the government through
the device of audit. Our Constitution provides for an integrated accounts and audit
system. The Comptroller and Auditor General of India (CAG) gets the account of the
state government audited and sends her/his report to the Assembly through the Governor.
The Public Accounts Committee of the State Legislature goes through this report,
examines and finally reports to the Legislature. Any instances of unauthorised, improper,
or imprudent expenditure are, thus, discussed in detail and brought to the notice of the
Legislature, which can then keep a vigilant eye on the government.

v) Control through Legislative Committees

32 Apart from the Public Accounts Committee mentioned earlier, there are several other
committees, viz., Estimates Committee, Committee on Public Undertakings, Committee Constitutional
on Government Assurances, etc. These committees examine the various aspects of the Profile of State
Administration
working of the government and make useful suggestions. They also criticise the
government for its failures and bring these failures to the notice of the Legislature and
the people. This is a good device of exercising control over the government, as the
Assembly is too unwieldy a body to examine the working of the government in detail.

vi) Ministerial Responsibility

The most potent function of the Legislature is to enforce the ministerial responsibility. In
a parliamentary form of government, the political executive is a part of the Legislature
and is responsible to it all the time. The government can be thrown out at any time by a
vote of no-confidence or even on being rejected on its budget or any of the substantive
legislative measures. As the political executive is always responsible to the legislature,
therefore the administrators become indirectly responsible to it through the ministers.

In spite of these controls, it is often felt that the administration is not responsive enough.
On the other hand, it is argued that the legislative control, especially the one through
audit is too tight and takes away the initiative of the administrators.

Check Your Progress 1

Note : i) Use the space given below for your answers.

ii) Check your answer with those given at the end of the Unit.
1) Explain the three-fold distribution of powers between the Union and states.

2.5 STATE COUNCIL OF MINISTERS

As already mentioned, the executive power of the state is exercised in the name of the
Governor, who is the Constitutional Head of the state. But, the Governor has to have a
Council of Ministers with the Chief Minister as its Head to aid and advise her/him.
However, for a few discretionary functions, the Governor has to act on the advice of
the Council of Ministers. It means that the real executive power is exercised by the
Council of Ministers.

The Council of Ministers is appointed by the Governor on the advice of the Chief
Minister and hold Office during her/his pleasure. It means that a Minister can also be
dismissed by the Governor on the advice of the Chief Minister.

On the pattern of the Union government, ministers in the state governments are of the
following categories:

i) Cabinet Ministers

ii) Ministers of State

iii) Deputy Ministers

In a State, total number of Ministers, including the Chief Minister, in the council shall not
exceed fifteen percent of the total number of members of the Legislative Assembly of
that State. The system of Cabinet Committees is not so popular in the state governments
as in the Central government.

i) Powers and Functions of the Council of Ministers

The Council of Ministers is the highest policy-making body of the state government. It
lays down policy in respect to all matters within the legislative and administrative
competence of the state government. The Council also reviews the implementation of
the policy laid down by it and can revise any policy in view of the feedback received
during implementation. Since the Governor has to exercise her/his executive powers on
the advice of the Council of Ministers and all the executive power is exercised in the
name of the Governor, there is no limitation on the powers of the Council except the
following:

a) The limits imposed by the Constitution and the laws passed by the Union and
State Legislature.

b) Self-imposed limits to exclude consideration of less important matters.

34
ii) Division of Work into Departments at the State Level Constitutional
Profile of State
According to the doctrine of Ministerial Responsibility, the Council of Ministers is Administration
collectively responsible to the State Assembly. It is, however, impossible for the Council
to take all the decisions collectively. During the early British period, the administration
of the state was carried on by the Governor-in-Council. At that time, most of the decisions
were taken collectively, because the number of decisions to be taken was not very
large. With the passage of time, the scope of governmental activity increased and the
matters that came up for the decision of the Council also proliferated. This led to the
development of “portfolio system” in which the Councillors were placed in charge of
certain specified subjects leaving only a few important matters to be placed before the
whole Council. The same system has continued after Independence. Under our
Constitution, the Governor has to make rules for the efficient conduct of business [Article
166(3)]. The state governments have framed “Allocation of Business Rules”, according
to which the work is divided among different ministers. This division of work can be
done on the basis of functions, or on the basis of clientele, or on geographical basis or
on the basis of the combination of these factors. Very often, the division of work is
decided on personal considerations rather than rational criteria. Most of the work in
respect of subjects allotted to a Minister is disposed of by the Minister. However,
according to the rules of business, some matters have to be reserved by the Minister
for:

a) Consideration of the Chief Minister

These are called coordination cases, in these cases the Minister in charge of a portfolio
record her/his recommendations and submit the file to the Chief Minister for her/his
orders. Rules of business give a list of such cases. The Chief Minister may also reserve
some cases or classes of cases for her/his orders.

b) Presentation before the Cabinet

These are important policy matters, which have wide repercussions. Important cases
of disagreement between two or more ministers are also brought before the Cabinet for
its decision. A list of such cases is given in the rules of business. In addition, the Chief
Minister may require any particular case of any department to be placed before the
Cabinet. A few of the typical Cabinet cases are given below:

– Annual Financial Statement to be laid before the Legislature, and demands for
supplementary grants.

– Proposals affecting state finance, not approved by the Finance Minister.

– Exemption of important matters from the purview of State Public Service

Commission.

– Proposals for imposition of new taxes, etc.

The size and composition of the Council of Ministers is important for effective public
administration. The Ministry and Cabinet come into existence for running the
administration efficiently and impartially. In view of above, it needs to be compact and
homogenous, its size being determined by administrative needs. It will depend on various
factors such as the area of state, its population, level of economic development and
specific problems. However, the present size of Council of Ministers in the states
especially in larger ones appears to be disproportionate. In this context, an attempt was
made by the 91st Constitutional Amendment introduced with effect from 1st January 35
State and District 2004 by restricting the size of Council of Ministers to a maximum of 15 per cent of the
Administration strength of the respective State Legislative Assembly, but the problem still persists. In
bigger states of India (for example, U.P. where the Assembly has a strength of 404
legislators), even this restriction has not prevented formation of jumbo sized Ministries.
Hence, there is growing realisation that there is an urgent need to reduce the size of
Council of Ministers in the states. The SARC has recommended that the maximum size
of the Council of Ministers may be fixed in a range of 10% to 15% of the strength of
their Legislative Assemblies (Second Administrative Reforms Commission, 2009, pp.
22-23 [Link]

2.6 ROLE OF THE CHIEF MINISTER

The Chief Minister performs the same functions in respect of the state government as
the Prime Minister does in respect of the Union Government. Although the real executive
power of the state government vests in the Council of Ministers, but the Chief Minister
has acquired a very special role in the exercise of this executive power. S/he is not the
first among equals, but is the prime mover of the executive government of the state.

The Chief Minister is appointed by the Governor and holds Office during her/his pleasure.
However, when a single political party has an absolute majority in the Assembly, the
Governor has only a ceremonial role in these matters. S/he has to invite the leader of the
majority party to form the government and cannot dismiss her/him so long as s/he
enjoys the confidence of the Assembly. The only exception probably may occur when
the majority party changes its leader in the Assembly. Of course, the Governor does
have some discretion in these matters during periods of instability when no single party
can claim an absolute majority in the Assembly.

i) Powers of the Chief Minister in Relation to the Council of Ministers

The Chief Minister is the leader of the Council of Ministers. S/he has to assign portfolios
among her/his Ministers and can change such portfolios when s/he likes. S/he plays a
coordinating role in the functioning of her/his Council of Ministers. S/he has to see that
the decisions of the various departments are coherent. S/he has to lead and defend her/
his Council of Ministers in the Assembly. In short, s/he has to ensure the collective
responsibility of the Council of Ministers to the State Assembly. The Chief Minister sets
the agenda for the Cabinet and greatly influences its decisions. S/he takes decisions on
important matters of coordination even though these are allotted to individual ministers.
Moreover, the Governor appoints the Council of Ministers on the advice of the Chief
Minister, and the ministers hold Office during the pleasure of the Governor. As a result
of these provisions, the Minister, in fact, holds Office during the pleasure of the Chief
Minister. This power of dismissing the ministers at will and the power to change their
portfolios has greatly strengthened the power of the Chief Minister in relation to her/his
Ministers and ultimately the Council of Ministers.

ii) Powers of the Chief Minister in Relation to the Governor

The powers of Chief Minister in relation to the Governor have not been mentioned
anywhere in the Constitution. A convention was sought to be established whereby the
Chief Minister could be consulted regarding the appointment of the Governor in her/his
state. Even this has not been followed by the Union government in many cases. The
only other power, which can be indirectly inferred from the Constitution, that is, the
power to exercise executive power of the state in the name of the Governor. All the
public appearances of the Governor and speeches delivered by her/him on such occasions
36
have to be in accordance with policy laid down by the Council of Ministers headed by Constitutional
the Chief Minister. Similarly, the speeches of the Governor on ceremonial occasions Profile of State
Administration
and the annual speech before the Assembly have to be approved by the Cabinet.

iii) Powers of the Chief Minister in Relation to the Legislature

The Chief Minister is also the leader of the House. Apart from this formal position, the
Chief Minister provides real legislative leadership to the House in the sense that s/he
sets the legislative agenda. The legislative measures are brought before the Assembly
after the approval of the Council of Ministers headed by the Chief Minister. It is true
that private members may also bring a Bill before the Assembly. But, that has a limited
chance of success. Apart from the fact that it hasn’t a backing of the majority party, the
private members do not have the wealth of information, that is, available to the
government. Apart from setting up the legislative agenda, the Chief Minister has to
keep the Assembly informed about the various activities of the government by answering
questions, making statements, intervening in the debates, etc.

iv) Powers of the Chief Minister in relation to the Personnel

By virtue of being the head of the political executive, the Chief Minister controls the
entire bureaucracy of the state. In this function, s/he is assisted by the Secretariat headed
by the Chief Secretary. S/he approves all senior appointments like those of Secretaries,
Additional/Joint/Deputy Secretaries, Heads of the Departments, Chairpersons and
Managing Directors of Public Sector Undertakings, etc. Through her/his Cabinet, s/he
controls their service conditions and disciplinary matters. S/he provides them leadership
to ensure good performance and good morale. At the same time, s/he has to keep a
watch on their performance through administrative channels as well as through her/his
own sources like party workers, complaints from aggrieved persons and actual
observation during tours etc.

Check Your Progress 2

Note : i) Use the space given below for your answers.

ii) Check your answer with those given at the end of the Unit.
1) What are the powers and functions of the Council of Ministers?

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State and District
Administration 2.7 CONCLUSION
Our Constitution has been variously described as federal, federal with a unitary bias or
unitary with a federal bias. Without going into these descriptions, it can be stated that
our Constitution provides for a division of functions between the Union government
and the state governments with a substantial area where their functions overlap. The
State Legislature has exclusive jurisdiction over items given in the State List (Schedule
VII of the Constitution) while Union government has exclusive jurisdiction over items
given in the Union List. Both can legislate on items in the Concurrent List with
predominance for Union Law in case of repugnancy. In general, the distribution of
executive powers between the Union and state governments follows the distribution of
legislative powers as given in the Union and State List. However, with some exceptions,
the executive power in respect of Concurrent List vests in the State government. In the
parliamentary form of government adopted by us at the Union as well as state levels,
the Governor is the Constitutional Head of the state, while the real executive power is
exercised in her/his name by the Council of Ministers headed by the Chief Minister.

Thus, in this Unit, we have discussed the Constitutional framework of the state
administration. Powers of the state governments with respect to the State List and
Concurrent List have been made clear. We have also discussed the role of the Governor
and State Council of Ministers. Powers of the Chief Minister, who is the real executive
at the state level, have been clearly dealt with. The Unit has also described the role of
the State Legislature; and brought out the emerging trends in the relationship between
the Union and states.

2.8 GLOSSARY
Convention : An accepted rule.

Remission : Reduction of the amount of sentence without

changing its character, e.g., a sentence of
imprisonment for one year may be remitted to
six months.

Reprieve : Pardon or postponement of the punishment.

Repugnancy : Contradiction.

Respite : A temporary stay of execution.

2.9 REFERENCES
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.

Basu, D.D. (2019). Introduction to the Constitution of India (24th ed.). New Delhi,
India: Lexis Nexis.

Government of India. (2009). Second Administrative Reforms Commission (15th

Report), State and District Administration. Retrieved from [Link]
sites/default/files/[Link]

Maheshwari, S.R. (2000). State Governments in India. New Delhi, India: The
Macmillan Company of India Limited.
38
Pandey, L.B. (1984). The State Executives. Delhi, India: Amar Prakashan. Constitutional
Profile of State
Pylee, M.V. (2016). India’s Constitution. New Delhi, India: S Chand & Company. Administration

The Constitution of India. Retrieved from [Link] government/

constitution-india/constitution-india-full-text

2.10 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1

1) Your answer should include the following points:

 The distribution of powers between the Union and the states under the Union
List, State List and Concurrent List.

2) Your answer should include the following points:

 Governor is satisfied that a situation has arisen in her/his state whereby the
administration of the state cannot be carried on according to the Constitution.

 S/he can report the state of affairs to the President.

 On receipt of such a Report, the President may assume to herself/himself the

powers of the state government.

 S/he may reserve to the Parliament the powers of the State Legislature.

3) Your answer should include the following points:

 Money Bill can originate only in the Legislative Assembly and not in the
Council.

 The Council cannot reject or modify a Bill passed by the Assembly. .

 It can only make recommendations, which may or may not be accepted by

the Assembly.

 The Bill as passed by the Assembly, with or without modification, is presented

to the Governor for assent.

 The will of the Assembly ultimately prevails.

 The Council can at best delay its passage.

4) Your answer should include the following points:

 Assembly Questions

 Discussions

 Financial Control by Budget

 Post-expenditure Control

 Control through Legislative Committees

 Ministerial Responsibility 39
State and District Check Your Progress 2
Administration
1) Your answer should include the following points:

 The Council of Ministers is the highest policy making body of the state
government.

 It lays down policy in respect to all matters within the legislative and
administrative competence of the state government.

 It reviews the implementation of the policy laid down by it and can revise any
policy in view of the feedback received during implementation.

 There are no limitations on the powers of the Council except the following:

i) The limit imposed by the Constitution and the laws passed by the Union
and State Legislatures.

ii) Self-imposed limits to exclude consideration of less important matters.

2) Your answer should include the following points:

 Refer Section 2.6

40
UNIT 3 STATE SECRETARIAT:
ORGANISATION AND FUNCTIONS*
Structure

3.0 Objectives

3.1 Introduction

3.2 Meaning of Secretariat

3.3 Position and Role of State Secretariat

3.4 Structure of a Typical Secretariat Department

3.5 Pattern of Departmentalisation in State Secretariat

3.6 Distinction between Secretariat and Executive Department: Discrete Processes

or a Continuum

3.7 Chief Secretary

3.7.1 Position of Chief Secretary
3.7.2 Chief Secretary’s Functions

3.8 Conclusion

3.9 Glossary

3.10 References

3.11 Answers to Check Your Progress Exercises

3.0 OBJECTIVES
After studying this Unit, you should be able to:

 Understand the meaning, significance and role of the State Secretariat;

 Explain the vertical structure of a typical Secretariat Department and the pattern
of departmentalisation in the State Secretariat;

 Describe the distinction between the Secretariat Department and Executive

Department as well as their mutual relationship; and

 Examine the significance and role of the Chief Secretary in the State Secretariat
system.

3.1 INTRODUCTION
The functioning of the government is made effective with the help of task-oriented
Ministries. No Ministry can run smoothly without the support of a Secretariat at the
Union as well as State levels. The Secretariat helps the government in policy-making
and execution of legislative functions. This Unit discusses the organisation and functions
of the State Secretariat. It explains the pattern of departmentalisation in the Secretariat;

* Adapted from BPAE-102, Indian Administration, Block-3, Unit-13. 41

State and District and brings out the distinction between the Secretariat Department and Executive
Administration Department. In addition, position and functions of the Chief Secretary in the state
administration are also discussed.

3.2 MEANING OF SECRETARIAT

The three components of government at the state level are: (i) the Minister; (ii) the
Secretary; and (iii) the Executive Head (last one in most cases is called the Director,
although other nomenclatures are also used to refer to the executive head). The Minister
and the Secretary together constitute the Secretariat, whereas the office of the Executive
Head is designated as the Directorate.

Literally, the term “Secretariat” means the Secretary’s office. It originated at a time
when what we had in India was really a government run by the Secretaries. After
Independence, the power of governance passed into the hands of the popularly elected
Ministers and thus the Ministry became the seat of authority. In the changed political
situation, the term Secretariat has become a synonym for the Minister’s office. As the
Secretary is the principal adviser to the Minister, therefore s/he needs to be in the
physical vicinity of the Minister. In effect, therefore, Secretariat refers to the complex of
building that houses the office of Ministers and Secretaries. The expression Secretariat,
it has been observed, is used to refer to the complex of departments whose heads
politically are Ministers; and administratively are the Secretaries.

3.3 POSITION AND ROLE OF STATE

SECRETARIAT
The following extract from the Administrative Reforms Commission’s Report on State
Administration gives a succinct expression to the position and role of the State Secretariat:

The State Secretariat, as the top layer of the state administration, is primarily meant to
assist the state government in policy-making and in discharging its legislative functions.
The main functions of the State Secretariat are as follows:

i) Assisting the ministers in policy-making, modifying policies from time to time and
discharging their legislative responsibilities;

ii) Framing draft legislation, and rules and regulations;

iii) Coordinating policies and programmes, supervising and controlling their execution,
and reviewing of the results;

iv) Budgeting and control of expenditure;

v) Maintaining contact with the Government of India and other state governments;
and

vi) Overseeing the smooth and efficient running of the administrative machinery, and
initiating measures to develop greater personnel and organisational competence.

The administrative philosophy to which the secretariat system owes its existence is that
policy-making must be kept separate from policy execution. Several advantages claimed
in favour of such an arrangement are:

42
i) Freedom from operational involvement makes the policy-making apparatus State Secretariat:
forward looking and allows it to think in terms of overall goals of government Organisation and
Functions
rather than narrow, sectional interests of individual departments.

ii) Policy-making receives the time and attention it deserves, if different set of persons
are charged with the functions of policy-making as well as its execution. This is
because, policy-making is a serious exercise in drawing up what would be a future
course of action. It should not be treated as less urgent than policy execution,
which involves routine, day-to-day administration.

iii) Secretariat serves as a disinterested adviser to the Minister. It is important to

remember that the Secretary is the Secretary to the government and not to the
Minister concerned, which ensures objective examination of the proposals coming
from the Executive Department. It enables a more balanced scrutiny of proposals.

iv) Policy-making must be separated from current administration; and day-to-day

implementation should be left to a different agency with executive freedom, which
ensures delegation of authority.

It should be in order at this stage to portray the broad dimensions of the

Secretariat’s role in some detail. The foremost of these is the Secretariat’s role in
policy-making. It assists the ministers in the formulation of government policies. This
has many aspects. First, the Secretary supplies to the Minister all the data and information
needed for policy formulation. Second, the secretaries sometimes provide the
programmes, with content by working out their details, on whose strength ministers are
voted to power. Third, the Secretariat assists ministers in their legislative work. Drafts
of legislations to be introduced in the legislature by ministers are prepared by the
secretaries. Besides, to answer questions in the Legislature, the Minister needs relevant
information; and the Secretary supplies this information to the Minister. In addition, the
Secretary also collects information required with respect to the legislative committees.

Fourth, the Secretariat functions as an institutionalised memory. This means that the
emerging problems require an examination in the light of precedents. Records and files
maintained in the Secretariat serve as an institutional memory, and ensure continuity and
consistency in the disposal of cases. Fifth, the Secretariat is a channel of communication
between one government and another, and between the government and such agencies
as the Finance Commission. Finally, the Secretariat evaluates and keeps track of
execution of policies by the field agencies.

3.4 STRUCTURE OF A TYPICAL SECRETARIAT

DEPARTMENT
Vertically, a typical Secretariat Department has two hierarchical formations that of the
officers and, what is described as the office.

Officers

Conventionally, the officers’hierarchy had three levels. Under this, a typical administrative
department is headed by a Secretary who will have a complement of Deputy Secretaries
and Under/Assistant Secretaries. But with growth in the functions of various secretariat
departments, the number of levels in the officers’ hierarchy has been on the increase. As
a result, between the Secretary and the Deputy Secretary, in some states, positions of
Additional and/or Joint Secretaries have also been created.
43
State and District Office
Administration
A unique feature of the Secretariat system in India has been the distinction between its
two component parts – “the transitory cadre of a few superior officers” and “the
permanent office”. The officers in each department, because they hold tenure posts,
come and go. It is the office, which is manned by permanent functionaries, which provides
the much needed element of continuity to the Secretariat department. Unlike officers,
the office constitutes the permanent element in the Secretariat system. The office
component is comprised of superintendents (or section officers), assistants, clerks,
computer operators etc. The office performs the spadework on the basis of which the
officers consider cases and make decisions. Office supplies officers with materials,
which constitute the basis for decision-making.

The structure of a typical Department can be depicted as follows:

Department - Secretary
Wing - Additional/Joint Secretary
Division - Deputy Secretary
Branch - Under Secretary
Section - Section Officer

The Section is the lowest organisational unit and it is under the charge of a Section
Officer. Other functionaries in a section are assistants, clerks, computer operators, etc.
A Section is referred to as the office. Two Sections constitute the Branch, which is
under the charge of an Under Secretary. Two branches ordinarily form a Division,
which is headed by a Deputy Secretary. When the volume of work of a department is
more than a Deputy Secretary can manage, one or more Wings are established with a
Joint Secretary in charge of each Wing. At the top of the organisational hierarchy is the
Secretary who is in charge of the Department.

3.5 PATTERN OF DEPARTMENTALISATION IN

STATE SECRETARIAT
Each Secretary is normally in charge of more than one Department. The number of
Secretariat departments would therefore be larger than the number of secretaries. The
number of secretariat departments, quite naturally, varies from state to state. The number
of departments in a particular state is not necessarily related to its size in terms of
population. For instance, in 2020, a small state like Mizoram had as many as 48
Secretariat Departments, the corresponding figure for Gujarat (which is a much larger
state) had 25 Departments. There are 53 departments in Haryana (Government of
Haryana, Departments, [Link] In this regard, following
is a typical example of the pattern of departmentalisation of selected departments in
Haryana:

 Home Department

 Department of Agriculture and Welfare, Haryana

 Department of Higher Education, Haryana

 Electronics & Information Technology Department

 Finance Department, Haryana

44
 Food, Civil Supplies & Consumer Affairs Department, Haryana State Secretariat:
Organisation and
 Haryana Police Department Functions

 Public Works Department

 Department of Town & Country Planning

 Women and Child Development Department

 Development & Panchayats Department, Haryana

 Department of Economic and Statistical Analysis, Haryana

 Food & Drug Administration Haryana

 Haryana State Legal Services Authority.

Large number of departments, in most of the states is created on the basis of factors
such as volume of work, importance attached to certain items, political expediency etc.
Partly, such increase in the number of departments may arise from the peculiar problems
a particular state may face. In this context, the Second Administrative Reforms
Commission observed that a small and compact Secretariat in which all activities and
functions are kept together in one department with more responsibilities devolved on
local governments and executive work, which is not related to policy-making and
monitoring, hived off to executive agencies is necessary for good governance at all
levels of administration. Thus, there is an urgent need to rationalise the number of
Secretariat Departments in the State Governments (Second Administrative Reforms
Commission, 2009, p. 28 [Link]

Check Your Progress 1

Note : i) Use the space given below for your answers.

ii) Check your answer with those given at the end of the Unit.
1) In what way has the significance of the word “Secretariat” changed in the post-
Independence period from that in the pre-Independence period?

......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
45
State and District 3) Discuss the typical pattern of departmentalisation in the State Secretariat.
Administration
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................

3.6 DISTINCTION BETWEEN SECRETARIAT AND

EXECUTIVE DEPARTMENT: DISCRETE
PROCESSES OR A CONTINUUM
The Secretariat Department must be distinguished from the Executive Department. The
Secretariat has the function of aiding, assisting and advising the Political Executive in
arriving at policy choices. The heads of Executive Departments – who are in the main
known as Director (although other nomenclature is also used to refer) – have the
responsibility of implementing policies formulated by the Political Executive. Thus the
Secretaries assist in policy formulation, whereas the Directors’ role lies in executing
policy.

Each Secretariat Department is in charge of a number of Executive Departments. This

number varies over a wide range with some departments taking charge of a much larger
number of executive heads than others. There is an average of 6 to 7 executive
departments in relation to one Secretariat Department. However, it must be carefully
noted that not all secretariat departments have executive departments attached to them.
Some of the Secretariat departments are engaged in advisory and controlling functions
and therefore do not have executive departments reporting to them. Examples are
Departments of Law, Finance etc. The Secretariat and Executive departments
organisationally express the policy formulation and policy execution processes involved
in the functioning of the government; the two may be looked upon as extensions of the
personality of the Council of Ministers.

The Secretariat Department is normally headed by a generalist civil servant (drawn

from the IAS), and the Executive Department by a specialist. The specialist (the head
of the Executive Department) functions under the supervision of the generalist (the
Secretary or the Head of the Secretariat Department). This can be illustrated with
some examples, Director of Agriculture, who is a specialist, is trained in and holds a
formal degree in agricultural sciences, would function under the supervision of the
Secretary, Agriculture (a generalist, an IAS). The latter represents Agriculture
Department at the Secretariat level, whereas the Director of Agriculture represents
Agriculture Department at the Executive level. The Director is the Executive Head of
the Agriculture Department- the Directorate of Agriculture. Likewise, the Home
Department in the Secretariat has the Director-General of Police as its Executive Head
of the Department. Similar correlation obtains between Education Secretary and
Education Director, Industries Secretary and Industries Director, Social Welfare
Secretary and Social Welfare Director, and so on.

We have emphasised the distinctness of the roles of the Secretariat and the Directorate
by saying that, while the former is concerned with policy formulation, the latter is
concerned with policy execution (or with administering policy or to put it yet more
46
simply, the administration). The question which may, therefore, be asked is whether
policy and administration are discrete processes. The answer is that at a conceptual State Secretariat:
level, the two are distinct and it is possible to identify and define them as two clearly Organisation and
Functions
distinguishable phenomena. But at a ‘practical plane, the two are inextricably interlinked,
even tend to become indistinguishable and, therefore, it is difficult to say where the
policy ends and administration begins.

Policy is concerned with political choices and involves questions of broader values,
whereas administration is concerned with implementing programmes emanating from
particular policy decisions. Administration, therefore, involves such details of execution
as framing organisational structures, staffing of organisations, coordinating activities,
directing, controlling, and motivating the personnel and so on. That the two are
dichotomous is the traditional view, which owes its origin to Woodrow Wilson’s essay
of 1887, “The Study of Administration”. Politics, he said, is the proper activity of
Legislature and other policy-making groups (e.g., political parties, cabinet, etc.).
Administration is the sphere of administrators who carry out the policies stated in the
laws. The context of the dichotomy was the civil service reform movement of the 1880s
in the United States, which aimed to eliminate political interference in civil service. It
was argued that civil service recruitment should, in the interest of administrative efficiency,
be based on considerations of merit and fitness rather than partisan politics. In other
words, politics should be kept out of administration. Max Weber further justified
separation of policy from administration by arguing that the attributes of politicians are
exactly the opposite of those of the civil servants. The essence of politics is to take a
stand, to take personal responsibility for the policies decided on, and to admit the
transitory nature of the political role. The essence of administration is to execute
conscientiously the order of the political authority, even if it appears wrong to the
administrator. The administrator is politically neutral. S/he simply does what s/he is
asked to do and assumes no personal responsibility.

However, the complexities of governmental operations have increasingly required

administrators to become involved in policy-making or political decisions. As a result of
this, it is in practice found to be difficult to draw a clear boundary separating policy and
administration, or to say where policy ends and administration begins. This would be
clear from the following description.

Sources of Administrative Expertise

There are several sources from which the modern day administrators have obtained a
kind of “expertise”, which the politicians need to use when formulating policies. The
administrators stay in office longer (they are career civil servants) than the politicians,
who come and go with elections, the former have opportunities of giving sustained
attention to problems. From this, they gain an invaluable kind of practical knowledge
that comes from the experience of handling these problems day in and day out. This
knowledge is conserved in records and transmitted to new generations of civil servants
through training programmes. This monopoly of experience and practical knowledge
coupled with continuity in office gives them a decisive edge over politicians in framing
policies. The administrators are in possession of facts, figures, information and intelligence
regarding the specific areas in which policies are to be framed. Politicians would need
these data and statistics in formulating policies. Administrative expertise also comes
pre-eminently from the fact that the governments of today employ a large variety of
professionals (doctors, engineers, scientists, economists, etc.). They possess technical
knowledge, which forms a vital input in policy-making. The advent of merit system has
also helped to build up administrative expertise by attracting better talent in civil service
and loosening the grip of politicians on civil service. 47
State and District Administrators’ Role in Policy-Making
Administration
The increase in civil service expertise, together with growth in the functions of government
and growing complexity of administration, has resulted in an increasing dependence of
politicians on administrators in the task of policy-making. This is reflected in the following:
i) Policy-making exercise is done on the basis of facts, figures, information and data,
which are supplied by the bureaucracy. In other words, politicians, in order to
enhance the credibility of the policies they frame, depend on the administrators’
data support to their policies.
ii) Civil servants based on their long administrative experience, tender advice to the
politicians on the administrative, technical and financial feasibility of the various
policy options under consideration.
iii) Civil servants prepare the draft legislations (bills), which after ministerial approval
are placed before the legislature for its consideration. In other words, administrators
initiate the process of public policy formulation, which in its final form assumes the
shape of an Act passed by the Legislature.
iv) Administrators formulate policy through the exercise of administrative discretion.
When an administrator is required to choose between alternative courses of action
within a policy frame, s/he is said to exercise discretion. In this sense, administrators
are described as supplementary lawmakers. Here, the actual content of policy
becomes entirely a matter for bureaucratic determination. The administrators
actually decide how the power of the State shall be used in specific cases. In
modern times, there has been an increase in administrative discretion by virtue of
an incessant increase in the volume of legislation to be enacted. Legislature is
under the circumstances, compelled to confine itself to indicating broad framework
of law, leaving details to be filled up by the administrative agencies.

The growing variety and complexity of laws to be enacted has further circumscribed
the Legislature’s competence. The legislators do not have the technical know-how and
training to venture into the details of particular legislation. This further necessitates exercise
of administrative discretion. At any rate, if the Legislature delves into the details of each
law, this would be at the cost of other important duties and functions of the legislators
and therefore an undesirable thing to happen. This coupled with the assurance that it
has the necessary means available to hold administration accountable to itself, which
encouraged the Legislature in its attitude of not delving too deeply into the details of the
enactment it formulates. Ultimately, the policy is to be executed in the field where an
administrator must necessarily face a bewildering variety of situations as s/he sets herself/
himself to the task of policy execution. For the law making agency, it is clearly not
possible to visualise, at the point of legislation, the different variety of situations that may
arise in the field. For this reason, once again, the policy-makers must do no more than
to provide only broad guidelines in the legislations they frame.

3.7 CHIEF SECRETARY

Every state has a Chief Secretary. This functionary is the kingpin of the State Secretariat,
her/his control extending to all secretariat departments.

3.7.1 Position of Chief Secretary

S/he is not simply first among equal, s/he is, in fact, the chief of the Secretaries. The
Chief Secretary’s pre-eminent position is clearly reflected in the varied roles s/he assumes
48 in the state administrative set-up.
The Chief Secretary is the chief advisor to the Chief Minister and Secretary to the State State Secretariat:
Cabinet. S/he is the head of the General Administration department whose political Organisation and
Functions
head is the Chief Minister herself/himself. The Chief Secretary is also Head of the Civil
Services in the State. S/he is the main channel of communication between the State
Government and the Central and other State governments. The Chief Secretary is the
Chief Spokesman and Public Relations Officer of the State Government, and is looked
upon to provide leadership to the state’s administrative system.

The office of the Chief Secretary is an institution unique to the states; it is without a
parallel in the administrative landscape of the entire country. The Chief Secretary’s
office has, for instance, no parallel in the Central Government. The work s/he performs
in relation to the State Government is, at the Union level, shared by three high-ranking
functionaries of more or less an equal status, i.e., Cabinet Secretary, Home Secretary
and Finance Secretary, This is a vivid reflection on the wide scope of the duties and
powers of the Chief Secretary.

Yet another significant reflection on the position of the Chief Secretary’s office is the
fact that it has been excluded from the operation of the tenure system. The Chief Secretary
would normally retire as the Chief Secretary or else s/he would, from this position,
move to the Union Government to take up a more important position.

In considering the position of the Chief Secretary, another fact needs to be taken note
of that the incumbent of this office is not necessarily the senior most civil servant of the
State. This was at any rate the situation till 1973 when, for instance, in Uttar Pradesh,
the Chief Secretary was junior in rank and seniority to the members of the Board of
Revenue. Since 1973, however, the office of the Chief Secretary has been standardised;
and its incumbent since then has begun to hold the rank of the Secretary to the
Government of India, and receives emoluments admissible to the latter.

How does the clamping of the Presidents’ rule on a state affect the Chief Secretary’s
Office? Where the Centre does not appoint advisers during the President’s rule, the
Chief Secretary becomes clothed with the powers belonging to the Chief Minister.
When, however, central advisers are appointed, it tends to inhibit the Chief Secretary in
her/his administrative capacity because the former are drawn from the ranks of senior
civil servants (senior to the state’s Chief Secretary). As a result, a hierarchical relationship
becomes operative.

3.7.2 Chief Secretary’s Functions

The principal functions of the Chief Secretary are listed below:

 S/he is the principal adviser to the Chief Minister in which capacity s/he, inter-alia,
works out the detailed administrative implications of the proposals made by the
Minister and coordinates them into a cohesive plan of action.

 The Chief Secretary is the Secretary to the Cabinet. S/he prepares the agenda for
Cabinet meetings, arranges them, maintains records of these meetings, ensures
follow-up action on Cabinet decisions, and provides assistance to the Cabinet
Committees.

 The Chief Secretary is the Head of the Civil Services of the State. In that capacity,
s/he decides on the postings and transfers of civil servants.

 By virtue of the unique position s/he holds as the head of the official machinery and
49
State and District adviser to the Council of Ministers, the Chief Secretary is the coordinator-in-chief
Administration of the Secretariat departments. S/he takes steps to secure inter-departmental
cooperation and coordination. For this purpose, s/he convenes and attends a
large number of meetings at the Secretariat and other levels. Meetings serve as a
powerful tool of effective coordination and securing cooperation of different
agencies.

 As the Chief of the secretaries, the Chief Secretary also presides over a large
number of committees and holds membership of many others. Besides, s/he looks
after all matters not falling within the jurisdiction of other Secretaries. In this sense,
the Chief Secretary is a residual legatee.

 The Chief Secretary is the Vice-Chairman, by rotation, of the Zonal Council, of

which the particular state is a member.

 S/he exercises administrative control over the Secretariat buildings, including matters
connected with space allocation. S/he also controls the Central Record Branch,
the Secretariat Library, and the conservancy and watch and ward staff. The Chief
Secretary also controls the staff attached to the Ministers.

 In situations of crisis, the Chief Secretary acts as the nerve centre of the State,
providing lead and guidance to the concerned agencies in order to expedite relief
operations. It would be no exaggeration to say that in times of drought, flood,
communal disturbances, etc., s/he virtually represents the government for all the
functionaries and agencies concerned to provide relief.

In conclusion, it may be noted that a host of personnel matters and many other minute
and unimportant administrative details consume a sizeable chunk of the Chief Secretary’s
time. The Administrative Reforms Commission is constrained to agree with the following
observations of the Maharashtra Reorganisation Commission (1962-68) on the manner
in which the Chief Secretary has become burdened with trivial details, “… it seems
unfortunate that the highest official in the state has to sign gazette notifications of
appointments, promotions, transfers, leave, etc., that s/he has to spend time on minutiae
of protocol, passports, etc.”. To rectify this situation, the ARC has recommended that
this functionary be relieved of the work of routine nature as well as be provided with
appropriate staff assistance. That alone will ensure speedy implementation of decisions
and effective coordination of policies and programmes of the state government.

Check Your Progress 2

Note : i) Use the space given below for your answers.

ii) Check your answer with those given at the end of the Unit.
1) Explain the major differences between the Secretariat and Executive departments.

50
2) Discuss the policy-making role of the administrators. State Secretariat:
Organisation and
...................................................................................................................... Functions

3.8 CONCLUSION
The term Secretariat refers to the complex of departments, which at political level, are
headed by Ministers and, at an administrative level, by Secretaries. The Secretaries
assist Ministers in the task of policy formulation, and in their legislative duties.
Organisationally and functionally, the heads of the executive departments constitute
separate and distinct administrative units, which are hierarchically subordinate to the
Secretariat departments. In most cases, executive departments are designated as
Directorates because their heads are, in most cases known as Directors. The
Directorates execute policy. Each Secretariat Department is usually in charge of a number
of Directorates.

Policy and administration, though conceptually distinct categories are at a practical

plane, inextricably interlinked. They form a continuum, it is difficult to say where the
policy ends and administration begins. This is because the administrators work as
supplementary policy-makers, and have, besides, a large policy-making role to perform.

The Chief Secretary, as the head of the administrative set-up of the state, performs
important leadership and coordination functions. This functionary is the nerve centre of
the State Secretariat. This Unit has highlighted all these aspects of state administration.

3.9 GLOSSARY
Chief Secretary as a : The matter, which does not fall within the
Residual Legatee jurisdiction of other secretaries is passed on to
the Chief Secretary.
Line and Staff : This refers to the division between those agencies
and individuals engaged mainly in implementing
policy, and those concerned primarily with
providing advice and assistance to the Chief
Executive. Whereas, the staff agencies are
charged with aiding the Chief Executive, line
officials are engaged in developing and 51
State and District implementing policies. Broadly Speaking, the
Administration Directorate is a line agency and Secretariat is a
staff agency.

Department : Literally, the word department means a part or

portion of a larger whole. Sometimes, it is used
to denote parts of things other than the
administrative structure, however, in the present
context; the term department refers to the biggest
blocks or compartments, immediately below the
Chief Executive, into which the entire work of
government is divided. It is thus, the highest and
the biggest organisational formation below the
Chief Executive.

3.10 REFERENCES
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.

Avasthi, A. (1980). Central Administration. New Delhi, India: McGraw Hill.

Government of Haryana. Departments. Retrieved from [Link]

departments/

Government of India. (2009). Second Administrative Reforms Commission (15th

Report), State and District Administration. Retrieved from [Link]
sites/default/files/[Link]

Maheshwari, S.R. (1979). State Governments in India. Delhi, India: Macmillan.

Maheshwari, S.R. (2001). Indian Administration. New Delhi, India: Orient Blackswan
Private Limited.

The Constitution of India. Retrieved from [Link]

constitution-india/constitution-india-full-text

3.11 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1

1) Your answer should include the following points:

 Origin of the term Secretariat in India during pre-Independence era, when it

was referred to as Secretary’s Office.

 Ministry became the seat of authority after independence and importance

has been given to the popularly elected ministers.

 In the changed political situation, the Secretary is the principal advisor to the
Minister and both work together, and the Secretariat is referred to as
conglomeration of departments whose political heads are ministers and
administrative heads are the secretaries.
52
2) Your answer should include the following points: State Secretariat:
Organisation and
 The Secretariat assists the ministers in preparing drafts of legislations to be Functions
introduced in the Legislature.

 Provides necessary information for answering questions in the Legislature.

 Collects information required with respect to the Legislative Committees.

3) Your answer should include the following points:

 Refer Section 3.5.

Check Your Progress 2

1) Your answer should include the following points:

 Policy formulation is function of the Secretariat Department, while the function

of the Executive Department is that of policy execution.

 The Secretariat Department headed by a generalist and the executive

department by a specialist.

 Functioning of the specialist or the head of the Executive Department under

the supervision of the head of the Secretariat Department.

2) Your answer should include the following points:

 Administrators draft legislation.

 They provide data support.

 They tender advice to politicians.

 They formulate policy through exercise of administrative discretion.

3) Your answer should include the following points:

 Refer Section 3.7 (3.7.2).

53
UNIT 4 PATTERNS OF RELATIONSHIP
BETWEEN THE SECRETARIAT AND
DIRECTORATES*
Structure

4.0 Objectives

4.1 Introduction

4.2 Directorates: Meaning and Organisation

4.3 Types of Executive Agencies

4.4 Board of Revenue

4.5 Factors Shaping the Secretariat-Directorate Relationship

4.6 Basis of Advocacy of Secretariat and Directorates

4.7 Emerging Patterns of Relationship between the Secretariat and Directorates

4.7.1 The Status-quo Approach
4.7.2 The Bridging the gulf Approach
4.7.3 The De-amalgamation Approach

4.8 Conclusion

4.9 Glossary

4.10 References

4.11 Answers to Check Your Progress Exercises

4.0 OBJECTIVES
After studying this Unit, you should be able to:

 Discuss the meaning, significance and role of Directorates;

 Explain the significance of Directorates at the state as well as sub-statal levels;

 Highlight the position and significance of the Board of Revenue as a state level
revenue agency;

 Describe the factors shaping the Secretariat-Directorate relationship, and identify

their strong and weak points; and

 Examine the possible approaches, which might be invoked to generate alternative

models of the Secretariat-Directorate relationship.

54 * Adapted from BPAE-102, Indian Administration, Block-3, Unit-14.

Patterns of
4.1 INTRODUCTION Relationship between
the Secretariat and
This Unit discusses a diverse range of agencies at the state level. Two state level agencies Directorates
(i.e., Directorates and the Board of Revenue) are discussed here, and Directorate-
Secretariat relationship is also brought out. The Unit essentially highlights the following
terms/concepts/institutions/ factors at the regional level:
Directorates
Directorates are the executive arm of the state government. They translate into action
the policies that are framed by the State Secretariat. Even though the terms “Directorates”
and “Executive Agencies” are often used interchangeably, Directorates are but one
type of executive agency. This point is pursued later in the Unit. Directorates, as we
shall see, are classified into two categories — Attached Offices and Subordinate Offices.
This classification facilitates academic comprehension of the roles, which the two types
perform in policy execution.
Regional Administration
As the Directorates are concerned with policy execution, and the execution of policy
must necessarily take place in the field (i.e., at the district, block and village levels),
therefore the need arises for them (Directorates) to create intermediate level administrative
agencies to coordinate and supervise the field operations. This intermediate level
administrative setup between the state headquarters (Directorate) and the district is
referred to as “regional administration”. A generic term, which is used to refer to regional
level agencies (and those at district and lower levels) could be called sub-statal agencies,
because they exist at levels below the state headquarters. Each region comprises a
certain number of districts. Thus, a region is a real unit below the state level and above
the district level. As a rule, though not always, all executive departments at the state
headquarters have regional organisations; names which these regional agencies carry
vary from department to department.
Divisional Commissioners
Divisional Commissioners, referred to above, are regional agencies in respect of the
states’ revenue function. Work of revenue administration at the state headquarters, in
some states, is entrusted not to a government department, but to an autonomous agency
called the Board of Revenue. Therefore, Divisional Commissioners are but the regional
level representatives of the Board of Revenue.
Board of Revenue
Board of Revenue is an administrative innovation of a great significance. This institution
was created way back in 1786 to relieve state governments of the detailed work in the
field of revenue administration. Since then, a large number of states in India have created
Boards of Revenue. The equivalents of the Board of Revenue in states, which have not
created the boards, are Finance Commissioners or Revenue Tribunals such as Gujarat
Revenue Tribunal.
As you have already read, the Secretariat, as the policy-making body and Directorate,
as the policy implementing agency, constitute the two wheels of the governmental
machinery; unless they achieve a certain measure of coordination and cooperation, the
ability of the machinery to deliver goods will be hampered.
At a theoretical plane, the two have well-defined powers, jurisdiction and roles but, in
practice, various factors blur the demarcations leading to estrangement and mutual
acrimony between the two wings, ultimately affecting the performance of the government. 55
State and District The question of relationship between the Secretariat and Directorate is important per
Administration se. It, however, assumes added significance in a situation where this relationship has
deflected from its original course, as has happened in India, and as would, in fact,
happen in any dynamic situation. Why has the relationship between the two tended
towards some kind of estrangement? Can some alternative models be suggested to
reformulate the relationship between Secretariat and Non-Secretariat organisations?
In this Unit, these questions are being explained.

4.2 DIRECTORATES: MEANING AND

ORGANISATION
Meaning and Nomenclature
As has been explained in the last Unit, the Secretariat is concerned with the setting of
the broader policies and goals of the state government, while the responsibility for
achieving those goals and executing those policies rests with the Heads of the Executive
departments. The executive agencies are as a rule located outside the Secretariat and
constitute distinct organisational entities. A popular label to identify an executive agency
is “Directorate”. In a large number of cases, the heads of the Executive Agencies are
known as Directors. Many examples of this could be cited: Director of Agriculture,
Director of Animal Husbandry, Director of Education, Director of Social Welfare,
Director of Public Health, Director of Town Planning, and so on.
However, other nomenclatures are also used to refer to the heads of the Executive
departments. Thus, the executive head of the Department of Police is known as the
Inspector/Director General of Police; that of the Jail Department, the Inspector-General
of Prisons; that of the Cooperative Department, the Registrar of Cooperative Societies;
that of the Irrigation Department, the Chief Engineer (Irrigation); that of the Printing and
Stationery Department, the Controller and so forth. In other words, although in a large
number of cases, the Heads of the Executive departments are called Directors, they are
also known by other names.
Organisation of Directorates at the State and Sub-Statal Levels
Apart from the state level, the executive agencies also function at the sub-statal levels.
This is quite natural because, while the policy is formulated at one centre (the state
headquarters: the state headquarters is signified by Secretariat and Directorates), its
execution takes place in the field. Therefore, the Directorates must make a conscious
effort at achieving a vertical penetration down to the grassroots level. When this is
done, lesser Directorates emerge at the regional level. The State level Executive
Department establishes offices in the regions. A region is simply a territorial unit below
the state but above the district level. When this process progresses further down the
line, the district, block and village level field agencies of a Directorate emerge.
At the state level, the headship would normally be with a “full” Director who would be
assisted by a group of lesser Directors: Additional Directors, Senior Joint Directors,
Joint Directors, Deputy Directors, Assistant Directors, and other functionaries. Of course,
as would be understood, depending upon the workload of a department, the number of
levels of hierarchy at the headquarters could be larger or smaller. The regional level
setup of an Executive Department, would usually be headed by an officer of a lower
rank, a senior Joint Director in this case. It could indeed even be a person of simply a
Joint Director or even lower level that would again depend on the workload and other
factors. Many district level offices of the Executive Departments are headed by Deputy
56
or even Assistant Directors. Again, many factors will combine to determine the rank of Patterns of
the officer who may head the district level setup. Relationship between
the Secretariat and
At the level immediately below the District (Block level), each development department Directorates
is represented by an Extension Officer who is a part of the extension team, functioning
under the Block Development Officer. Thus, to take an example, there would be an
Agriculture Extension Officer in each Block, representing the state level Directorate of
Agriculture. At the village level, as is well-known, there exist the multi-purpose extension
functionaries known as the Village Level Workers (VLWs).

4.3 TYPES OF EXECUTIVE AGENCIES

With a steady increase in the functions of government, the executive agencies have
grown in number as well as variety. The two most familiarly known executive agencies
are the attached offices and the subordinate offices. What needs to be remembered is
that with the growing governmental functions, a variety of organisational patterns have
been evolved to suit the requirements of the varied range of functions, which the
government is increasingly taking on.
Role of Attached and Subordinate Offices
Let us now briefly see what are Attached and Subordinate Offices, which, as we have
above stated, are the two most important forms of executive agencies. The Manual of
office Procedure describe these as:
“Where the execution of policies of government requires decentralisation of executive
direction and the establishment of field agencies, a Ministry has under its domain, the
subsidiary offices, which are Attached and Subordinate Offices. The Attached Offices
are responsible for providing executive direction required for the implementation of the
policies laid down by the Ministry to which they are attached. They also serve as
repository of technical information and advice to the Ministry on technical aspects of
the questions dealt with by them. The Subordinate Offices function as field establishments
or as the agencies responsible for the detailed execution of the decisions of government.
They generally function under the direction of an Attached Office...”
Thus, the Attached Offices have in essence a two-fold function. First, they furnish technical
data and advice to the Ministry to which they are attached. (Ministry is the policy-
making body, but this policy-making exercise must be based on technical information
and advice. It is the Attached Office, which supplies this assistance to the Ministry).
The second function of the Attached Office is to provide executive directions to the
agencies, which are responsible for implementing the policies of the Government.
As a contrast with the Attached Office, a Subordinate Office functions as the field
establishment or as an agency responsible for detailed execution of policies and
programmes of the Government. As a rule, it functions under an Attached Office.

4.4 BOARD OF REVENUE

The Board of Revenue, as the name itself suggests, is an agency, at the state level,
concerned with revenue administration in the state. Although, it exists at the state level,
it is not a part and parcel of the state government machinery. The preceding statement
is intended to underline and emphasise the fact that unlike the government
departments – which are a part and parcel of the governmental machinery- the Board
of Revenue is an autonomous agency created under a statute. By virtue of this fact, the
Board has an existence, distinct and separate from the Government. The Board of 57
State and District Revenue in Uttar Pradesh composed of a Chairman and two Members on administrative
Administration side and seven Members on the judicial side. “It is responsible for supervision and
control of all Land Records, Settlement and Revenue matters, administrative and Judicial,
in the State. According to the provisions of section 5 of the U.P Land Revenue Act, the
control of all non-Judicial matters connected with land revenue, other than matters,
connected with settlement, is vested in the state Govt. and control of all judicial matters
and of all matters connected with settlement is vested in the Board.” The U P Government
has delegated many powers to the Board to control non-judicial matters, which are
related to the land revenue also (Board of Revenue, [Link]
revenus/).
The Board as a Supra-district Level Agency
The principal justification for the creation of Board of Revenue lies in that it relieves the
state government of the detailed work in the field of revenue administration. The fact
that it exists at the state level should not be allowed to blur the truth that the Board of
Revenue is an agency, separate from the Central or State Government as such (since it
is a statutory body, it is endowed with a distinct legal identity of its own). The major
administrative functions of the Board include supervision, direction and control of the
work of Divisional Commissioners, Collectors, Sub-Divisional Officers and Tahsildars.
It also performs inspection of the work of Tahsildars, Collectors and Commissioners;
and submits annual remarks to the Government about their work and conduct. This,
coupled with the fact that it discharges supervisory functions in relation to the District
Collector’s lends justification to its classification as a supra-district level agency.
The Pattern of Revenue Administration at the Supra-district Level
There is no uniformity in the pattern of revenue administration at the supra-district level
in the country. In this connection, two points need to be particularly remembered. First,
there are some states in which there are two administrative agencies (one at the state
headquarters level and another at the regional level) between the district and the state
government; and there are others in which there is only one administrative agency.
Second, all states do not have a Board of Revenue; some have, in place of the Board,
a Financial Commissioner or Department of Revenue. In these terms, following five
distinct patterns of revenue administration at the supra-district level can be identified:
Pattern One
Under this, there is only one intermediate level, i.e., the Board of Revenue, with no
regional/divisional level revenue setup (known as the Divisional Commissioner).
Pattern Two
Under this pattern, there are two intermediate agencies, viz., Board of Revenue and
Divisional Commissioners.
Pattern Three
Under this pattern also, there are two intermediate agencies. But here there is no Board
of Revenue; the Board’s equivalent under this pattern is Financial Commissioner. So,
under this pattern, there is a Financial Commissioner at the headquarters level and
Divisional Commissioner at the regional level.
Pattern Four
Under this pattern, again, there are two intermediate agencies. But, as is the case with
58 the Pattern three, here also there is no Board of Revenue. The Board’s equivalent,
under this pattern, is the Revenue Tribunal. The two intermediate links here, therefore, Patterns of
consist of (i) revenue tribunal, and (ii) Divisional Commissioner. This pattern is prevailing Relationship between
the Secretariat and
in Maharashtra and Gujarat. Directorates
Pattern Five
This pattern is prevalent in Andhra Pradesh (now the state is bifurcated into Andhra
Pradesh and Telangana), where the Board of Revenue was abolished in 1977 and
since then its functions are being discharged by independent Heads of Departments
called Commissioners. “The Chief Commissioner of Land Administration (CCLA) is
the chief controlling authority for the revenue administration consisting of Revenue,
Survey, Settlement & Land Records and Urban Land Ceiling Departments. CCLA
exercises statutory functions and general superintendence over all the functionaries of
Revenue Department.” The CCLA is a link between the Government and the Revenue
administration; and monitors and guides the District Collectors and advises the State
Government in policy matters (Chief Commissioner of Land Administration).
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Highlight the different types of executive agencies.
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
2) Why should the Directorates have sub-statal formations?
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
3) Discuss the status and position of Board of Revenue.
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................

59
State and District
Administration 4.5 FACTORS SHAPING THE SECRETARIAT-
DIRECTORATE RELATIONSHIP
The Secretariat and Directorate constitute two wheels of the governmental machinery.
Unless they achieve a certain measure of coordination and cooperation, the ability of
the machinery to deliver goods is hampered. Two sets of factors have played a dominant
role in shaping the Secretariat-Directorate Relationship at the state level. Of these, one
concerns the functioning of the Secretariat at a practical plane. The second is concerned
with the expansion that has lately come about in the Secretariat- its role, personnel,
number of administrative units of which it is comprised, and so on. Of course, the two
factors are closely inter-related; it is to facilitate academic understanding of the matter
that these are being dealt with separately here. It may be noted, it is these very factors
which – as they work themselves out – generate situations, which tend to build up
tension in the Secretariat-Directorate relationship.
Different Aspects of the Functioning of Secretariat
The institution of Secretariat has attracted considerable criticism. One cannot perhaps
find fault with the Secretariat as a concept, for at a conceptual plane, it is meant to
encourage division of labour (between policy-making and policy executing agencies)
and specialisation, which results from such compartmentalisation of work. Again, at a
conceptual level, the idea of Secretariat is meant to promote delegation of authority
from policy-making to policy execution level. By implication, it discourages centralisation
and concentration.
However, in practice, these advantages of the Secretariat system have failed to fully
materialise. There is a large divergence between what is held to be valid in theory and
what is achieved in practice. The manner of functioning of the Secretariat and its
overbearing attitude have generated tensions in the Secretariat-Directorate relationship
and adversely affected the advantages commonly ascribed to the Secretariat system.
The substantive points of criticism against the Secretariat, which have a bearing on its
relationship with the Executive departments, are placed below:
i) The Secretariat has an expansionist attitude, meaning it has arrogated to itself
functions, which do not belong to it. It does not confine itself to policy-making,
instead the Secretariat freely engages in matters of executive nature. This
encroachment has materially weakened the authority of the executive agencies.
ii) The Secretariat hesitates to delegate adequately to the Executive Agencies. As a
result of this, the execution of policies is delayed. Besides, the initiatives of the
Executive Agencies are cramped through the need for repeated consultations with,
and approvals from, the Secretariat.
iii) Scrutiny, in the Secretariat, of proposals submitted by the heads of the Executive
Departments begins at the clerical level. This procedure is dilatory. Besides, it
undermines the authority of the heads. As is well- known, proposals of the heads
of the departments are based on proposals received from the district and regional
level officers; and are submitted to the Secretariat after a detailed scrutiny in the
Attached Offices. If, therefore, these proposals are to be subjected to further
scrutiny, it leads to unnecessary duplication and delay.
iv) More substantively, the very idea of the generalist administrators (who staff the
Secretariat) overseeing, superintending and evaluating the work of specialists and
60 technocrats (who staff the Executive Agencies) is out of place in the modern
technological age. It is all the more untenable that the Secretariat should scrutinise Patterns of
the proposals and schemes emanating from the attached offices, the argument Relationship between
the Secretariat and
being that the lay generalists have possibly nothing to contribute in such an exercise. Directorates
The above noted situations, coupled with the fact that Secretariat has come to be
identified with the real power structure in the governmental system (it is, in fact, considered
“the government”) have unduly inflated the influence and authority of the Secretariat
and aggravated tensions between the Secretariat and Executive Departments. The
importance of Secretariat has got further enhanced since, as previously noted, it delves
into the questions not only of policy (which constitute its legitimate sphere) but also
those of execution. It has thus expanded its functional area through encroachments in
the executive sphere. This is, quite obviously, at the expense of the executive offices
and only further adds to tension between the Secretariat and Executive Agencies. Another
situation, which must be noted in this regard, is the easy access, which Secretariat
officers enjoy with the political executive. There is no gain saying the fact that this, in its
own way, contributes to the existing tensions between the Secretariat and Attached
offices. We shall be discussing the factors that have been responsible for bringing about
expansion in the role of the Secretariat; and an increase in its personnel and the number
of administrative units of which it is comprised. After all, it is partly this expansion,
which is at the root of the Secretariat-Directorate tensions. These factors are set out
below.
Factors Responsible for Expansion in the Secretariat
The foremost of these is the parliamentary system of government. The principle of
legislative accountability- under which the Minister is, inter alia, supposed to answer
questions, concerning her/his department, on the floor of the house – has brought about
centralisation of functions in the Secretariat. Also, easy access of ministers to their
constituents generates pressures on ministers in regard to matters such as appointments,
promotions, transfers, and so forth. Now, clearly, these are matters of executive nature.
The ministerial desire to nurture her/his constituency (and therefore, respond to demands
for appointments, etc.) results in the Minister’s involvement in executive matters. This is
how the Secretariat, a policy-making body, becomes involved in the matters of policy
execution.
The second factor, which has been responsible for a steady and substantial increase in
the volume of work in the Secretariat, is the governmental policy to develop the economy
through planning; and state intervention and a whole host of welfare functions which the
government has assumed. Every effort at directing and administering the economy leads
to increased volume of work in the government. Secretariat, in particular, has gained in
stature and influence from this situation. The reason for this is that more important work
as well as decisions commanding wide impact has devolved on the Secretariat.
Two factors account for this. First, the generalist secretaries are thought to possess a
breadth of vision and a well-rounded experience, which comes from the varied job
placements that an IAS officer is typically exposed to in the course of her/his career. In
contrast, the Head of the Department is considered narrow in vision and too theoretical
in approach. Secondly, the ministerial staff in the Secretariat is considered to be of a
higher calibre as compared to that in the Attached Offices. The result is that the Secretariat
attracts more business. Thirdly, as noted above, not an insignificant portion of growth
in the Secretariat is due to its taking over numerous executive functions and multifarious
unimportant tasks, which do not properly belong to it. Finally, some expansion is also
due to the tendency of the bureaucracy to proliferate in any situation. The Secretariat is,
thus, encumbered with non-essential work; and has become unwieldy and overstaffed. 61
State and District
Administration 4.6 BASIS OF ADVOCACY OF SECRETARIAT AND
DIRECTORATES
The foregoing discussion provided us the perspective in which the question of relationship
between the Secretariat and Directorates may be considered. The issues in this
relationship will emerge more clearly, if the arguments in favour of Secretariat and those
in favour of Directorates are summed up.
Arguments in Favour of Secretariat
 The Secretariat is an essential administrative institution. The Secretariat system of
work, with all its deficiencies, has lent balance, consistency and continuity to the
administration and has served as a nucleus of the total machinery of a Ministry. It
has facilitated inter-ministry coordination and accountability to the Parliament at
the ministerial level.
 The Secretariat system helps to separate policy-making from policy execution.
This is a welcome thing to happen with the Secretariat concentrating on the long-
term policy issues, and the executive agencies being given the freedom to implement
policies. It has encouraged division of work, specialisation, and above all, delegation
of authority.
 Since the Secretariat is required to concentrate on policy-making alone, it is able
to achieve freedom from involvement in matters of detailed, day-to-day
administration. This helps the Secretariat to remain forward-looking and plan in
terms of the overall, aggregative national objectives.
 The generalist secretary, who is the kingpin of the system, is uniquely suited to
advise the Minister, who is a layperson. The Secretary is, on the one hand, able to
keep the exalted fervour of the specialist head of the Department in check and on
the other, tender objective advice to the Minister, examining proposals submitted
by the Head from a larger viewpoint of the government as a whole.
 The existence of Secretariat ensures objective evaluation of programme
implementation in the field. This task cannot be left to the Executive agencies,
which actually implement policies. In this regard, they should not be asked to
judge their own performance. The Secretariat is best suited to do this job.
 Overall, the Secretariat is an institution of proven merit. It has stood the test of
time and successfully delivered goods. The combination of “tenure system” and a
permanent “office”, which has been evolved as a part of the system has given it
strength, vitality and dynamism. There is no viable substitute in sight for the
Secretariat System.
Arguments in Favour of Directorates
 Unlike the Secretariat, the Directorates are staffed by specialists who have achieved
excellence in their respective specialisations. These specialists have, moreover,
over the years, been able to gather an intimate knowledge of the field conditions.
By virtue of these facts, the Director or the Head of the Department, it is argued,
is comfortably placed to discharge the role of tendering policy advice to the Minister.
This will permit fuller projection of the Director’s experience in the policy-making
process.
 As the specialists rise in the functional hierarchy, they are able to acquire a valuable
administrative experience. This coupled with the fact that they are, by virtue of
their training, well-versed in the technical aspects of the policy issues and could
62
provide the Head of the Department a superior equipment — as compared with Patterns of
the generalist Secretaries — to tender advice on policy matters. The argument, in Relationship between
the Secretariat and
other words, is that the heads combine with administrative experience and the Directorates
valuable technical know-how, which the Secretaries lack.
 As science and technology makes rapid advances, the volume and complexity of
governmental activity of a technical and scientific character has been on the increase.
With this, specialised areas of administrative activity have emerged in the
government. The specialist Heads of Departments are uniquely suited to respond
to this situation.
 The specialist heads of departments alone, rather than the generalist secretaries,
are in tune with the modern trend of specialisation and professionalism in the
government. There is virtually no professional area, it is argued, which is not
represented in the government today. Pure sciences, medicine, veterinary science,
engineering, agricultural science, architecture, and accountancy are some of the
examples of this trend.

4.7 EMERGING PATTERNS OF RELATIONSHIP

BETWEEN THE SECRETARIAT AND
DIRECTORATES
What might be a suitable pattern of relationship between the Secretariat and non-
Secretariat organisation? On the question of evolving a suitable pattern, broadly three
schools of thought are discernible. Each adopts a different approach. Neither yields a
conclusive answer for, as we shall see in the ensuing discussion, it is possible to list
arguments for as well as against the arrangement each proposes. Based on their dominant
thrust, the three schools of thought or approaches may be referred to as the Status-quo
Approach, Bridging the gulf Approach, and De-amalgamation Approach.

4.7.1 The Status-quo Approach

The Status-quo Approach favours the traditional split system and holds that the Secretariat
and the Directorates have well-defined roles in our administrative setup to which they
should continue to stick. The approach is based on the traditional concept of staff-line
dichotomy where the Secretariat performs the role of a Staff Agency and the Attached
Office that of the Line Agency. The Status-quo Approach also accepts the traditional
policy-administration dichotomy. The advocates of this approach believe that the
relationship between the Secretariat and Directorates should be based on the following
principles:
i) Policy-making should be the responsibility of the Secretariat, and Policy
implementation that of the Directorates.
ii) Subject to the rules governing the conditions of service, the Head of Department
should have fullest control over the personnel under him.
iii) The Secretariat Department should provide common services and undertake
domestic housekeeping in respect of the Directorate(s) attached to it (for instance,
the allocation of office accommodation).

4.7.2 The Bridging The Gulf Approach

As against the School advocating Status-quo Approach there is another, which advocates
measures for bridging the gulf between the Secretariat and Non-Secretariat organisations. 63
State and District Its protagonists suggest various devices for bridging the gulf. These include (i) the
Administration conferment of ex-officio Secretariat status on the heads of Executive Departments;
(ii) the system under which a Secretary concurrently holds the office of the head of the
Executive Department; (iii) the merger or amalgamation device under which an Executive
Department is placed in a corresponding Secretariat Department; and (iv) a device,
which is a variant of point (iii), involving, once again, merger or amalgamation, but
under this device, the Secretariat Department is placed with the corresponding Head of
the Department, rather than the other way around.
Amalgamation of Directorate with Secretariat
Terms like integration, merger and amalgamation have been interchangeably used to
suggest an arrangement under which the distinction between the Secretariat and the
Non-Secretariat Organisations is completely dissolved. Under this system, the office of
the heads of the Executive Agencies is merged with the corresponding departments in
the Secretariat.
The advocacy of amalgamation is based on the argument that the encroachment of the
Secretariat into the Executive Functions is in any case, an established fact of the Indian
administrative landscape. This is so because the political executive in India is unable to
devote adequate attention to policy functions. Instead, it preoccupies itself rather quite
excessively with matters of day-to-day nature (like appointments, promotion, and
transfers). As a result, the Secretariat itself becomes involved in what are patently
executive matters and which, therefore, should, in fact, fall in the domain of the
Directorate, as ultimately the role of the Secretariat is governed by the role perceptions
of the political executive. It is thus, argued that since the role of two agencies anyhow
overlap, amalgamation would be both logical as well as desirable.
Arguments for Continued Amalgamation
Those who report favourably on the experience of amalgamation argue as follows:
i) Amalgamation has obviated the need for examination of proposals independently
by the Directorate and Secretariat.
ii) It has cut down delays and ensured expeditious disposal of cases.
iii) It has affected economy in establishment expenditure.

4.7.3 The De-amalgamation Approach

Arguments for De-amalgamation
The officials who recommend de-amalgamation give the following arguments:
i) Although amalgamation permits much economy of time in that it does away with
two parallel scrutinise of proposals, the experience has shown that, under the
amalgamated setup, the quality of final proposals/schemes has declined, which
frequently involves reconsideration. This, they point out, was not so when
Directorate and Secretariat functioned separately.
ii) Amalgamation has resulted in gradual removal of distinction between the functions
of the Heads of Departments and those of the Secretariat.
iii) Amalgamation has rendered objective examination of proposals and schemes at
the Secretariat level difficult. The Secretaries have to write their notes on files in a
guarded manner so as to avoid causing offence to the Head of Department. This
64
extra caution often prevents a frank examination of the cases by the Secretariat Patterns of
officers. Relationship between
the Secretariat and
iv) Under the amalgamation schemes, the Head of Department remains stuck up in Directorates
the Secretariat. S/he is not able to go on tours and inspections, which are her/his
main obligations.
After studying the above stated approaches and recommendation of the second ARC,
it can be stated that the Ministries/Departments should concentrate more on policy,
planning and strategic decision-making; and implementation work should be given to
adequately empowered Executive Agencies. The Second ARC has suggested, “…
there can be no water-tight separation of the policy-making and implementation functions
since Ministers are ultimately accountable to Parliament for the performance of their
Ministries and departments in all respects.” As per the Government of India (Transaction
of Business) Rules, all business allocated to a Department in the Government of India
has to be disposed of under the directions of the Minister in-charge. It has been observed
that the Ministers can discharge their responsibilities more effectively by supervising the
performance of operational agencies from time to time rather than by taking direct
control of routine functions. In the states, a major part of implementation work is done
by the executive agencies. They are structured as departments, statutory boards,
commissions, departmental undertakings and other parastatals. The Commission has
pointed out that these bodies do not function as real autonomous agencies due to the
centralised controls, and inadequate delegation of authority. While the necessity of
delegating increased powers to the executive agencies is getting recognised and some
states have delegated more powers to these agencies, the overall approach has been
one of caution and hesitancy (Second Administrative Reforms Commission, 2009, pp.
30-31 [Link]
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Enumerate various factors shaping the Secretariat-Directorate relationship.
......................................................................................................................
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2) Discuss various arguments in favour of Secretariat and Directorate.
......................................................................................................................
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65
State and District 3) Explain the various approaches with regard to the relationship between Secretariat
Administration and Directorate.
......................................................................................................................
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4.8 CONCLUSION
Directorate is an executive agency charged with the role of translating the policies framed
at the Secretariat level into concrete action. The Directorates establish intermediate
level administrative setup — between the headquarters and the districts — which
coordinate and supervise field operations. This intermediate setup is called the regional
administration. The Board of Revenue is an organisation at the headquarters to deal
with the issues concerning the revenue administration of the State. It is an autonomous
body with distinct existence and separate from most of the state government machinery.
In the possible patterns of relationship between Secretariat and Directorate, we have,
in this Unit, highlighted only the more prominent ones. The two agencies remain locked
in a process of constant interaction. In a quest for greater efficiency as the government
forges ahead, administrative experiments ensue in its wake. This leads to modifications
and alterations in particular patterns and abandonment of others, which is ongoing.

4.9 GLOSSARY
Board : A Board is a multi-headed extra- departmental
organisation. It typically consists of a group of
individuals, mainly specialists, who are
collectively assigned the responsibility for carrying
out a certain governmental function. A Board is
preferred to a single head when quasi- legislative
and quasi-judicial functions have to be performed.
Under a Board type of organisation, it is possible
to pool together the knowledge and experience
of several individuals.
Amalgamation : This is one of the organisational devices to reduce
the distance between Secretariat and Directorate.
Under this arrangement, the distinction is
completely dissolved by merging the office of the
head with that of the Secretary.
De-amalgamation : This is the negation of the amalgamation device.
It seeks to do away with the integrated or
amalgamated setup. Thereby, it aims to restore
the traditional split system.

4.10 REFERENCES
Administrative Reforms Commission (ARC) Study Team. (1967). Report on Personnel
66
Administration. Delhi, India: The Manager of Publications.
ARC. (1968). Report on the Machinery of Government of India and its Procedure Patterns of
of Work. Delhi, India: The Manager of Publications. Relationship between
the Secretariat and
ARC. (1969). Report on State Administration. Delhi, India: The Manager of Directorates
Publications.
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.
Avasthi, A. & Avasthi, A.P. (2017). Indian Administration. New Delhi, India: Laxmi
Narain Agarwal Educational Publishers.
Board of Revenue. Retrieved from [Link]
Maheshwari, S.R. (1979). State Governments in India. New Delhi, India: The
Macmillan India Limited.
Maheshwari, S.R. (2000). Indian Administration. New Delhi, India: Orient Blackswan.
Sapru, R. (2018). Indian Administration: A Foundation of Governance. New Delhi,
India: Sage Publications.
Second Administrative Reforms Commission. (2009). State and District
Administration. Retrieved from [Link]
The Constitution of India. Retrieved from [Link]
constitution-india/constitution-india-full-text

4.11 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your answer should include the following points:
 Attached Offices.
 Subordinate Offices.
2) Your answer should include the following points:
 Principle of legislative accountability that has led to centralisation of functions
in the Secretariat.
 The ministerial desire to nurture her/his constituency results in Minister’s
involvement in executive matters.
 Increase in welfare functions of the government.
 The ministerial staff in the Secretariat is considered to be of higher caliber.
 Secretariat has become unwieldy and overstaffed.
3) Your answer should include the following points:
 Refer Section 4.4
Check Your Progress 2
1) Your answer should include the following points:
 Different aspects of the functioning of Secretariat.
 Factors responsible for expansion in the Secretariat.
67
State and District 2) Your answer should include the following points:
Administration
 Refer Section 4.6.
3) Your answer should include the following points:
 The Status-quo Approach.
 The Bridging the gulf Approach.
 The De-amalgamation Approach.

68
UNIT 5 STATE SERVICES AND PUBLIC
SERVICE COMMISSION*
Structure
5.0 Objectives
5.1 Introduction
5.2 Significance of an Independent Recruitment Agency
5.3 Components of Civil Service at the State Level
5.4 Classification of State Civil Services
5.5 Features of Recruitment to State Civil Services
5.6 State Public Service Commission: Constitutional Provisions
5.7 Composition and Functions of the Commission
5.8 Advisory Role of the Commission
5.9 Independence of the Commission
5.10 Commission’s Working
5.11 Conclusion
5.12 Glossary
5.13 References
5.14 Answers to Check Your Progress Exercises

5.0 OBJECTIVES
After studying this Unit, you should be able to:
 Understand the constituents of civil service at the state level, and the criteria and
system of classification of state services;
 Explain the system of recruitment to state services; and
 Examine the role of State Public Service Commission, and identify factors that
hinder its working.

5.1 INTRODUCTION
The phrase “State Services” refers to the civil service at the state level. The civil service
refers to the civilians employed by a government; and distinguishes civilian pursuits in
government from military. In addition, civil service is a career service. In this regard,
elective officials and employees of semi-government bodies do not form part of the civil
service. An essential ingredient of the civil service concept is merit system. The merit
system means selection based on ability as adjudged by an open competitive examination
for civil service jobs. An independent recruiting agency is the hallmark of a merit system.
The state level recruitment agency is designated as State Public Service Commission.

* Adapted from BPAE-102, Indian Administration, Block-3, Unit-15. 69

State and District This Unit aims to describe the nature of civil services at the state level. It discusses the
Administration aspects related to classification and recruitment to state services. It highlights the
significance of an independent recruitment agency, components of civil service at the
state level, and its advisory role. The composition and working of the State Public
Service Commission will be discussed in the subsequent sections.

5.2 SIGNIFICANCE OF AN INDEPENDENT

RECRUITMENT AGENCY
It is of basic importance that recruitment to any civil service is free from any suggestion
of bias. This alone would inspire confidence. To ensure objectivity and impartiality in
recruitment, several measures have been evolved since the advent of the merit system.
One, the executive branch has been divested of the powers of making recruitment to
the civil services; and a separate agency created for the purpose. Two, the agency,
thus, created is an extra-departmental body (i.e., a Commission), which functions outside
the normal machinery of the government. Three, a Constitutional status has been
conferred on this agency. It must be remembered that the Commission is only a
recruitment agency, which is not an appointing authority. The authority of making
appointments vests in the government. The Commission is an advisory body. Its decisions
are not mandatory.
Need for a Commission Type of Organisation
A commission type of organisation as distinct from the customary departmental type —
may be employed for undertaking the work of recruitment of civil servants. The
commission form is invoked for the performance of a function requiring expert/specialist
knowledge. It is a form of organisation designed to facilitate collective deliberation by a
group of experts who are able to pool their knowledge and experience to arrive at
informed and objective decisions. When decisions are collectively made, such a method
of arriving at decisions is described as corporate mode of functioning or decision-
making. The body, thus, acting corporately is described as a Board. The Public Service
Commission is nothing but a board, which is but styled as a commission (incidentally, it
should be remembered that boards may also bear such designations as councils,
corporations, companies, authorities, and so on; and, of course, a board may also be
styled simply as a board).
When a commission consisting of experts meets to deliberate on issues, professional
and technical criteria receive necessary weightage in the resulting decisions. When several
heads combine for deliberation, biases are cancelled out and objectivity is ensured. As
a commission functions outside the mould of normal governmental machinery, greater
flexibility and innovativeness of approach is possible. Bureaucratic rigidities and delays,
which characterise government departments, are kept at bay.
Significance of a Constitutional Status for the Commission
This is intended to ensure that it functions without fear or favour. This would be facilitated
when its composition, role and delegations, privileges of its members, method of
appointment and removal of members, qualifications for appointment and grounds for
removal, etc. are constitutionally provided. For, under such a situation, the executive
branch of government can no longer exercise any discretion in these matters and as
such the commission can function without being influenced by it. Conferment of the
Constitutional status is, thus, in the nature of a safeguard against any possible
encroachment on its authority and independence. The State Public Service Commission
is, thus, an advisory body of experts, which exists under the authority of the Constitution
70
to recruit personnel for the state services.
State Services and
5.3 COMPONENTS OF CIVIL SERVICE AT THE Public Service
STATE LEVEL Commission

Let it first be clearly understood that at the state level in India, not one but two distinct
sets of civil services operate. One of these is the civil services recruited by the respective
state governments to handle a diverse range of governmental activity at the state level.
These are known as the state civil services or simply state services. The second set of
civil services serving the states is the All India Services. All India Services officers are
recruited to perform a varied range of jobs, both at the State level as well as at the
Centre. It is this feature of the All India Services, which renders them clearly
distinguishable from the state services. Among the best known examples of the All India
Services are the Indian Administrative Service (IAS), and Indian Police Service (IPS).
Thus, the civil service at the state level is composed of two distinct components, i.e.,
i) State Services, and ii) All India Services.
All India Services
All India Services were constituted with the crucial purpose of creating an elite corps of
officers who would man top positions both in the states as well as the Centre. Officers
of the All India Services are recruited by the Union Government through the Union
Public Service Commission. Upon recruitment, each officer is allotted to a specific
state cadre. It is from the particular state, to which s/he is allotted, that the concerned
officer moves to the Central government. The arrangement under which such movement
takes place is known as the Tenure System. The officer is moved back and forth between
the state (of her/his allotment) and the Centre during the first twenty years of her/his
career (after which s/he finally lands up at the Centre). Officers of the All India Services
operate under the joint control of the Centre and the state to which they are allotted.
The fact that the All India Services officers are centrally recruited (and then allotted to
various states) guarantees that all states have a certain minimum and uniform level of
talent in their administrative services; and the states’ administrative machinery is adequately
equipped. The existence of the Tenure System, under which officers of the All India
Services move to the Centre periodically, ensures that the incumbents of the policy-
making posts at the Centre are backed by rich field experience.
The All India Services have to supply personnel for all superior administrative posts in
the states, at the district level and above. Thus, the posts of District Collectors, Divisional
Commissioners, members of the Board of Revenue, Secretaries to the Government,
Chief Secretary, etc. are filled up by IAS officers. Similarly, the posts of Superintendents
of Police (SPs) and above in the Police Department at the state level are reserved for
the IPS officers.
State Services
These are recruited by the respective state governments through their public service
commissions or other agencies. Members of these services are primarily meant for
service in the states; only occasionally may a few members of some of the state services
be borrowed by the Centre or some other organisations. States have well-organised
services to cater to the needs of different sectors of the governmental activity in non-
technical and technical spheres. Typically, a state may have the following services: (i)
Administrative Services; (ii) Police Service; (iii) Judicial Service; (iv) Forest Service;
(v) Agriculture Service; (vi) Educational Service; (vii) Medical Service; (viii) Fisheries
Service; (ix) Engineering Service; (x) Accounts Service; (xi) Prohibition and Excise
Service; (xii) Cooperative Service, etc.
71
State and District Inter-relationship and Inter-linkages
Administration
The personnel of the state services operate in subordination to the members of the All
India Services. The state services occupy lower positions in the administrative hierarchy
than those held by the personnel of the All India Services. They constitute the middle
level of the state administrative system.
An attempt has been made to evolve – from out of those two sources of supply — a
common stream. This has been achieved in two ways, i.e., by providing opportunities
to the State Services’ personnel to rise to higher posts, which are normally reserved for
the All India Services officers; and inducting a certain percentage of the State Services’
personnel into the All India Services.

5.4 CLASSIFICATION OF STATE CIVIL SERVICES

A two-fold system of classification of the State Services is in vogue. Under the first
system, the Services are classified into Group A, Group B, Group C and Group D
(earlier known as Class I, Class II, Class III and Class IV). The Group A is ranked
highest in terms of appointment and authority in the Government. However, the Group
C & D (merged after the 7th Central Pay Commission) is ranked lowest. The criteria of
this classification are related to the: (i) admissible pay scales/pay levels; (ii) degree of
responsibility of the work performed; and (iii) corresponding qualifications required.
Under the second system, the posts in the services are classified into the Gazetted and
Non-Gazetted categories.
i) Classification Based on Pay Scales, etc.
At the State level, Group A and Group B services constitute the officers’ class of the
state level services, whereas Group C and Group D consist of the clerical employees
and manual workers, respectively.
Group A Services
Group A Services include a number of posts on the basis of basic pay levels. Each
departmental service ordinarily has a Group A cadre.
Recruitment to Group A posts is made on the basis of promotions from Group B services
as well as through direct recruitment by the State Public Service Commission. The
Direct recruitment takes place on the basis of an open competitive examination. Generally,
this would include written examination and personality test.
It may be noted that there is no uniform practice as to the number of posts, which may
be filled up by promotion or direct recruitment. In fact, there are wide variations on this
account from state to state.
Group B Services
These services are generally of a specialised nature, although there are some generalist’s
services as well in this category. They are subordinate civil services, subordinate police
service, and the like. The Group B services are lower in status and responsibility than
those in Group A. These are, however, considered important enough to require that the
authority for making appointments to them be vested in the state government itself.
The most important among the Group B services is the subordinate civil service (also
classed the subordinate executive/administrative service).

72 Recruitment to the Group B posts is made partly by promotion, and partly by open
competition (direct recruitment). In case of specialised services, direct recruitment is State Services and
done on the basis of interviews held by the State PSCs. For civil, police, and judicial Public Service
Commission
services (Group B), however, a more comprehensive selection procedure is employed.
This includes the written examination and interview.
ii) Gazetted — Non-Gazetted Classification
As stated above, the second system of classification employed for the state services
places them under the familiar categories of gazetted and non-gazetted.
A Gazetted government servant is one whose appointment, transfer, promotion,
retirement, etc. are announced in the Official Gazette in a notification issued by an order
of the Governor. A Gazetted officer holds charge of an office, and her/his duties are of
a supervisory or directorial nature. The Gazetted posts include All India Services, and
Group A and Group B State Services. However, under Group B services, all are not
gazetted posts, for example Police Head Constable, Head Clerk/Section Heads, Junior
Engineer etc. Non-Gazetted posts are those in Group C and Group D Services.

5.5 FEATURES OF RECRUITMENT TO STATE

CIVIL SERVICES
Recruitment involves following three separate but inter-connected steps: i) Attracting
eligible candidates to apply for jobs (vacancies are brought to the notice of interested
individuals through advertisements). ii) Selecting candidates for jobs through an open
competitive examination. iii) Placing selected candidates in appropriate jobs, which
also involves issuance of appointment letters to those concerned by a competent authority.
The first two steps are carried out by an independent recruiting agency. In a state, it is
the State Public Service Commission (SPSC), which performs these functions. The
third step constitutes the responsibility of the government. It is, therefore, to be
remembered that the SPSC is only recruiting and recommendatory agency; and the
power of appointment vests in the Government.
Recruitment is of two types, that is, internal and external. Here, internal recruitment is
made by promotion from within, whereas external recruitment is undertaken through an
open competitive examination. We shall be dealing with external recruitment alone over
here. Also, we shall be concentrating on the recruitment practices only in respect of the
Group A and Group B Services. An outline of the chief features of the recruitment of
State Civil Services is provided below:
Features
 Recruitment to the State Civil Services is made at the age of 21. In case of Haryana
Civil Services (HCS), upper age limit for the unreserved category candidate is 42
years except for Deputy Superintendent of Police posts, that is, 27 years.
 Age relaxation is available for the members of scheduled castes, scheduled tribes,
backward communities, unmarried female candidates (including divorced and
separated females), physically challenged, and persons with disabilities.
 Recruitment is made through an open competitive examination administered by
the SPSC; and higher level posts are filled up by promotion.
 Vacancies to be filled up are advertised by the SPSC every year, and applications
are invited from candidates all over the country.

73
State and District  Minimum qualification required is a Bachelor’s Degree from a recognised university.
Administration
 The competitive examination through which selections are made, just to quote an
example, the Haryana Civil Service examination is conducted in three stages and
a candidate has to clear each stage to appear in the next stage. These stages
include Preliminary Examination, Main Examination and Personality Test/ Viva-
Voce. Candidates obtaining certain minimum marks in the written examination are
invited for a personality test, which is an interview of about half an hour’s duration.
 Marks secured by each candidate in written examination and personality test are
totalled up. Depending upon the number of vacancies, a list of successful candidates
is prepared. This list is in order of merit.
This list is then communicated to the government for necessary action, i.e., issuance of
appointment letters. The Commission, because it is an advisory body, can only
recommend candidates for appointment. The authority to make appointments vests
with the government alone. The Commission recruits candidates, and the government
appoints them.
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) What are the constituents of civil service at the state level?
......................................................................................................................
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......................................................................................................................
......................................................................................................................
2) Discuss the significance of All India Services with reference to the states.
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3) How are the services classified at the state level?
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74
State Services and
5.6 STATE PUBLIC SERVICE COMMISSION: Public Service
CONSTITUTIONAL PROVISIONS Commission

Constitutional provisions governing the Public Service Commissions (PSCs) at the state
level are given below:
 Article 315 of the Constitution provides for the establishment of PSCs. It stipulates
that there shall be a PSC for the Union as well as a PSC for each state.
 Article 316 prescribes the composition of such Commissions. It also deliberates
on the method of appointment of the Chairperson and members as well as their
terms of office. While article 316 stipulates what the normal tenure of a Chairperson
or member shall be, Article 317 prescribes grounds and procedure for early
termination of such tenure.
 We have already explained that with a view to ensuring objectivity and impartiality
in recruitment, this task has been entrusted to a Commission and it has been
accorded a Constitutional status. In this context, the question of ensuring
independence of the Commission assumes particular significance. Articles 318,
319 and 322 provide measures for safeguarding and fostering the independence
of the Commission.
 What will be the scope of duties and functions of the PSCs? What will be the
overall sweep of their role as recruiting agencies? These matters are dealt with
under Articles 320, 321 and 323 of the Constitution.
 Commissions, as previously stated, are advisory bodies. How to ensure that this
situation does not work to their disadvantage and render them ineffective? Under
Article 323, there is a provision for submission by Commission of annual reports
in which inter alia the cases where government rejects its advice are recorded,
and reasons for non-acceptance stated. There is a further requirement that these
reports shall be placed before the appropriate legislature.

5.7 COMPOSITION AND FUNCTIONS OF THE

COMMISSION
The number of members, which a state PSC may have, is not fixed. The Constitution
stipulates that this shall be determined by the Governor of the concerned state. At least,
half of the members of a Commission are persons with a minimum of ten years of
experience under the Central or a State Government. The Members are appointed for
a term of six years or until the age of sixty two years. The Governor is an appointing
authority, but it must be carefully noted that members can be removed only by the
President and not by the Governor. The Conditions of service of the members are
determined by the Governor but very importantly, the Constitution stipulates that these
are not be revised to their disadvantage. Implicit in the foregoing are certain safeguards
to ensure the Commission’s independence. Later we shall dwell on this aspect.
Functions of the Commission
As recruiting agencies, the principal function of the state PSCs is to conduct examination
for appointment to the civil services. However, certain other duties arise from this and
Commission is enjoined to discharge them. These include: i) to tender advice to the
state government on a matter so referred to it by the Governor; ii) to exercise such
additional functions as may be provided for by an act of the Legislature, these may be
75
State and District with respect to the State Civil Service, or the services of a local authority or other
Administration corporate bodies; and iii) to annually present a report regarding the work done by the
SPSC to the Governor.
Besides, the Constitution stipulates that a PSC shall be consulted on the following
matters:
i) On all matters relating to the methods of recruitment to civil services and civil
posts.
ii) On the principles to be followed in making appointments to civil services and
posts and making promotions and transfers from one service to another; and on
the suitability of candidates for such appointments, promotions or transfers.
iii) On all disciplinary matters, affecting a person serving under the Government of a
State in a civil capacity.

5.8 ADVISORY ROLE OF THE COMMISSION

The importance of the Commission’s role lies in that its decisions are in the nature of
advice to the Government; and the latter has no obligation to act upon such an advice.
The reason for according an advisory status to the Commission is clear enough. Under
the Parliamentary system of government, responsibility for the proper administration of
the country is vested in the Cabinet and for this it is accountable to the Legislature.
Therefore, the Cabinet cannot abjure this ultimate responsibility by binding itself to the
opinion of any other agency. If the Commission’s decisions were made mandatory, it
would amount to setting up of two governments. But, at the same time, there is scarcely
any doubt that in matters relating to recruitment to civil services, and the like, it would
be profitable for the Ministers to take the advice of a body of experts.
This underlines the need for necessary safeguards against a flagrant disregard of the
advice of the Commission by the Government. The Constitution does provide for one.
Namely, the Commission’s annual report, which records cases where its advice has
been rejected — must be placed before the State Legislature through the Governor.
The government is under obligation, when such report is presented, to give reason as to
why in any particular case the recommendation of the Commission has been overridden
by it. But the number of such cases has tended to remain very low, almost negligible.

5.9 INDEPENDENCE OF THE COMMISSION

In the introduction, we have explained the significance of maintaining the independence
of the recruiting agency vis-a-vis the executive government. The Constitution also
incorporates well designed safeguards to foster the commission’s independence. These
are:
i) As a check against a possible abuse of power, the appointing and removing authority
is vested in different functionaries. The power to appoint the Chairperson and
members of a Commission vests with the Governor, but the power of removal is
vested in the President.
ii) Removal can be effected only in the manner and on the grounds prescribed in the
Constitution.
iii) Salaries and other conditions of service of a member cannot be revised to her/his
disadvantage after her/his appointment.
76
iv) The expenses of the Commission are charged on the Consolidated Fund of the State Services and
State. Public Service
Commission
v) Certain disabilities have been imposed on the Chairperson and members of the
Commission with respect to future employment under the Government. On ceasing
to hold office, they are not eligible to hold office under government outside the
Union and/or state PSCs.
The purpose of the above provisions is to place the Commission and its members well
beyond any possibility of being influenced either by a lure of office or by a threat of
insecurity or for any other reason.

5.10 COMMISSION’S WORKING

We have so far considered the formal framework within which a state PSC functions.
We shall now discuss the actual working. Our comments on the actual working centre
around two aspects, i.e., exercise of patronage in civil appointments by the government
in spite of the Commission’s existence; and the question of the Commission’s membership.
Notwithstanding the Constitutional safeguard against the non-acceptance of the
Commission’s advice, there is criticism that the government is able to have its way in
making appointments:
i) Making ad hoc appointments without prior consultation with the Commission:
Commission is not consulted for making ad hoc appointments. Through repeated
renewals, such persons pick up necessary experience of the job, which puts them
at an advantage vis-a-vis the fresh applicants. In such cases, the Commission is
faced with a fait accompli.
ii) Exclusion of certain categories of posts from the purview of PSC: In theory,
recruitment to all civil posts in a state is done by the PSC. However, the Constitution
provides that the Executive may exclude certain categories of posts from the
purview of the PSC. Under this dispensation, Group C and Group D appointments
are made without the PSC’s intervention. This is understandable in view of the
large volume of work.
iii) Drafting of advertisements by the concerned Department: Advertisements for filling
up vacancies are drafted by the concerned departments. These are sometimes
drafted to suit particular candidates, which the departments may have in view. The
Commission cannot vary the terms of advertisements.
iv) Delay in issuing appointment letters: Occasionally, there are inordinate delays in
issuing appointment letters to the selected candidates. This results in the best qualified
candidates being lost to other professions.
The above situations affect the operation of the merit system and undermine the
Commission’s role. The Commission’s membership has also drawn flak due to many
other reasons:
i) Membership to persons with insufficient credentials: The matter of membership of
the state PSCs has attracted adverse notice. The criticism has been that membership
in some states have gone to persons with insufficient credentials; that, in fact, some
appointments have been made on grounds of party and political affiliations. Such
persons naturally feel beholden to their political masters and could not be expected
to stand up to their patrons to uphold merit and professionalism in civil services.
77
State and District This creates apprehensions on the ability of the PSCs to work with objectivity and
Administration independence.
ii) Predominance of the Members of the official category: The narrow base of the
Commission’s membership has also attracted adverse attention. The point at issue
has been the predominance of the members of the official category. In terms of
Article 316, the expectation was that the official and the non-official components
of the Commissions’ membership would be roughly equal to each other. Professions
like teaching, law, engineering, science, technology and medicine have inadequately
represented on the Commissions. It is necessary that professionals receive adequate
representation on the PSCs. This would not only help in meeting the Constitutional
requirement by evenly balancing the official and non-official components of the
Commission’s membership, but one would also expect from this a qualitative
improvement in their deliberations.
There is an urgent need to introduce methods that will impart greater credibility to the
appointments process, which should be impartial and merit based. In this context,
selection of administrative officers having unimpeachable conduct, integrity and
professional competence is an essential component of good governance. The Second
Administrative Reforms Commission had recommended that after enactment of the
State Civil Services Law on the lines of the proposed union enactment, the proposed
Civil Services Authority should deal with matters regarding appointments and tenure of
senior officers in the state government, including the Chief Secretary, Principal Secretaries,
Engineer-in-chiefs and Principal etc. (Second Administrative Reforms Commission,
2009, pp. 40-41, [Link]
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) What is the significance of according a Constitutional status to the State Public
Service Commission?
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2) Why has the Public Service Commission been made an advisory body?
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3) Examine the working of State Public Service Commission.
78 ......................................................................................................................
...................................................................................................................... State Services and
Public Service
...................................................................................................................... Commission

5.11 CONCLUSION
The performance of multifarious tasks of regulatory and developmental nature at the
state level has necessitated that large and well-organised civil services be maintained.
These are civil services based on the merit system. These civil services are a career
service, whose recruitment is done through an open competitive examination.
The concepts of merit system, career service and open competition emerged during the
19th century to rid civil service administration of political interference. The idea was that
recruitment to civil service as well as matters concerned with the salaries, promotions
and transfers of civil servants should be based on the technical and professional
considerations rather than political. When politicians do not interfere in these matters,
civil servants appointed under the merit system provide continuity to the governmental
system and work undisturbed even when the Ministers come and go, depending upon
the fortunes of the political parties.
To rid civil service administration of politics, it is essential that the task is entrusted to an
impartial agency, whose integrity is above board and which can be trusted to withstand
any pressure from the political executive. Such desiderata underline the need to establish
a commission type of organisation to perform the task. To ensure that it may function
without fear or favour and without being influenced by the political executive, a
Constitutional status has been conferred on this agency. It is a body, consisting of experts
and has an advisory role.

5.12 GLOSSARY
Career Service : It refers to a personnel system based on merit
and professional standards. A typical career
service contains civil service requirements that
include recruitment based on an open competitive
examination, classification, performance,
evaluation, promotion, and protection against
arbitrary dismissal.
Fait Accompli : It is a French phrase, which means something
has already taken place and is beyond alteration.
Open Competition : This has certain elements like (i) Adequate
publicity so that job openings and requirements
are known to citizens seeking jobs, (ii)
Opportunity to apply, (iii) Realistic standards:
Qualification standards must be related to the job
and must be impartially applied to all those who
make their interest known through applications,
(iv) Absence of discrimination: the standards used
must contain factors, which relate only to ability
and fitness for employment, (v) Ranking on the
79
State and District basis of ability and a selection process, which
Administration gives effect to this ranking, and(vi) Knowledge
of results and opportunity for review.

5.13 REFERENCES
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.
Basu, D.D. (2019). Introduction to the Constitution of India (24th ed.). New Delhi,
India: Lexis Nexis.
Government of India, Ministry of Personnel, Public Grievances and Pensions, Department
of Personnel & Training. Retrieved from [Link]
D02est/11012_10_2016-[Link]
Hazarika, Niru (1979). Public Service Commissions. Delhi, India: Leeladevi
Publications.
Maheshwari, S.R. (1979). State Governments in India. Delhi, India: Macmillan.
Sapru, R. (2018). Indian Administration: A Foundation of Governance. New Delhi,
India: Sage Publications.
Second Administrative Reforms Commission. (2009). State and District
Administration. Retrieved from [Link]
Stahl O, Glenn. (1975). Public Personnel Administration. New Delhi, India: Oxford
and IBH.
The Constitution of India. Retrieved from [Link]
constitution-india/constitution-india-full-text

5.14 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your answer should include the following points:
 Operation of two distinct sets of civil services at the state level.
 State services, whose personnel are recruited by the respective state
governments to handle governmental activity at the state level.
 All India Services, whose officers serve both at the Union as well as the state
governments.
2) Your answer should include the following points:
 Constitution and meaning of All India Services.
 Allotment of specific state cadre to the officers of All India Services after
recruitment
 Tenure system.
 All India Services ensure availability of uniform level of talent and administrative
80 expertise to the state administration.
 Supply of personnel to all senior administrative posts in the states, at the State Services and
district level and above. Public Service
Commission
3) Your answer should include the following points:
 Refer Section 5.4
Check Your Progress 2
1) Your answer should include the following points:
 Ensuring objectivity and impartiality in the functioning of the Commission.
 Functioning of the Commission without any influence of the executive.
 Conferment of Constitutional status, a nature of safeguard against any
encroachment on authority and independence of the Commission.
2) Your answer should include the following points:
 Refer Section 5.8
3) Your answer should include the following points:
 Refer Section 5.10

81
UNIT 6 STATE PLANNING BOARD*
Structure
6.0 Objectives
6.1 Introduction
6.2 Planning System
6.3 State Planning Board
6.4 Performance of State Planning Boards in Selected States
6.5 Conclusion
6.6 Glossary
6.7 References
6.8 Answers to Check Your Progress Exercises

6.0 OBJECTIVES
After studying this Unit, you should be able to:
 Understand the significance of State Planning Board;
 Discuss the structure of State Planning Board;
 Explain the functions of State Planning Board; and
 Examine the performance of State Planning Board in various States.

6.1 INTRODUCTION
India’s commitment to planned socio-economic development is a reflection of the
Government’s determination to improve the social and economic conditions of citizens
through a variety of social, economic and institutional means. After independence, the
next important step for the Government was to revive the poor, backward and stagnant
economy, inherited from the British rule. As the subject of planning is mentioned in the
Concurrent list of the Constitution of India, therefore planned development through
systematic formulation, implementation and evaluation of plans is responsibility of the
Centre and states. At the state level, it is felt that planning departments require advice
and support of eminent subject- experts to introduce an element of specialised
competence in the planning process. In view of above, State Planning Boards/State
Planning Commissions were setup in most of the states. As per Second Administrative
Reforms Commission, the State Planning Boards should ensure that the district plans
are integrated with the State plans, which are prepared by them. In this regard, the
Commission emphasised on making it mandatory for all the states to prepare their
development plans only after consolidating the plans of local bodies. However, the
position of Board and its effectiveness varies from state to state. It has been observed
that with an increasing open and liberalised economy, we have to rethink about the
tools and approaches to conceptualise the development process. As a result, on 1st
January 2015, the NITI Aayog was established at the Centre with the aim to achieve
* Contributed by Dr. Biswaranjan Mohanty, Assistant Professor, SGTB Khalsa College, University
82 of Delhi.
sustainable development goals with cooperative federalism by fostering the involvement State Planning Board
of state governments of India in the economic policy-making process, using a bottom-
up approach. It is hoped that vision, strategy and action agenda will contribute to align
the development strategy with the changed socio-economic needs.
In the planning process, following have an important role:
i) NITI Aayog;
ii) State Planning Board/Commission; and
iii) District Planning Committees/Agencies, supported by the institutions of decentralised
planning.
As we have already discussed about the NITI Aayog in detail in our Course BPAC-
103, therefore this unit focuses on the State Planning Board (SPB)/State Planning
Commission (SPC). The state level administrative reforms committees suggested for
setting up of Board or Commission like institution at the state level. In this regard, the
Planning Commission of the Government of India also emphasised on the requirement
for creating a SPB at the state level. The Commission has always favoured to strengthen
the state planning machinery for an integrated, pragmatic and efficient planning process.
Thus, the Planning Commission had recommended setting up of a SPB in each state in
1967, the First Administrative Reforms Commission (ARC) submitted its report on the
significance of Planning. The ARC also recommended the constitution of Planning Board.
Thus, majority of states and union territories have setup SPBs/SPCs. However, the
position of Board and its effectiveness varies from state to state. In this unit, keeping in
view the significance of the State Planning Board, we will explain the composition and
functions of the SPB at the state level. In addition, we will suggest necessary measures
for strengthening the Planning Board.

6.2 PLANNING SYSTEM

Planning is significant for the socio-economic development of the state. In this regard,
the close teamwork between the State and Local Government in development and
administration is indispensable and important for a rapid socio-economic development.
The task of carrying out effective planned development through systematic formulation,
implementation and evaluation of plans is a responsibility of the centre, state and local
governments. At the state level, the Planning Department is headed by the Chief Minister
(CM) of the state or senior Cabinet Minister. The major issues, in the context of planning
are discussed with the Chief Minister of the state or reach to her/him, and through the
CM they reach the cabinet for approval. It has been observed that at the administrative
level, it is mostly the Chief Secretary, who is Head of the Planning Department. For
example, in Rajasthan, this practice continued for nearly three decades. In the year
1992, separate Planning Secretary (now Principal Secretary) was appointed. In most
of the states, the Planning Secretary or Principal Planning Secretary looks after the
administration of the Planning Department. All urgent and important matters related to
state planning are disposed of at the administrative level by the Chief Secretary, who
passes them to political level.
On account of multiplicity in administrative organisations in diverse states and union
territories, it is not possible to have a single uniform pattern for the planning machinery.
In each State, there is a Planning Department, which is accountable for the formulation
and monitoring of the plans; and, generally, the evaluation of programmes through its
Evaluation Wing. Essentially, the Planning Department is responsible for coordinating
83
State and District the development efforts in the state. In most of the states, within the administrative
Administration umbrella of the State Planning Department, there are departments of Economics and
Statistics, Manpower and Evaluation. The Department of Economics and Statistics
provides technical personnel at the State and lower levels for planning and monitoring
of the programmes. The Manpower Department assesses the requirements and need
for manpower in the coming years; and enables the planning process to incorporate
action plans for meeting these needs in such a way that the overall manpower
requirements for plan’s implementation are fulfilled. In addition, the Manpower
Department is also sometimes entrusted with the responsibility of planning for in-service
training; and orientation of the State officials. The Evaluation Department, as the name
suggests, is entrusted with the task of conducting evaluation studies of the various
programmes being undertaken on concurrent or ex-post facto basis. Such studies provide
feedback to the State Government for enabling corrective actions to be taken regarding
the plan schemes.
To understand planning system in a State, in a better way, we will discuss the planning
system in Meghalaya. The Planning Administration (in the Secretariat) deals with all
matters relating to establishment; Planning Machinery at the Headquarter; and District
Planning offices under its control. It also deals with all matters relating to setting up of
State Planning Board, District Planning and Development Council, Regional Planning
and Development Council, Meghalaya Economic Development Council and Meghalaya
Resource and Employment Generation Council.
The Research Wing is the machinery of state planning, which is accountable for the
management of all development activities in the state; and acts as an organising and
liaising body with the Government of India and other agencies in the matter of planning
and development. The Planning Research Wing is an independent body known as –
”Meghalaya Planning Service”.
At the State level, the Planning Department coordinates all development activities of
different Development Departments comprising of the State Plan, the Centrally
Sponsored & Central Sector Schemes, the Non-Lapsable Central Pool of Resources,
Externally Aided Projects (EAP), Central Government Flagship Programmes etc.
With a view to reinforce better performance of the Planning Machinery at District level,
the District Planning Organisation is owned by the District Planning Officer. District
Office has been created in all districts under the Deputy Commissioner’s office, which
is headed by the District Planning Officer (DPO) as the Head of Office.
The Directorate of Economics & Statistics is a Directorate falling under the administrative
power of the Planning Department. This Directorate is accountable for all economic
and statistical information in the state. It brings out statistical handbooks, economic
surveys and estimates. The Directorate is headed by a full-time Director. The officers
are the members of Meghalaya Economics and Statistics Service.
A Science & Technology Cell is operating under the control of the Planning Department
to direct and maintain the science and technology matters in the State. This manages
measures of entities such as the State Council of Science, Technology and Environment,
Science Centre, and Bio-Resources Development Centre (BRDC).
This organisation is also concerned with formulation of plan, and review of the
implementation of Schemes. At the district level, the District Planning and Development
Council (DPDC) prepare the District Plans; and also monitors and reviews the
developmental activities in the district.
84
In view of above, it is felt that a regular bureaucratic organisation needs continuing State Planning Board
assistance of eminent subject-experts to introduce an element of specialised competence
in the planning process. As a result, on the basis of recommendations of various
committees and commissions, in addition to the State Planning Department a State
Planning Board/ Commission exists in many states. It comprises the Chief Minister as
Chairman, Deputy Chairman, subject-experts, non-officials and officials. In the next
section, we will explain the structure and composition, role and functions of the SPB/
SPC.

6.3 STATE PLANNING BOARD

At the State level, the SPB/SPC in certain states have contributed effectively. The
major functions of the State Planning Board are to monitor and prepare plans, and
long- term perspective plans in the state; activate the financial resources and adopt
different mechanisms for development; determine plan priorities of the state within the
framework of the priorities of the national plan; assist the district authorities in formulating
their development plans, within the spheres in which such planning is considered to be
useful and feasible; formulate a plan for the most effective and balanced utilisation of the
state’s resources; determine priorities, define the stages in which the plan should be
carried out, and propose the allocation of resources for due completion of each stage;
indicate the factors, which tend to retard economic development, and determine the
conditions, which in view of the current social and political situation should be created
for successful execution of the plan; determine the nature of the machinery, which will
be necessary for securing the successful implementation of each stage of the plan in all
its aspects; and to appraise, from time to time, the progress achieved in the execution of
each stage of the plan, and recommend the adjustments of policy and measures that
may be necessary. In this regard, for better and clear understanding about the role and
functions of SPB we will discuss the structure and composition, functions and role of
the Kerala State Planning Board (KSPB).
Kerala State Planning Board
The KSPB was formed with a view to enable the State Government to formulate
development plans based on a scientific assessment of the available resources, and the
growth priorities. It is to be noted that the Board was also entrusted with the task of
bringing out a comprehensive economic review report of the state every year. The term
of the KSPB is five years. It is worth mentioning that since 1967 the KSPB has been
reconstituted fifteen times. Thus, the Planning Board through its expertise facilitates
effective planning and better implementation of development schemes/ projects.
A) STRUCTURE AND COMPOSITION OF STATE PLANNING BOARD
The Chief Minister of state is the Chairman and a non-official is part time Vice- Chairman
of the [Link] structure and composition of the KSPB, which was reconstituted in
2016, is as follows:
i) Chairman - Chief Minister
ii) Vice Chairman
iii) Members
 Minister for Revenue & Housing
 Minister for Water Resources
85
State and District  Minister for Transport
Administration
 Minister for Ports, Museum, Archaeology & Archives
 Minister for Finance
Non- Ministerial Members (seven experts)
iv) Member Secretary
v) Permanent Invitees
 Chief Secretary, Government of Kerala
 Additional Chief Secretary, Finance Department, Government of Kerala.
Members
The Board members are nominated by the Government and they facilitate discussions
on various issues and problems regarding plan formulation, implementation, and other
policy matters.
Member Secretary
The Member Secretary, who is head of the institution, also acts as official Member of
the KSPB. S/he is responsible for convening Board meetings, and carrying out the
implementation of the Board decisions, through the concerned departments and
agencies. The Chiefs of the Technical Divisions provide her/him support in technical
matters. Besides, Administrative Officer assists the Member Secretary in administrative
matters.
Chief Economic Adviser
S/he has been appointed by the Kerala Government to advice the Board on policy
matters and other subjects, which are considered by the Planning Board.
Director, Project Financing Cell
A Project Financing Cell has been constituted in the Planning Board in 2012 to examine
the feasibility of outside funding, including Public - Private Participation for all projects
of the Kerala State.
Kerala State Planning Board : Administrative Structure
The KSPB comprises of:
i) Technical Divisions;
ii) Administrative Wing;
iii) District Planning Offices; and
iv) Library.
In addition, Project Financing Cell is also part of the administrative structure of the
Planning Board. The functions of the SPB are carried out through its Technical Divisions.
The Chief of Division is an expert on developmental issues. In each Division, Joint
Directors, Deputy Directors, Assistant Directors, Research Officers and Research
Assistants assist the Chief. However in administrative matters, an Administrative Officer
assists the Member Secretary. Now, briefly we will discuss the structure of following
86 constituents of KSPB units:
i) Technical Divisions State Planning Board

Following Divisions in the SPB, carry out the technical functions of the Board:
 Agriculture Division
 Industry and Infrastructure Division
 Social Service Division
 Decentralised Planning Division
 Perspective Planning Division
 Plan Co-ordination Division
 Evaluation Division
ii) Administrative Wing
The Senior Administrative Officer is Head of an Administrative Wing. It consists of
Establishment, Accounts, Computer, Publication, and Plan Publicity Sections. In this
Wing, Administrative Assistant and Finance Officer are in charge of Establishment and
Accounts Sections; Senior Superintendents are in charge of Fair Copy and Computer
Sections; and Publication Officer and Plan Publicity Officer manage respectively
Publication and Plan Publicity Sections.
iii) District Planning Offices
The District Planning units were established for decentralised participatory planning.
These District Planning Offices (DPOs) function under the guidance of Planning Board;
and they are under the control of District Collector. The District Planning Officers of
DPOs have been designated as Ex-Officio Personal Assistant to the District Collector,
and Secretary to the District Development Council. The DPOs play an important role
in formulation of District Plan schemes; and monitoring the implementation.
iv) Kerala State Planning Board Library
The KSPB Library is one of the best Libraries managed by Government Institutions in
Kerala. It is a special library with large number of books/reports in economic
development, planning, Indian economics, finance, management, Industry, national /
world development reports, World Bank reports etc. There are more than 20,000
books.
In addition, there is IT Wing, which was formed, in 1999, to enhance the modernisation
of SPB and induce Information Technology. The Chief of Plan Co-ordination Division
is in charge of this Wing. In day to day functions, the Programmer, Technical Consultant
and an IT Nodal Officer support the in charge.
B) KERALA STATE PLANNING BOARD: MAJOR FUNCTIONS
i) Assessment of Economic Progress and Necessary Efforts
The KSPB is involved in continuous assessment of the progress of economy and finding
out its prospects and problems; and suggest necessary reforms and changes in the
policies, priorities and programmes, which include:
 Formulation, monitoring and evaluation of plans;
 Suggest necessary measures for improving performance of public enterprises with 87
State and District focus on augmenting quality of service to citizens, productivity and generation of
Administration surplus for development;
 Effective decentralised planning and development, and enhancing local peoples’
participation in the projects; and
 Undertaking studies, surveys and researches that are necessary for proper discharge
of functions through task forces, expert committees and working groups.
ii) Preparation of Economic Review
The KSPB was assigned the task of preparing Annual Economic Review, which is
being prepared and published by the Board. In this regard, 50 earlier issues of the
Economic Review (1959 to 2009) have been digitised and published in 2010. As it
provides an overall view of the state economy, macro-economic performance,
development initiatives taken by various departments during that particular year, progress
in the plan implementation etc., therefore it is considered as a valuable reference text.
iii) Formulation of Plan
The Board is responsible for the formulation of the plans. In this regard, available
resources are assessed to fix the size of the plan. The KSPB issues circular/ instructions
to all the Secretaries and Heads of Departments for submission of plan proposals to the
Board. Hence, it is the responsibility of the Administrative Departments in the Secretariat
to obtain the approval of the concerned Minister for the plan proposals.
The schematic proposals are appraised in the KSPB and tentative selection priorities
are allowed on the basis of detailed discussion on the proposal of each department.
The Planning Board then prepares the draft plan proposals that are placed before the
Board/ Cabinet for approval. As an effective planning is necessary to achieve the desired
goals, therefore a well-established plan monitoring mechanism has been established
from the State to District level.
Thus, it is evident from the study that the KSPB has contributed effectively as an advisory
board. The Planning Board has assisted the Kerala government in designing the
development plans on the basis of scientific assessment of the available resources in the
state. In addition, the Board members and staff prepared a comprehensive Annual
Economic Review Report, which proved necessary base for future planning and
development of Kerala.
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Discuss the planning system at State level in India.
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88
2) Explain the structure and composition of Kerala State Planning Board. State Planning Board

6.4 PERFORMANCE OF STATE PLANNING

BOARDS IN SELECTED STATES
In this section, we will examine the role of SPBs/SPCs; and suggest necessary measures
to improve their performance in planning and sustainable development in selected states.
Among the selected states, we have already discussed the role of KSPB in the previous
Section (6.3) of this unit and found that the Board is working effectively in Kerala.
Now, we will focus on the Tamil Nadu State Planning Commission (it is named like
that in the state). The SPC in Tamil Nadu (TNSPC) was constituted on 25th May
[Link] Commission has conducted special studies for formulation and implementation
of plan projects and programmes; evaluated major plan schemes through Department
of Evaluation and Applied Research; monitored development indicators that influence
the Human Development Index, Gender Development Index, etc., at a disaggregated
level; monitored the State economy and sent reports to the Government; implemented
and monitored State Balanced Growth Fund (SBGF) to address the regional disparities
in the Tamil Nadu state; coordinated the functions of District Planning Cells and initiated
planning process at District / Block / Village level. In addition, the TNSPC has been
involved in establishment of Tamil Nadu Innovation Initiatives (TANII) and setting up
of State Innovation Fund. Thus, the SPC in Tamil Nadu state is also contributing
effectively.
Now, our next State is Meghalaya, which follows a specific development and planning
approach in formulation of plans. The development planning structure consists of mainly
the Planning Board at the State level; and the District Planning and Development Council
(DPDC) at the district level. In 2004, another level of planning organisation was added
namely the Regional Planning and Development Councils (RPDCs), which are largely
non-functional. Here, the State Planning Board and the DPDC are more broad based
and significant. The Meghalaya State Planning Board is top most planning advisory
body in the State. It is a consultative Board, which provides advice to the Government
regarding formulation of plans. Experts have also been included in the Board, as per the
requirement. The meetings of the Board are fixed from time to time, with the Government
departments to advise them in plan formulation and implementation of plan Schemes,
including review of different plan proposals. For smooth functioning, there is also a 89
State and District Commissioner and Secretary, the Special Officer & Ex-Officio under Secretary,
Administration Research Officer etc.
The Major functions of Board are to:
 arrange an inventory of obtainable and potential resources of the State Capital;
 arrange a perspective plan for the State for the most favourable and balanced
utilisation of the State’s resources, and point out the plan priorities;
 advise the Government regarding the formulation of plans;
 appraise the growth in the implementation of the schemes to identify the factors,
which have been tending to retard economic development of the State, and to
determine the circumstances to be formed for flourishing execution of the plans;
and
 take up such other studies and functions as may be assigned to it, from time to
time, and to make appropriate recommendations.
On the basis of above discussion, it can be stated that the Meghalaya SPB is not only
top advisory body but also contributing effectively in planning process.
It has been observed that in Kerala, Tamil Nadu and Meghalaya states, the State Planning
Boards/Commission are working effectively. In addition, the Punjab State Planning
Board has been making suggestions regarding approach to various plans, drafting them,
balancing the resources and socio-economic needs of the Punjab State, evaluating
plans and projects, and suggesting suitable measures for resource mobilisation; and
providing a vision for the long-term development. In this regard, Arora and Goyal have
opined, “Though an advisory board, it functions as the Department of Planning at the
Secretariat level and issues advice to other administrative departments of the state
government. It has played a major role in asking for and obtaining increased Central
assistance for numerous projects at the state level.” However, necessary efforts are
required to improve the working of SPBs in Rajasthan, Bihar, Uttar Pradesh, Karnataka
and Odisha. In Rajasthan, right from the very beginning, bureaucratic support to the
working of the State Planning Board has been half-hearted and lack-luster. The main
reason is the complacency of the political leaders and the bureaucrats with the existing
governmental machinery in the form of the Planning Department. Over a long period of
time, rigorous procedures and methods have been evolved, involving inter-departmental
and inter-level discussions during the formulation of plans. There is a feeling that a few
part-time outside experts would not be able to bring realistic vision into the planning
process. In short, lack of support to the State Planning Board emerges from the view
that such a Board, in the absence of the required level of resources, would be unable to
bring positive difference to the quality of the planning process at the state level. For
example, the Odisha State Planning Board has framed strategy papers for various sectors;
and has also drafted an approach paper to the 12th Five Year Plan. In the approach
paper, substantial emphasis was on improving human development indicators and
stepping up investment in social sectors, specially health, education and other social
safety nets (Arora, 2013). Though Deputy Chairpersons and members have been
appointed from time to time, the meeting of the Board has not been held even once in
the more than 10 years. In this regard, the Government of Odisha has started making
efforts to ensure that Board functions effectively.
As we have observed that the SPBs are contributing effectively in the selected states,
therefore their role in other states should be increased substantially; and they should be
90 strengthened and developed as true counterparts of the NITI Aayog at the State level
in all states of India. It has been observed that if the State Planning Board functions State Planning Board
properly with the backing of the State government, it can contribute effectively in drawing
up perspective plans in various sectors for the state; and design priority patterns for a
holistic development of the state. An effective monitoring and evaluation process through
a State Planning Board can help in resource mobilisation and effective resource utilisation.
The need of the hour is to give genuine accountability and status to the State Planning
Boards. The specialisation and proficiency that they can bring to their roles can help the
state governments to increase rationality in their developmental process and strengthen
their capacity to bargain for additional resources. It may be further found that the real
purpose for which they were created has not been achieved in some states. The joint
efforts of political leaders, administrators and citizens can facilitate to match the desired
goals of sustainable development through effective planning and efficient State Planning
Boards.
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Analyse the performance of State Planning Boards in any two states of India.
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2) What are the major functions of the Meghalaya State Planning Board?
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3) Discuss the major findings on the basis of performance of State Planning Boards
in selected states.
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6.5 CONCLUSION
The State Planning Boards are mainly concerned with broad economic policies,
perspective planning, plan formulation, and plan evaluation. The functions of SPB differ 91
State and District from State to State. It has been observed that if the State Planning Board functions
Administration properly with the backing of the State government, it can contribute effectively in drawing
up perspective plans in various sectors for the state; and design priority patterns for a
holistic development of the state. An effective monitoring and evaluation process through
a State Planning Board can help in resource mobilisation and effective resource utilisation.
The need of the hour is to give genuine accountability and status to the State Planning
Boards. The specialisation and proficiency that they can bring to their roles can help the
state governments to increase rationality in their developmental process and strengthen
their capacity to bargain for additional resources. It may be further found that the real
purpose for which they were created has not been achieved in some states. In this
regard, study has explored and highlighted successful examples also, which will pave
the way for other states to strengthen the State Planning Board in their states. In this
Unit, we have focused on the significance, composition, functions and process of State
Planning Board at the state level in view of the current perspectives of the states. It may
be concluded that planning is not a result of physical and financial targets. It is a tool in
providing a direction to the development effort at large. It has stood the test of time to
reach different sections of society, especially the marginalised ones. The joint efforts of
political leaders, administrators and citizens can facilitate to match the desired goals
through effective planning and efficient role of the State Planning Board.

6.6 GLOSSARY
Approach Paper : Approach paper refers to the paper of a
document, which will reflect the prime objectives
and goals for the forthcoming plans.
Plan : It is a document showing detailed scheme,
programme and strategy, which is worked out in
advance for fulfilling an objective.
Planning : It is the fundamental function that
involves deciding beforehand, what is to be done,
when it is to be done, how it is to be done and
who is going to do it. Thus, planning is a
process, which clearly lays down the objectives
of an organisation and develops various courses
of action, by which an organisation achieves
desired objectives.

6.7 REFERENCES
Arora, R. K. & Goyal, R. (2013).Indian Administration: Institutions and Issues.
New Delhi: New Age International Publishers.
Chakravarty, S. (1987). Development Planning: The Indian Experience. New Delhi:
Oxford University Press.
Government of Tamil Nadu, State Planning Commission. Retrieved from http://
[Link]/
Kerala State Planning Board. Retrieved from [Link]
Khandelwal, R.M. (1988). State Level Plan Administration in India. Jaipur: RBSA
Publisher.
92
Khera, S.S. (1963). District Administration in India. New Delhi: Sage.
Maheswari, S.R. (2002). Administrative Reforms Commission in India. New Delhi, State Planning Board
India: MacMillan.
Meghalaya State Planning Board. Retrieved from [Link]
Padhi, A.P. (1988). State Administration in India. New Delhi: Uppal Publishing House.
Pathak, K.K. (2011). Planning Development for Metropolitan Regions. New Delhi:
IIPA.
Planning Commission. (2008). Report on Manual on Integrated District Planning.
New Delhi: Government of India.
Planning Commission (24th February 1997). ”A Background Note on Gadgil Formula
for distribution of Central Assistance for State Plan”. New Delhi: Government of
India.
Punjab State Planning Board. Retrieved from [Link]
Ram, D.S. (1996). Dynamics of District Administration: New Perspective. New
Delhi: Kanishka.
Sarkaria Commission. Report on Centre-State Relations, [Link] Delhi:
Government of India
Sen, S.R. (April-June1961). Planning Machinery in India. Indian Journal of Public
Administration. Volume: VII . New Delhi: IIPA.
Sinha, A. (1993). State Level Planning System: Need for a Change. Jaipur: Rawat
Publication.

6.8 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your Answer should include the following points:
 Refer Section 6.2.
2) Your Answer should include the following points:
 A Board is headed by the Chief Minister with a few senior ministers, including
the Planning Minister and the Finance Minister as its members.
 The Chief Secretary and a few senior secretaries are members of the Board.
 The boards have several expert members full-time as well as part-time.
3) Your Answer should include the following points:
 Assessment of Economic Progress and Necessary Efforts
 Preparation of Economic Review
 Formulation of Plan
Check Your Progress 2
1) Your Answer should include the following points:
 Tamil Nadu
 Punjab
93
State and District 2) Your Answer should include the following points:
Administration
 Arrange an inventory of obtainable and potential resources of the State Capital;
 Arrange a perspective plan for the State for the most favourable and balanced
utilisation of the State’s resources, and point out the plan priorities;
 Advise the Government regarding the formulation of plans;
 Appraise the growth in the implementation of the schemes to establish the
factors, which have been tending to retard economic development of the
State, and to determine the circumstances to be formed for flourishing
execution of the plans; and
 Take up such other studies and functions as may be assigned to it, from time
to time, and to make appropriate recommendations.
3) Your Answer should include the following points:
 Refer Section 6.4.

94
UNIT 7 STATE FINANCE COMMISION*
Structures
7.0 Objectives
7.1 Introduction
7.2 State Finance Commission: Origin and Significance
7.3 Composition of State Finance Commission
7.4 State Finance Commission: Powers and Functions
7.5 Working of State Finance Commission: An Overview
7.6 Conclusion
7.7 Glossary
7.8 References
7.9 Answers to Check Your Progress Exercises

7.0 OBJECTIVES
After studying this Unit, you should be able to:
 Understand the origin and significance of State Finance Commission;
 Explain the composition of State Finance Commission;
 Describe the powers and functions of State Finance Commission; and
 Examine the role of State Finance Commission.

7.1 INTRODUCTION
In a federal setup, along with the balancing of functions and powers, there is a crucial
issue of distribution of financial resources between the Union and other units of
government. As the local bodies have meagre resources of their own, therefore they
have to depend on devolution of funds from the central and state governments. It has
been observed that they rely more on fiscal transfers from the state government in the
form of shared taxes and grants. These taxes are, generally, shared on the basis of
recommendations of the State Finance Commission (SFC) of the state. In addition to
the tax sharing, the SFC is assigned the task of reviewing the financial position of local
bodies; and recommending the assignment of various taxes, duties, fees, and grants in-
aid to be given to local bodies from the Consolidated Fund of the states. The constitution
of SFC at a regular interval of five years is mandatory requirement for all states in India.
As a SFC has functions similar to that of the Central Finance Commission, therefore for
better understanding we will briefly discuss the origin and functions of the Finance
Commission in the following Section.
It is to be noted that despite the elaborate and detailed constitutional provisions for the
division of financial resources between the Union and States, Indian states faced the
problem of a continuous gap between their own resources and the expenditure pattern.
* Contributed by Prof. Swinder Singh, Department of Public Administration, USOL, Panjab
University, Chandigarh. 95
State and District With this view, our Constitutional makers were quite cautious on this account and
Administration provided for a Finance Commission (FC) under Article 280 to recommend mainly the
financial transfers from the Union to states to reduce vertical as well as horizontal federal
fiscal imbalance. The FC is required to be constituted after the expiry of every five
years. The responsibilities assigned to the Commission, under the Constitution are
originally provided in Article 280 (3).The Finance Commission makes the following
recommendations to the President regarding:
 the distribution between the Union and the States of the net proceeds of taxes that
are to be divided between them, and allocation between the states of the respective
shares of such proceeds;
 the principles that should govern the quantum of grants-in-aid to states out of the
Consolidated Fund of India; and
 any other matter, that is, referred to the Commission by the President in the interest
of sound finance.
However, a similar sort of arrangement was desired since long in the sphere of State-
local relations. In this context, basic reforms in the sphere of decentralised governance
and empowering people through an effective local government assumed significance in
early 1990s. Besides other measures and reforms, devolution of financial resources to
these bodies was ensured through periodic constitution of the SFC under the 73rd and
74th Constitutional Amendments. After the passage of the 73rd and 74th Constitutional
Amendment Acts, the second function was changed in the following manner: To make
recommendations to the President as to the measures needed to augment the Fund of a
State to supplement the resources of the Panchayats and Municipalities in the state on
the basis of the recommendations made by the Finance Commission of the State. In
view of above, now we will discuss about the origin and significance of the SFC.

7.2 STATE FINANCE COMMISSION: ORIGIN AND

SIGNIFICANCE
Local bodies, rural as well as urban, have been accepted for having a great role in the
social, economic and political development. However, on account of various reasons
such as rapid population growth, urbanisation, poverty, and lack of proper devolution
of financial resources, the local governments have been subjected to heavy financial
strains. The Local bodies heavily depend on the state governments in matter of grants.
In this context, sources of revenue assigned to the local bodies are generally insufficient.
In order to rectify these shortcomings; and check the financial imbalance, a number of
suggestions have been put forward by various commissions and committees. One of
the important suggestions has been to setup a Finance Commission for every state on
the pattern of Central Finance Commission. It was suggested that on the pattern at the
national level there should be a system of appointment of State Finance Commission,
which should recommend a pattern of distribution of sources of income between the
state government and local bodies.
The Seventy Fourth Constitutional Amendment Act in the statement of its objectives
observed, “In many States, local bodies have become weak and ineffective on account
of a variety of reasons, including the failure to hold regular elections, prolonged
supersession and inadequate devolution of powers and functions. As a result, Urban
Local Bodies are not able to perform effectively as the vibrant democratic units of self-
government”. It further added that it is considered necessary that provisions relating to
96 local bodies are incorporated in the Constitution of India, particularly in regard to
functions and financial (taxation) powers; and arrangement for revenue sharing. State Finance
Accordingly, the necessary provisions were added and the long standing demand was Commission
accepted in early 1990s and became a part of the Constitutional Amendments in 1992.
The passage of 73rd and 74th Constitutional Amendments is a big milestone development
in the history of independent India. These amendments have incorporated wide ranging
provisions for dealing with electoral processes, finances, planning mechanisms besides
the broader composition and powers of the local bodies. An important aspect of these
amendments pertains to the finances of local bodies. The Amendment Acts provided
for setting up of State Finance Commission in each State. In order to meet the
constitutional requirements under Article 243 I and 243 Y inserted by the 73rd and 74th
constitutional Amendments to the Constitution, the states passed the legislation to setup
the State Finance Commission. Since 1993, the states have been setting up their
respective Finance Commissions for local bodies at the expiry of every five years.

7.3 COMPOSITION OF STATE FINANCE

COMMISSION
Most of the states have setup four to five Finance Commissions till the year 2019. As
noted above, a State Finance Commission is appointed at the expiry of every five
years. However, there is no fixed term of its working; and it ceases to exist as soon as
it submits its report. The experience of most of states indicates that a State Finance
Commission generally works for a period of one year to one and a half years.
In every state the appointment of State Finance Commission takes place on the basis of
its announcement made by the Governor; and it comes into existence from the date of
assuming of charge by its Chairman and members.
As far as composition of the Finance Commission is concerned, there is no uniformity
and not much variation too. It consists of a Chairman and a few members. In some
states their strength is specified by the state legislation. For instance in Punjab, the
Finance Commission consists of a Chairman and four other members. Similarly in Tamil
Nadu it consists of one Chairman and four members. In Haryana, the third Finance
Commission comprised of one Chairman and three members, whereas the fifth Finance
Commission consisted of seven members including one Chairman and one Member
Secretary.
Qualifications for Chairman/Members: Some of the states have clearly specified
the qualifications/conditions for the appointment of Chairman and members, while in
other states there is no such specification. In Punjab, the person to be appointed as
Chairman of the Finance Commission is required to have an experience in public affairs;
and the persons to be appointed as Members thereof are required to have:
 special knowledge and experience in economic and financial matters regarding
Panchayats; or
 special knowledge and experience in economic and financial matters regarding
Municipalities; or
 wide experience in financial matters, and administration; or
 special knowledge of economics.
Before appointing a person as a Chairman or Member of the State Finance Commission,
the Governor has to satisfy herself/himself that the person to be appointed has no financial
or any other interest as is likely to affect prejudicially her/his functions as Chairman or 97
State and District Member of the Finance Commission. After the appointment of Chairman and Members
Administration of the State Finance Commission, the Governor also has to satisfy herself/himself from
time to time with respect to the Chairman and Members of the Finance Commission
that they may have no financial or any other interests as it is likely to affect prejudicially
their functions as Chairman or Members of the Finance Commission and for that purpose
the Governor may require Chairman and the Members to furnish to her/him such
information as s/he considers necessary with a view to satisfy herself/himself as to whether
the Chairman or the Members have any such interests.
Disqualification: A person may be disqualified for being appointed as Member or for
being a Member of the Finance Commission, if:
 s/he is of unsound mind;
 s/he is an undercharged insolvent;
 s/he has been convicted of an offence, which involves moral turpitude; or
 s/he has such financial or any other interest, as is likely to affect prejudicially her/
his functions as a Member of the State Finance Commission.
Term of Members: Every member of the State Finance Commission holds office for
such period as may be specified in order of the Governor appointing her/him as such
but shall be eligible for reappointment, provided that s/he may, by a letter addressed to
the Governor, resign her/his office, at any time prior to the period specified in her/his
appointment letter.
Conditions of Service: The Chairman and Members of the Finance Commission may
render whole time or part time service to the State Finance Commission as the Governor
may in each case specify; and they shall be paid fees or salaries and such allowances as
the State Government may prescribe from time to time. (The Punjab Finance Commission
for Panchayats and Municipalities Act, 1994, [Link]
bare-acts/state-acts-rules/punjab-state-laws/punjab-finance-commission-for-
panchayats-and-municipalities-act-1994/)

7.4 STATE FINANCE COMMISSION: POWERS AND

FUNCTIONS
As noted earlier, the Finance Commission at the state level are being constituted to
review the financial position of the Panchayats and Municipalities; and make
recommendations. In every state, a notification is issued every time for appointment of
the State Finance Commission and generally carries terms of reference. In this regard,
as per the Finance (Finance Commission-IV) Department, [Link].584 dated 14th
December 2004 Government of Tamil Nadu, the State Finance Commission shall study
and review the financial position of the rural and urban local bodies namely village
panchayats, panchayat union councils, district panchayats, municipalities and municipal
corporations; and make recommendations as to the matters mentioned below:
 The principles that should govern:
– the distribution between the state and local bodies of the net proceeds of the
taxes and duties levied and collected by the state;
– the determination of taxes, duties, tolls and fees, which may be assigned to,
or appropriated by the local bodies; and
98 – the grants-in-aid to the local bodies from the Consolidated Fund of the State.
 The measures needed to improve the financial position of the panchayats and State Finance
municipalities. Commission

 Any other matter referred to the Finance Commission by the Governor in the
interest of sound financial position of the local bodies.
In some states, their notification carries some more details regarding the functions and
duties assigned to the State Finance Commission. For instance, the third Finance
Commission in Tamil Nadu and the subsequent commissions were asked to go further
in addition to the tasks listed above. The commission was asked to suggest the:
 measures, which are required to improve the financial position of the local bodies
taking into account inter-alia, their level of debt, pension and interest payment
liabilities, possibilities of regulating the borrowing power and containing the debt
liabilities of local bodies depending on their resource position and their ability to
service the debt;
 measures required to bring about greater efficiency in functioning of local bodies in
the mobilisation and use of their resources as Local Self-Government, and
suggestions on demarcation of functions of the State Government vis-a-vis local
bodies taking into account the prevailing levels of delegation of administrative,
functional and financial powers to local bodies with reference to the functions
enumerated in the Constitution of India and the concomitant State Legislations;
 draw a monitorable fiscal reforms programme, which will be aimed at reduction of
revenue deficit of the local bodies, and a scheme for providing an incentive to local
bodies within the ambit of devolution mechanism, that is, linked to progress in
implementing the programme, taking into account the measures and the extent to
which the local bodies have implemented such measures to exploit the available
and potential sources of the revenue, and the State Finance Commission and
Central Finance Commission grants;
 possible new avenues for tapping resources in rural and urban local bodies, keeping
in view the local body tax structure in other states;
 measures, after review of the present system for assessing the accountability of the
local bodies in utilising the resources raised or received from the State and Central
Governments and other agencies, and also the maintenance of local body accounts
and database on the basis of recommendations of the Central Finance Commission,
for an effective operation of these recommendations;
 measures to improve the administrative arrangements already made by the
Government consequent on the reclassification of Town Panchayats;
 The Commission shall also suggest reclassification of other local bodies also keeping
in view their present status and the re-organisation exercise, which is already
undertaken for the town Panchayats; and
 in making its recommendation, the Commission shall keep in view the resources of
the State Government, demands thereon, expenditure of the State on person and
debt servicing, including the debt servicing on behalf of the local bodies/other
committed expenditure or liabilities of the State Government and the need to generate
adequate surplus on revenue account for State’s Commitments on Capital account
and commitments of the State Government (Tamil Nadu Fiscal Responsibility Act-
2003, [Link]
99
State and District The State Finance Commission shall also focus and recommend regarding:
Administration
 the classification of rural and urban local bodies as per the guidelines of Government
of India and consequences;
 existing level of devolution and other resource transfer from the State and Central
Governments, and other agencies that include the award and recommendations of
the Finance Commission to the local bodies and their adequacy;
 the requirement of local bodies for meeting revenue expenditure (including
maintenance of capital assets) in view of the need for generating surplus for capital
investment;
 the revenue resources of the local bodies for the next financial years;
 the scope for better fiscal management in major components of recurring and non-
recurring items of expenditure; and
 the status of implementation of the recommendations of the Finance Commission
and State Finance Commission, and utilisation of resources by the local bodies.
The State Finance Commission shall also review the functions of Gram Sabha, its linkages
with Non-Governmental Organisations, line agencies/departments on par with other
states and suggest necessary measures to strengthen the grassroots democracy.
The first SFC in Punjab kept the following objectives before it, while making the
recommendations:
 To provide adequate funds to the local bodies;
 To enable the local bodies to maintain essential services at a desirable level;
 To create a financial surplus;
 To correct the vertical and horizontal imbalances among the local bodies; and
 To encourage fiscal responsibility and autonomy.
Procedures and Powers of SFCs
In order to charge its functions in a time bound-manner; and make observations and
recommendations on the basis of authentic facts, figures and appropriate information.
The Finance Commissions are generally empowered for this in most of the states. For
instance, as per the government notification in Punjab, the State Finance Commission
may determine its procedure in the performance of its functions; and has all the powers
of a Civil Court under the code of Civil Procedure, 1908 while trying a suit in respect of
the following matters, namely:
 Summoning and enforcing the attendance of witnesses;
 Requiring the production of any document; and
 Requisitioning any public record from any court or office.
The Governor passes every recommendation made by the State Finance Commission
under the Act together with explanatory memorandum as to the action taken thereon to
be laid before the legislature of the State.
In the report of Fifteenth Finance Commission: “The total grants to local bodies for
100
2020-21 has been fixed at Rs 90,000 crore, of which Rs 60,750 crore is recommended
for rural local bodies (67.5%) and Rs 29,250 crore for urban local bodies (32.5%). State Finance
This allocation is 4.31% of the divisible pool. This is an increase over the grants for Commission
local bodies in 2019-20, which amounted to 3.54% of the divisible pool (Rs 87,352
crore). The grants will be divided between states based on population and area in the
ratio 90:10. The grants will be made available to all three tiers of Panchayat- village,
block, and district”. In this regard, joint efforts of political leaders, administrators and
citizens will pave the way for timely implementation of the recommendations of the
SFC in the state, which is necessary for local bodies to perform effectively (Report of
the 15th Finance Commission for FY 2020-21, [Link]
summaries/report-15th-finance-commission-fy-2020-21).
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) What are the basic functions of a State Finance Commission?
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2) Discuss the objectives of first Punjab Finance Commission.
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3) Explain the procedures and powers of State Finance Commission.
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7.5 WORKING OF STATE FINANCE COMMISSION:

AN OVERVIEW
As we have noted above that the State Finance Commissions are appointed in the
states, after the expiry of every five years. The Commissions are required to recommend
the principles that should govern the distribution of financial resources between state
government and local bodies – Panchayati Raj Institutions as well as the Urban Local
101
State and District Bodies. These commissions are also required to suggest necessary measures to improve
Administration the financial position of panchayats and municipalities. Since 1993-94, most of the
states have constituted four to five commissions keeping in line with the constitutional
requirement. As far as the functions or a term of reference for the State Finance
Commission is concerned, it has been observed that there is basic similarity in most of
the states. However, some of the states have been assigning additional duties to their
commissions. The Uttar Pradesh and Tamil Nadu have been asking for added tasks
and responsibilities to their SFCs.
It has also been observed in their reports that the State Finance Commissions have
been adding valuable suggestions relating to other aspects too, besides the finances and
resources. An analysis of the various reports of SFCs reveals that they have been
making a variety of recommendations regarding the overall working of local bodies,
their system of conduct of meetings, maintenance of records, ensuring transparency
in their working, fixing of accountability, suggesting ways and means to tap new
resources; and various administrative measures to improve the efficiency and
effectiveness of local bodies. The SFCs need to energise the scheme of fiscal de-
centralisation while determining the effective allocation of resources for rural and urban
local bodies. It has been observed that some reports of the SFCs have been analytically
weak. In this context, the main reasons are inadequately staffed SFCs; and weak data
base. In addition, their recommendations have also been ignored by the state government,
thus denying the rural local bodies their rightful share of state resources, which affect
their functioning. Emphasising on the special measures to increase the resources of
local bodies, the SFCs have been enumerating tax reforms and other measures for this
purpose. The Tamil Nadu SFC, for instance, suggested a number of new taxes for
local bodies such as betting tax, lighting tax, surcharge on sales tax, income from
minor minerals, taxes on hotels and guest houses, library tax, etc. On the similar lines
in Uttar Pradesh and in some other states a range of new taxes and other measures
were suggested by the SFCs, which were also implemented by the governments.
The Property Tax was introduced by Zila Parishad, whereas village panchayats of
Tamil Nadu levied House Tax in its place. The PRIs of UP have gone step further by
levying surcharge on various taxes such as property tax, land revenue, sales tax,
construction fee and so on.
In Punjab, the First SFC observed that the financial condition of the local bodies is far
from satisfactory as the actual funds available to these institutions are far below to what
are necessary to discharge even the obligatory functions of these bodies. “It is essential
that for their growth and stability, the Municipalities should have growing resources in
their domain. Apart from the tax, non-tax revenues and the transfer from higher levels
of Government, the Municipalities should also rely on the institutional loans to promote
the development and revenue yielding projects.” The Commission looked in the need
for financial discipline, which means economy in expenditure and optimisation of revenue
effort.
The Commission, in its analysis of finances of Municipalities, in particular, examined the
major problems arising from:
 imbalance between revenue and expenditure;
 imbalance amongst similarly placed classes of the Municipalities;
 dependence of Municipalities on higher levels of the Government; and
 Inadequacy of tax base and inadequate resource mobilisation by the Municipal
102 Committees.
The Third SFC of Punjab indicated a whopping shortage of Rs. 664 crores that should State Finance
have been transferred to PRIs. The Third Finance Commission added that essential Commission
funds are shown to have been released to Gram Panchayats for the implementation of
centrally sponsored schemes such as Swarnajyanti Gram Swarozgar Yojana, Sampoorna
Grameen Rozgar Yojana, Indira Awaas Yojana, Pradhan Mantri Gramodaya Yojana,
etc. Since the role of Gram Panchayats in the implementation of these programmes is
marginal as such these funds are not utilised by them as their own funds.
The Commission also observed that major portion of PRI’s expenditure is on traditional
civic functions only; and the expenditure on development and related activities is only
marginal. The commission made a happy note that the government has initiated the
process of decentralisation, transferring many wider functions relating to other
departments, such as, rural water supply, health, education, uplift the poor women and
child welfare etc. to PRIs, an initiative that will have far reaching implications.
In order to assure that the recommendations of SFCs are taken seriously and are
actually implemented, the Third Finance Commission recommended that an Action
Taken Report must be submitted by the Government before the state legislature; and an
Implementation Committee must be constituted by the government.
In fact in most of the states, the SFC reports also carry a chapter/part on “Action
Taken on Report”, which indicates the seriousness of respective governments towards
the implementation of the recommendations of SFCs.
It has also been observed that the SFCs face a number of constraints in their working
and also towards the implementation of their recommendations. This is mainly due to
political administrative and financial reasons. Along with this, the negative attitude of
political and administrative leadership; and the lack of clarity about the role and functions
of local bodies create the dismal scene. Moreover, the SFCs face dearth of reliable
data, and lack of cooperation on the part of officials and functionaries.
It is also not an encouraging fact that most of the valuable recommendations of SFCs
are either not implemented or are implemented partially.
A Study conducted under the Reserve Bank of India (RBI) in 2009 made certain
observations and recommendations towards strengthening the SFCs. It recommended,
providing a uniform template to the SFCs so that they are not constituted in a casual
manner. Incentive wise the State Governments have to setup a data warehouse for the
local bodies. Regarding the composition of SFCs, it has been a general tendency in
most of the states to appoint the bureaucrats, working or retired, as members of the
SFCs. In this context, study suggested to setup a central pool of fiscal experts, from
which the state government may select at least one member of the SFC.
Major Concerns:
 States have not been setting up their SFCs regularly, as mandated.
 They are not submitting the reports in time, lacking the proficiency.
 They have huge task of considering large number of local governments.
 They face a crucial problem of reliable data.
 The SFCs and local governments are seen to be of inferior constitutional status
from the Union Finance Commission.
The Eleventh Finance Commission, in its report, noted the following features of various
State Finance Commissions reports:
103
State and District  Lack of synchronicity in the periods covered by the reports as well as the Finance
Administration Commissions;
 Extreme diversity in the approach, the period covered as well as quality of the
reports of the different SFCs; and
 Delay on the part of State Governments in finalising the Action Taken Reports and
placing them in the state legislatures.
A Study of 20 states revealed, “… as far as the recommendations regarding devolution
is concerned it was more or less accepted by a large number of States without any
modifications. However, the recommendations of the 3rd SFC of Manipur, 4th SFC of
Rajasthan, 5th SFC of Sikkim, 4th SFC of Uttar Pradesh and 4th SFC of West Bengal
were accepted with some modifications while the action taken report of the Gujarat
government for its 2nd SFC is strangely silent on the issue. The recommendations of the
5th SFC of Kerala and 4th SFC of Maharashtra were totally rejected by the state
government”. In this context, strengthening the SFCs for empowering Rural and Urban
local bodies is necessary. The Fourteenth Finance Commission analysed the
recommendations of the SFCs, and felt that there is an urgent need for States to facilitate
the effective working of the SFCs. Keeping above in view, it recommended that the
State Governments should focus on strengthening the SFCs. The State government has
to make necessary arrangements for timely constitution, proper administrative support
and adequate resources for smooth functioning; and timely placement of the SFC report
before the State legislature, along with action taken report. The States are also expected
to act promptly on the recommendations of the SFCs by placing the Action Taken
Reports before the State legislature in a timely manner (Chakraborty, October 2018,
pp.4-5 [Link]
Overview%20of%20SFC%[Link]).
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Discuss the composition of a State Finance Commission.
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2) Highlight the working of State Finance Commissions.
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104
3) Enumerate the major problems related to finances of Municipalities. State Finance
Commission
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7.6 CONCLUSION
Finance is the fuel for the engine of administrative machinery. It has been correctly
pointed out that governance is quite close to financial management. This is also quite
relevant to local government. The efficiency of local institutions greatly depends upon
its finances. Although there is a long list of financial resources to these institutions,
these significant institutions suffer from the malaise of paucity of funds. In this unit, we
have discussed that there has been a long standing demand to make some permanent
arrangement to strengthen the financial position of the local bodies, which appeared to
have been fulfilled through the amendments in 1992. As per provisions of the 73rd and
74th Constitutional Amendment Acts, states have appointed the State Finance
Commissions. These commissions recommend to the state government regarding
devolution of resources, grants-in-aid to local bodies; and suggest measures to improve
the financial conditions of the local bodies.
In this unit, we have focused on origin, significance, composition, powers, functions
and working of the State Finance Commission. It was a historic step, and the state
governments started the process of setting up the SFCs every five years. Over the
years, through their reports the SFCs have made a series of valuable recommendations
in most of the states. These are quite significant recommendations, which can go a long
way to strengthen the financial health of the local bodies, provided these are substantially
implemented by the state governments.

7.7 GLOSSARY
Consolidated Fund of State : It is the most important of all Government
accounts, which was constituted under Article
266(1) of the Constitution of India. Revenues
received by the Government and expenses made
by it, excluding the exceptional items, are part of
the Consolidated Fund A Consolidated Fund of
State (separate fund for each state) has been
established for all revenues received by the state.
Obligatory Functions : These functions are compulsory in nature. In case
of Municipal Corporation, it undertakes supply
of pure drinking water and construction and
maintenance of waterworks, taking preventive
measures for the checking of contagious diseases,
registration of births and deaths etc.

105
State and District
Administration 7.8 REFERENCES
A Comparative Study of State Finance Commissions in India. Retrieved from https:/
/[Link]/bitstream/10603/52824/2/02_abstract.pdf
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.
Bohra, O.P. (1998). Emerging Trends in State Local Fiscal Relations in India.
Hyderabad, India: National Institute of Rural Development.
Chakraborty, P., Gupta M. & Singh, R.K.(October 2018). Overview of State Finance
Commission Reports. Retrieved from [Link]
html_en_files/fincom15/StudyReports/Overview%20of%20SFC%[Link]
Ghosh,T.K. (2017). Local Self-Government in India. Finances, Functions and
Functionaries. Lambert Academic Publishing.
Pethe, A., Misra, B.M. & P.B., Rakhe. Strengthening Decentralisation – Augmenting
the Consolidated Fund of the States by the Thirteenth Finance Commission: A
Normative Approach. Retrieved from [Link]
[Link]?id=
Rao, P.N.S. (2006). Urban Governance and Management. New Delhi, India: Indian
Institute of Public Administration
Rao, P.N.S. & Srivstava, G.C. (2003). Municipal Finance in India. New Delhi,
India: Indian Institute of Public Administration.
Report of the 15th Finance Commission for FY 2020-21. Retrieved from https:/
/[Link]/report-summaries/report-15th-finance-commission-fy-2020-21
Singh, S. & Singh, S. (1985). Local Government in India. Jalandhar, India: New
Academic Publishing Co.
Tamil Nadu Fiscal Responsibility Act- 2003. Retrieved from http://
[Link]/tnweb_files/FRBM/FRA%[Link]
The Constitution of India. Retrieved from [Link]
constitution-india/constitution-india-full-text
The Punjab Finance Commission for Panchayats and Municipalities Act, 1994,
[Link]
punjab-finance-commission-for-panchayats-and-municipalities-act-1994/

7.9 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your answer should include the following points:
 SFCs are required to recommend the Principles that should govern the
distribution of resources between the State and Local Bodies, such as taxes
and grants.
 Suggest necessary measures to improve the financial position of local bodies
106 (rural and urban).
2) Your answer should include the following points: State Finance
Commission
 To provide adequate funds to local bodies;
 To enable the local bodies maintain the essential services at a desirable level;
 To create a financial surplus;
 To correct the vertical and horizontal imbalances among the local bodies;
and
 To encourage fiscal responsibility and autonomy.
3) Your answer should include the following points:
 Refer Section 7.4
Check Your Progress 2
1) Your answer should include the following points:
 There is no uniformity.
 A SFC is generally comprises of One Chairman and three to six members.
2) Your answer should include the following points:
 SFCs are appointed in all the States, after the expiry of every five years.
 The Commissions are recommending the principles that should govern the
distribution of financial resources between the State government and Local
bodies.
 Some of the states, such as Uttar Pradesh and Tamil Nadu have been assigning
additional duties to their commissions. As a result, those commissions have
been adding valuable suggestions regarding other aspects also besides finances
and resources.
 SFCs have been making a variety of recommendation to improve the efficiency
and effectiveness of the local bodies.
 Tamil Nadu SFC has suggested new taxes for local bodies.
 Examines the major problems.
 Most of the Valuable recommendation of SFCs is either partially implemented
or not implemented.
 Action Taken Report is recommended to ensure the seriousness of the
government towards the implementation of the SFCs recommendation.
3) Your answer should include the following points:
 Imbalance between revenue and expenditure;
 Imbalance amongst similarly placed classes of the Municipalities;
 Dependence of Municipalities on higher levels of the Government; and
 Inadequacy of tax base, and inadequate resource mobilisation by the Municipal
Committees.
107
UNIT 8 STATE ELECTION COMMISSION*
Structure
8.0 Objectives
8.1 Introduction
8.2 State Election Commission: Significance
8.3 State Election Commission: Composition and Setup
8.4 State Election Commission: Powers
8.4.1 Power of Election Commission as a Civil Court
8.4.2 Power to Make Rules

8.5 State Election Commission: Functions

8.6 Election Tribunal
8.7 Role of State Election Commission
8.8 Conclusion
8.9 Glossary
8.10 References
8.11 Answers to Check Your Progress Exercises

8.0 OBJECTIVES
After studying this Unit, you should be able to:
 Describe the significance of an Election Commission;
 Discuss the Composition of State Election Commission;
 Explain the powers and functions of State Election Commission;
 Highlight the role of State Election Commission; and
 Examine the impact of State Election Commission in democratic governance at
the grass roots level.

8.1 INTRODUCTION
For a democratic polity, conduct of free, fair and impartial elections is considered to be
the most essential feature. India has the distinction of being the world’s largest democracy.
As you know, the Constitution of India under Article 324 has specifically provided for
an independent Election Commission to conduct elections of the President and Vice-
President of India; and elections for the Lok Sabha, Rajya Sabha, Vidhan Sabha and
Vidhan Parishad. After the 73rd and 74th Constitutional Amendments, a provision was
made to setup a State Election Commission (SEC), to carry out activities related to
supervision, direction and control of elections to the local bodies-Panchayats and
Municipalities. In this unit, we will be focusing on the significance, composition, powers,
functions and role of the SEC.
* Contributed by Prof. Swinder Singh, Department of Public Administration, USOL, Panjab
108 University, Chandigarh.
State Election
8.2 STATE ELECTION COMMISSION: Commission
SIGNIFICANCE
The crux of political development in any country lies in the cultivation of institutions and
processes conducive to people’s participation. The institutions of local government
provide a way of reconciling people’s desires, their enthusiasm and active participation
in governance. In other words, the institutions of local government fulfil the democratic
needs of people; and serve as the channels of expression of political consciousness.
The local government can contribute in strengthening the democratic institutions, which
require sincere efforts. For a long time, this has been a serious problem in India. Since
independence, most of the state governments in India have been showing lukewarm
attitude towards the development of self-governing local bodies. There has been
widespread arbitrariness in superseding these institutions; and elections were not held
in many states for years. An example on this count is that of Himachal Pradesh, where
elections to Shimla Municipal Corporation along with 15 towns were held in 1986 after
a gap of 26 years. Similar other examples can be found in various other states too. In
Punjab, three Municipal Corporations were established in 1977, but these remained as
undemocratic bodies for a long period.
In order to remove this problem, there has been a repeated demand from various
corners to devise a mechanism for regular and fair elections to the local bodies. It was
fulfilled as a part of 73rd and 74th Constitutional Amendment Acts, which carried the
provision of establishing a SEC to be appointed by the Governor to supervise, direct
and control the elections to the Panchayat and Municipal bodies. In this regard, Article
243 ZA with Article 243 K provides that superintendence, direction, control relating to
conduct of all elections of Panchayats and Municipalities is to be the responsibility of
the SEC. The Article 243 U, incorporated through the Constitutional amendment,
provides for fixing the tenure of all local bodies at five years; and in case of dissolution
before the expiry of five years, the local bodies would go for re-election within a period
of six months of dissolution. This highlights the role of a SEC to conduct regular elections
after the expiry of every five years, and whenever these are required in between for the
residue term only.
Ever since the adoption of the Constitutional provisions, the states passed their own
legislations for the Panchayats and Municipalities, and incorporated the provision for
setting up of a State Election Commission. However, some states, such as Punjab has
passed a separate Act for setting up of the SEC. Most of the states constituted State
Election Commissions, which have been entrusted with the functions of conducting
regular, free, fair and impartial elections to the local bodies in the state. It may be
added that the Commissions, would determine to what extent people’s involvement
could ultimately be secured to establish linkage between local leadership and government
to translate policies of the government.

8.3 STATE ELECTION COMMISSION:

COMPOSITION AND SETUP
In all the states, the State Election Commissions are headed by a State Election
Commissioner appointed by the Governor. However in some states like Punjab, there
is a provision for the appointment of a Deputy Election Commissioner. In most of the
states, a retired Civil servant or a Retired Judge is appointed as the Election
Commissioner. We may here take up the case of Punjab.
109
State and District i) Election Commissioner
Administration
The Governor by notification in the Official Gazette, appoints, a) an officer of the State
Government not below the age of fifty-five years, and of the rank of Financial
Commissioner, or the Principal Secretary to the State Government having service as
such for a minimum period of two years or b) a serving or retired Judge of the High
Court as State Election Commissioner.
Provided that no officer, who has attained such age of superannuation, as may from
time to time be fixed by the State Government, shall be appointed as Election
Commissioner. On ceasing to hold office of Election Commissioner, s/he becomes
ineligible for any further appointment under the State Government.
ii) Deputy Election Commissioner
The State Government appoints one or more than one Deputy Election Commissioners
to assist the State Election Commissioner in the discharge of her/his duties under this
Act and the rules made there under, and also appoints Secretary to the SEC.
iii) Other Election Officers
a) District Electoral Officer: There is a District Electoral Officer for each
district, subject to the superintendence, direction and control of the SEC. At
the district level, District Electoral Officer mainly supervises the preparation,
revision and correction of electoral rolls. The officer also performs such other
functions, as entrusted to her/him by the SEC.
b) Electoral Registration Officer: The electoral rolls for each Panchayat or
Municipality are prepared, and revised by an Electoral Registration Officer.
An Electoral Registration officer employs persons for the preparation and
revision of the electoral rolls for the Panchayats or Municipalities.
c) Returning Officer: For every constituency, for every election to fill a seat
or seats in a Panchayat or Municipality, the SEC in consultation with the
State Government, designates or nominates an officer of the State Government
or of a local authority as a Returning Officer, and one or more Assistant
Returning Officers.
d) Polling Stations and Presiding Officers: District Electoral Officer,
provides a sufficient number of polling stations for every constituency, within
her/his jurisdiction, and publishes a list showing the polling stations and the
polling areas or groups of voters.
The District Electoral Officer appoints a Presiding Officer for each polling station and
Polling Officer(s) as s/he thinks necessary. In this regard, a Polling Officer, as per the
direction of Presiding Officer, performs the functions.
Duties of Presiding Officer: At a polling station, the Presiding Officer ensures order
and fair conduct of polls; and the Polling Officer assists her/him in the performance of
her/his functions.
In another state, that is, Tamil Nadu, the SEC is headed by an Election Commissioner
who is assisted by a Secretary. The Secretary is assisted by a large number of
administrative and technical staff, such as Chief Administrative Officer, Financial Advisor
and Chief Accounts Officer, Principal Election Officer (Panchayats), Principal Election
Officer (Municipalities), Legal Advisor, Public Relations Officer (PRO), Computer
110 Programmer, etc.
State Election
8.4 STATE ELECTION COMMISSION: POWERS Commission
Besides the above stated functions of a SEC, it is generally enabled to exercise certain
powers in order to smooth discharge of its duties. The Punjab State Election Commission,
for instance, provides for the following set of powers (Punjab State Election Commission,
[Link]

8.4.1 Power of Election Commission as a Civil Court

The Election Commission has the power of a Civil Court for an inquiry, in the following
matters:
i) Summons and enforces the attendance of any person, and examining her/him on
oath.
ii) Requires the discovery and production of documents or other material object
producible as evidence.
iii) Requisitions of public record or a copy thereof from any court or office.
iv) Receives evidence on affidavits.
v) Issues orders for the examination of witness or documents.
In addition, the SEC has the power to inquire any person subject to any privilege,
which may be claimed by her/him to furnish information on such points or matter as in
its opinion may be useful for the subject matter of inquiry.
The SEC is deemed to be a Civil Court and when any such offence (section 175,
section 178, section 179, section 180 or 228 of the Indian Penal Code 1860) is
committed in the view or presence of the Commission, it forwards the recorded facts
constituting the offence and the statement of the accused to a Magistrate having
jurisdiction.

8.4.2 Power to Make Rules

The State Government, after due consultation with the SEC, by notification in the Official
Gazette, makes rules for carrying out the purposes, for following matters:
i) The duties of the Presiding Officers and Polling Officers.
ii) The checking of voters with reference to the electoral roll.
iii) The manner in which votes are to be given in the constituency.
iv) The procedure to be followed in case of tendering a vote by a person representing
herself/himself to be an elector.
v) The manner of giving and recording of votes by means of voting machines, and the
procedure as to be followed at polling station where such machines will be used.
vi) The security and counting of votes before the declaration of result of election.
vii) The procedure for counting of votes recorded by means of voting machine.
viii) The safe custody of ballot boxes, voting machines, ballot papers and other necessary
papers for the specific period for which such papers shall be preserved; and
inspection and production of such papers.
111
State and District ix) The place, date and time at which claims or objections shall be heard; and the
Administration manner in which such claims or objections shall be heard and disposed of.
x) The final publication of electoral rolls for the constituencies.
xi) Election agents, election expenses and so on.
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) What is the basic purpose of setting up of a State Election Commission?
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2) Discuss the composition and setup of State Election Commission in a state.
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3) What are the major powers of a State Election Commission?
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Before we interpret the functions of State Election Commission, it would be appropriate
to have a brief look on the functions of the Election Commission at the Centre. These
functions are outlined in Article 324-329 of the constitution.
i) The Election Commission supervises, directs, control and conducts the elections
in the country. It is charged with the responsibility to conduct free and fair elections.
ii) It prepares the electoral rolls of each constituency of Lok Sabha as also of the
state Vidhan Sabha. The electoral rolls are revised and updated after every census
operation and before every election.
iii) It conducts the elections to the Lok Sabha and state Vidhan Sabhas whenever the
elections fall due. It also holds the bye-elections. It is responsible for conducting
112 elections to the Vidhan Parishads (upper house of the state legislature) wherever
they exist. It also conducts elections to the Rajya Sabha /after every two years State Election
since 1/3rd members of the Rajya Sabha retire after every two years. Commission

iv) It conducts the elections of the President of India and the Vice-President whenever
they fall due. It prepares the voters list and works out the quota of votes needed to
win the election along with the weightage and the value of each voter of Electoral
College.
v) In order to conduct the election, the Election Commission can demand the services
of required persons from the centre as well as the states. Out of these officials, the
Commission appoints the Returning Officers, the Presiding Officers and other
polling officers.
vi) After the General Election, the Election Commission grants recognition to the
political parties - whether the party is a National level or a State level.
vii) In order to conduct the elections in a fair and impartial manner, the Election
Commission determines and announces the code of conduct for the election.
viii) The Commission also grants symbols for the election to the “Independent”
candidates.
After a clear understanding of the role and functions of the Finance Commission at the
Centre, in the subsequent section, we will explain the functions of SEC.

8.5 STATE ELECTION COMMISSION: FUNCTIONS

As noted earlier, the State Election Commission in each state has been constituted to
conduct free and fair elections to the local bodies. For this purpose, the Commission is
required to undertake a large number of functions and related activities. For instance in
Gujarat, the SEC carries out activities related to preparation of wards/election division
as per local body’s rules, decision of boundaries, and distribution of seats along with
preparation of voters list for the local bodies like Gram Panchayat, Taluka and District
Panchayat/Municipality and Municipal Corporation of the state; and conducting general/
mid-term/bye-elections, and supervising them. For all these functions, the authority is
vested in the SEC under Article 243K under which it has been empowered with
superintendence, direction and control of elections of local bodies. We can, now,
elaborate a bit on the following functions of SEC being undertaken in most of the
States:
i) Preparation of Electoral Rolls: For every Panchayat and Municipality there is
an electoral roll, which is prepared under the superintendence, direction and control
of the SEC. The electoral roll for each constituency is prepared in the prescribed
manner and comes into force in accordance with the rules made under the Act.
The Electoral Rolls for every Constituency is revised:
a) before every general election; and
b) before every bye-election to fill a casual vacancy.
ii) Appointment of Dates for Nominations, etc.: As soon as the notification calling
upon a constituency to elect a member is issued, the SEC appoints:
a) last date for making nominations, which is the seventh day after the date of
publication of the first mentioned notification; and in case of public holiday,
the next succeeding day, that is, not a public holiday;
113
State and District b) date for the scrutiny of nominations for election;
Administration
c) last date for the withdrawal of candidature by the candidate;
d) date when a poll has to be taken; and
e) last date, before which the election is to be completed.
iii) Public Notice of Election: On issuance of a notification, the Returning Officer
gives public notice of the intended election, inviting nominations of candidates for
election; and specifying the place at which the nomination papers will be delivered.
iv) Nomination of Candidates for Election: Any citizen may be nominated as a
candidate for election to fill a seat, if s/he is qualified.
v) Publication of List of Contesting Candidates: After the expiry of period within
which candidatures are withdrawn, the Returning Officer prepares and publishes
a list of contesting candidates, that is, the list of validly nominated candidates; who
have not withdrawn their candidatures within the laid period. The list contains the
names in alphabetical order and the addresses of the contesting candidates as
given in the nomination papers, which were together with other particulars.
vi) Fixing Time for Poll: The SEC fixes the hours during which the poll will be
conducted, and the fixed hours are published. The period allotted for polling at an
election cannot be less than eight hours a day.
vii) Adjournment of Poll in Emergencies: If the proceedings at any polling station
are interrupted or obstructed, the Presiding Officer may announce an adjournment
of the poll under her/his jurisdiction.
viii) Counting of Votes: After every election of Panchayat or Municipality, votes are
counted under the supervision and direction of the Returning Officer.

8.6 ELECTION TRIBUNAL

Some of the states have provided for a provision to setup an Election Tribunal at the
State level to take up election related disputes. In this regard, in Punjab, an Election
Tribunal is constituted by the State Government in consultation with the SEC for each
district or part thereof, at the District or Sub-Divisional Headquarters. The State
Government by Notification in the official gazette appoints an IAS or PCS Class I/
Group A Officer of the State Government having adequate administrative, legal or
magisterial experience, as the Presiding Officer of an Election Tribunal.
It is to be noted that no election is called in question, except by an Election Petition
presented in accordance with the provision of the Act. In this regard, only the Election
Tribunal, having jurisdiction, has the power to adjudicate upon the Election Petitions.
However, the Election Tribunal in its discretion may, in the interest of justice or
convenience try an Election Petition wholly or partly, at a place other than its specified
headquarters.
Procedure before the Election Tribunal
Subject to the provision of the Act, every Election Petition is tried by the Election
Tribunal, as nearly as may be in accordance with the procedure contained in the Code
of Civil Procedure, 1908 (Central Act 5 of 1908) to the trial of suits. “The Election
Tribunal shall have the discretion to refuse, for reasons to be recorded in writing, to
114 examine any witness or witnesses, if it is of the opinion that the evidence of such witness
or witnesses is not material for the decision of the election petition or that the party State Election
tendering such witness or witnesses is doing so on frivolous grounds or with a view to Commission
delay the proceedings of the election petition.” (Punjab State Election Commission
Act, 1994, Chapter XII (81)). The provisions of the Indian Evidence Act, 1872 (Central
Act 1 of 1872) subject to the provisions of the Act, apply in all respects to the trial of an
Election Petition. First of all, we will discuss the corrupt practices and electoral offences,
which can be observed during the elections.
Corrupt Practices and Electoral Offences
Here it would also be appropriate, if we have a look into the general corrupt practices
during the elections.
The following are deemed to be corrupt practices under the SEC Act (Punjab):
I) Bribery
i) Any gift offer or promise by a candidate or her/his election agent of any
gratification to any person directly or indirectly inducing:
a) A person to stand or not to stand as a candidate at an election; or
b) An elector to vote or refrain from voting, especially at an election or as
a reward to:
– a citizen for having so stood or not stood as a candidate, or for
having withdrawn, or not having withdrawn her/his candidature, or
– an elector for voting or refrained from voting.
ii) The receipt/agreement to receive, any gratification, whether as a native or
reward:
a) by a person for standing as a candidate or withdrawing from being a
candidate; or
b) by a person for herself/himself for voting or refraining from voting, or
inducing any elector to vote or refrain from voting, or any candidate to
withdraw her/his candidature.
II) Undue influence, that is, any interference or attempt to interfere on the part of the
candidate or her/his election agent, with the free exercise of any electoral right. In
this context, the Act provides that:
i) Without prejudice to the generality of the provisions of this clause, any such
person who:
a) threatens any candidate or any elector, with injury of any kind including
social ostracism and ex-communication or expulsion from any caste or
community; or
b) induces or attempts to induce a candidate or an elector to believe that
s/he will be considered as an object of divine displeasure or spiritual
censure, shall be deemed to interfere with the free exercise of an electoral
right of a candidate or elector.
ii) A declaration of public policy or a promise of public action or the mere
exercise of a legal right without intent to interfere with an electoral right, shall
not be deemed to be an interference. 115
State and District III) The appeal by a candidate or her/his agent with the consent of a candidate to vote
Administration or refrain from voting for any person on the basis of her/his religion, race, caste,
community or language or the use of, or appeal to religious symbols or the use of
national symbols, like the national flag for the furtherance of the prospects of the
election of that candidate.
IV) The promotion of feeling of enmity or hatred between different classes of the
citizens of India on basis of religion, race, caste, community, or language, by a
candidate or her/his agent with the consent of a candidate for the furtherance of
the prospects of the election of that candidate.
V) The propagation of the practice or the commission of Sati or its glorification by a
candidate or her/his agent with the consent of the candidate for furtherance of the
prospects of election of that candidate. Explanation for the purposes of this clause,
“sati” and “glorification” in relation to sati shall have the meaning respectively
assigned to her in the commission of Sati (prevention) Act, 1987.
VI) The publication by a candidate or her/his agent with the consent of a candidate, of
any statement of fact, which is false, and which s/he believes to be false regarding
the personal character or conduct of candidate, in relation to the candidature, or
withdrawal, of any candidate, being a statement reasonably calculated to prejudice
the prospects of that candidate’s election.
VII) The hiring or procuring, any vehicle by a candidate or her/his agent with the consent
of a candidate or the use of such vehicle for the free conveyance of any elector
other than the candidate herself/himself, the members of her/his family or an agent,
to or from any polling station: a) The hiring of a vehicle or vessel by an elector or
by several electors at their joint costs for conveying her/him or them to and from
any polling station or place fixed for the poll is not deemed to be a corrupt practice,
if the vehicle so hired is a vehicle or vessel not propelled by mechanical power.
b) The use of any public transport vehicle or vessel or any trencher or railway
carriage by any elector at her/his own cost for going to or coming from any polling
station or place fixed for the poll is not deemed to be corrupt practice.
VIII) The obtaining or, procuring or abetting or attempting to obtain or procure by a
candidate or her/his agent with the consent of a candidate any assistance other
than giving of vote for the furtherance of the prospects of that candidate’s election,
from any person in the Government service.
IX) Booth capturing
In case of booth capturing by a candidate or her/his agent, the expression “agent”
includes an election agent, a polling agent who is held to have acted as an agent in
connection with the election with the consent of the candidate. A person is deemed
to assist in furtherance of the prospects of a candidate’s election, if s/he acts as an
election agent of that candidate.
Promoting Enmity between Classes
A person who has connection with an election, promotes and attempts on the basis of
religion, race, caste, language etc., feelings of enmity between different classes of the
citizens, is punishable with imprisonment for a term that may extend to three years or
with fine or with both.
Appeal to High Court
116
In case, the decision of Election Tribunal is not withstanding anything contained in any
other law for the time being in force, an appeal can be made to the High Court on any State Election
question whether it pertains to law or fact from every order made by an Election Tribunal. Commission

8.7 ROLE OF STATE ELECTION COMMISSION

As mandated by the 73rd and 74th Constitutional Amendment Acts, the State Election
Commissions were established and are playing an important role of strengthening the
grassroots democracy in the country. These are working on the similar pattern of the
central Election Commission, and are enjoying more or less, similar powers towards
the conduct of free and fair elections to the local bodies. To this effect, the SECs are
performing a variety of functions and role. Their role may be categorised as Regulatory,
Administrative, and Quasi-Judicial.
The State Finance Commission’s regulatory role is clearly reflected from its functions
listed earlier. Its power to control and regulate the delimitation of wards or territorial
constituencies, election symbols, electoral rolls, election expenses, etc. are the significant
regulatory tasks, which are essential for the smooth conduct of any election. Towards
the conduct of elections, a large number of preparatory tasks are required to be
performed with the help of its own staff; and staff of other departments at the local
level. This involves a variety of administrative and routine functions to be undertaken by
the SEC. At the same time, the SEC has to undertake some quasi-judicial functions
during the election process. In fact, in any election process some disputes are likely to
be raised by one or the other party. The SECs are empowered to dispose of such
election petitions or appeals, etc. in order to declare the election results in a time bound
manner. As per the provisions of Article 243 (O) the interference by the courts have
been barred, however, appeal against the decision of the SEC may be made in the
court, if there is an error or dispute of jurisdiction or there is a violation of any Constitutional
provision. To this effect, earlier common complaints of irregular elections are now
negligible; and wherever such incidents are reported, these are generally resolved by
the Commission.
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Discuss the major functions of State Election Commission?
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2) Enlist any four corrupt practices and electoral offences during the elections.
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117
State and District 3) Highlight the role of State Election Commission.
Administration
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8.8 CONCLUSION
India is one of the vibrant democratic country in the world. The faithful discharge of its
duties by the State Election Commission has put democracy on the firm footing. The
Commission over the years has enhanced its credibility by fair, fearless and impartial
exercise of its constitutional authority in cleansing the Indian electoral system. With the
enactment of 73rd and 74th Constitutional Amendments to the Constitution a big milestone
has been added in the process of establishing and strengthening the system of democratic
decentralisation. In this unit, we have described the significance, composition, powers,
functions and role of the State Election Commission. It has been observed that the
SECs are playing important role in conducting free, fair and timely elections in order to
strengthen the roots of democracy in India.

8.9 GLOSSARY
Electoral College : It means a body of electors empowered to elect
someone to a particular office.
Electoral Roll : It is a list of eligible voters in a particular electoral
district area, and who are registered to vote.
Nomination : It is a part of the process of selecting a candidate
for election to a public office.
Petition : A written document, signed by many people, that
asks a government to do or change something at
the local level.
Polling Officer : S/he is an official responsible for the proper and
orderly voting at polling stations.
Returning Officer : The returning officer is responsible for the conduct
of elections in the Constituency. S/he ensues that
elections are conducted in accordance with the
law.

8.10 REFERENCES
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.
Punjab State Election Commission. Retrieved from [Link]
Singh, S. & Singh, S. (1985). Local Government in India. Jalandhar, India: New
Academic Publishing Co.
118
Tamil Nadu State Election Commission. Retrieved from [Link] State Election
about_ur Commission

The Punjab State Election Commission Act. (1994). Retrieved from https://
w w w. i n d i a c o d e . n i c . i n / b i t s t r e a m / 1 2 3 4 5 6 7 8 9 / 1 3 0 3 4 / 1 /
the_punjab_state_election_commission_act_1994.pdf
The Constitution of India. Retrieved from [Link]
constitution-india/constitution-india-full-text

8.11 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your answer should include the following points:
 To conduct free and fair elections to the local bodies-Panchayats and
Municipalities.
 To conduct regular elections.
2) Your answer should include the following points:
 Refer Section 8.3
3) Your answer should include the following points:
 Summoning of any person, documents; receiving evidence/affidavits; and
requisitioning of any public document; and
 Power to make various rules.
Check Your Progress 2
1) Your answer should include the following points:
 Preparation of Electoral Roll;
 Nomination of Candidates for Elections;
 Publication of lists of candidates; and
 Conducting polls and counting of votes.
2) Your answer should include the following points:
 Bribery;
 Receipt of reward;
 Undue influence; and
 Promotion of feeling of enmity or hatred between different classes of citizens
of India.
3) Your answer should include the following points:
 Refer Section 8.7

119
UNIT 9 LOKAYUKTA*
Structure
9.0 Objectives
9.1 Introduction
9.2 Lokayukta: Evolution, Need and Significance
9.3 Organisational Structure of Lokayukta
9.4 Appointment of Lokayukta
9.5 Lokayukta : Powers and Functions
9.6 Role of Lokayukta: A Critical Analysis
9.7 Conclusion
9.8 Glossary
9.9 References
9.10 Answers to Check Your Progress Exercises

9.0 OBJECTIVES
After studying this Unit, you should be able to:
 Understand the evolution, need and significance of Lokayukta at the state level;
 Discuss the organisational structure of Lokayukta;
 Highlight the appointment system of Lokayukta;
 Explain the powers and functions of Lokayukta; and
 Examine the role of Lokayukta in redressal of public grievances.

9.1 INTRODUCTION
Lokayukta is an anti-corruption ombudsman organisation in the states of India. In this
context, the Lokpal and Lokayuktas Act, 2013 paved the way for establishment of the
institution of Lokpal at the centre; and Lokayuktas at the state levels to inquire into
allegations of corruption against public functionaries, and for related matters. It is known
fact that corruption is a major problem, which endangers stability and security of the
nation; threatens socio-economic and political development; and undermines the values
of democracy and morality. An inefficient administrative mechanism; inept handling
through archaic methods of governance; lack of transparency, responsiveness and
accountability in the functioning of governmental institutions; and ineffective public service
delivery system affected the ultimate outcome of the governmental initiatives. It has a
detrimental effect in terms of corrupt practices in administration; and becomes a natural
outcome of any such system, where objectivity and rule of law are replaced by
subjectivity and rule of thumb. The phenomenon of corruption has become one of the
major causes for tardy progress in implementing ambitious projects and policies of the

* Contributed by Dr. Sangita Dhal, Assistant Professor, Kalindi College, University of Delhi, New
120 Delhi.
government, resulting in huge loss of revenue to the exchequer. The existence of Lokayukta
corruption has become ubiquitous with corrupt practices percolating to all levels of the
economy, polity and society. Thus, the First Administrative Reforms Commission (ARC)
of India recommended the setting up of two special authorities as “Lokpal” and
“Lokayukta” for the redressal of Citizens’ grievances.
The Lokpal and Lokayuktas Act (2013) contains a mandate for setting up of the institution
of Lokayukta through enactment of a law by the State Legislature within a specified
period of 365 days, from the date of commencement of Act. In this regard, the Act
provides opportunity and freedom to the states to decide upon the contours of the
Lokayukta mechanism in their own states.
Even much before the enactment of the Act itself, many states in India had already
setup the institutions of Lokayuktas. In this unit, we will focus on the need and significance
of the Lokayuktas in states. It has been observed that the structure of Lokayuktas
varies from one state to other state. Thus, keeping in view the status of the Lokayuktas
in states, we will discuss the appointment system, tenure, jurisdiction, organisational
structure of the Lokayukta; and analyse their working.

9.2 LOKAYUKTA: EVOLUTION, NEED AND

SIGNIFICANCE
The origin of Lokayukta can be traced to the Ombudsmen in Scandinavian countries.
An Ombudsman is generally regarded as a person who is appointed to protect citizens
against any form of maladministration. Sweden was the first country to have the institution
of Ombudsman in the year 1809. The Indian government’s initiatives towards making
the administrative system free from corruption and malpractices resulted in government’s
creation of two anti-corruption watchdogs, that is, Lokpal and Lokayukta. In this context,
it is pertinent to trace the historical journey through which these institutions have been
evolved.
The first ARC recommended the setting up of two special authorities designated as
“Lokpal” and “Lokayukta” for the redressal of citizens’ grievances. The two significant
institutions were to be setup on the pattern of the institution of Ombudsman in
Scandinavian countries, and the Parliamentary Commissioner for Investigation in New
Zealand.
The Lokayukta is created as a statutory authority with a fixed tenure to enable it to
discharge its functions independently and impartially as per the recommendations of the
ARC. The person appointed is usually a former High Court Chief Justice or former
Supreme Court Judge. The state of Maharashtra created the institution of lokayukta in
1972, followed by Rajasthan (1973), Uttar Pradesh (1975), Madhya Pradesh etc. In
few states, there is a provision for Lokayukta and Up-Lokayukta (for instance in
Maharashtra and Rajasthan).
The Second Administrative Reforms Commission (SARC) in its report, entitled ‘Ethics
in Governance’ has recommended that the Lokayukta should be a multi-member body
consisting of a Judicial Member as the Chairperson, an eminent jurist or eminent
administrator with credentials as member and the Head of the State Vigilance Commission
as an ex-officio member. The Chairperson of the Lokayukta should be selected from a
panel of the retired Supreme Court Judges or retired Chief Justice of the High Court,
by a committee consisting of the Chief Minister, Chief Justice of the High Court and
Leader of the Opposition in the Legislative Assembly of the State. The same Committee
121
State and District should also select the second member from amongst eminent jurists/administrators.
Administration The SARC however, does not favour the appointment of any Up-Lokayukta in the
state. Further, the SARC underscores the point that the jurisdiction of the Lokayukta
would extend to only those cases, which involve corruption, while the matters of general
public grievances will be left outside its purview. The Lokayukta should have its own
independent machinery for investigation of cases (Second Administrative Reforms
Commission, 2007 [Link]
Even if the Governor is constitutionally correct, the problem might crop up before the
Lokayukta of soliciting and receiving the active cooperation of the state government,
especially in obtaining the required information and records for deciding on cases referred
to it. Likewise, the action to be taken on the Lokayukta’s recommendations would also
require the state government’s cooperation and support.
An amendment to the Constitution has been proposed to implement the Lokayukta
uniformly across Indian states, on the lines suggested by the first ARC, to deal with the
pertinent problems of maladministration and administrative injustice. After many sincere
efforts, the Lokpal and Lokayuktas Act, 2013 had received presidential assent on
January 1, 2014 and came into force from January16, 2014.
The Lokpal and Lokayuktas Act, 2013
The Lokpal and Lokayukta Act, 2013 commonly referred as the Lokpal Act, seeks to
provide for the establishment of Lokpal for the Union; and Lokayukta for state to
inquire into allegations of maladministration or corruption against government officers.
The Act extends to whole of India, and is applicable to “public servants” within and
outside India.
The Lokayukta, along with the Income Tax Department and the Anti -Corruption Bureau
will act as a safeguard in our democratic framework; and help people to highlight
corruption cases. There is a discernible divergence in the patterns of the structure; and
role of Lokayuktas in various states. In the early part of the first decade of the twenty
first century, it appeared that a proposal is to adopt a common pattern for all Lokayuktas
on the pattern of model legislation. The initiative, however, was blocked by the state
governments. Unless the Central Government takes the lead and wins over the consent
of the states, such uniformity is unlikely to materialise. Nevertheless, following suggestions
given by experts in the field require serious attention:
 Former ministers and civil servants should also be covered in the legislations.
 The Chief Minister should invariably come within the jurisdiction of the Lokayukta.
 Lokayuktas should have power to start inquiries, suo moto.
 Lokayuktas should have their own independent investigation agencies or when
they entrust investigations to other agencies, these should be conducted
expeditiously.
 References made by the Lokayukta to the government should be accorded top
priority by government officials. Those who deliberately delay in providing the
required information should be punished under the law.
 A committee on the Lokayukta’s should be setup to monitor the follow up of the
proper implementation of the recommendation(s).
However, the Lokpal and Lokayuktas Act, 2013 was amended to include certain enabling
provisions in 2016. One of the provisions states that in case of the absence of leader of
122 the opposition party, the leader of the single largest party of the opposition in the Lok
Sabha/ Legislative Assembly would be the member of the selection committee so Lokayukta
constituted to select the Lokpal/Lokayukta. To further ensure transparency, the public
servants will have to make declaration of their assets and liabilities.

9.3 ORGANISATIONAL STRUCTURE OF

LOKAYUKTA
The structure of Lokayukta does not follow a uniform pattern in all the states. Some
states such as Rajasthan, Karnataka, Andhra Pradesh and Maharashtra have created
the Lokayukta as well as Up-Lokayukta, while some others like Uttar Pradesh and
Himachal Pradesh have created only the Lokayukta. There is no Lokayukta or Up-
Lokayukta, in Jammu and Kashmir.
To assist the Lokayukta and the Up-Lokayukta, the organisation in Madhya Pradesh is
divided into following four functional wings:
i) Administrative and Enquiry Section
The section is headed by Secretary, who is a senior IAS officer and functions as Head
of the Department for entire organisation. S/he is assisted by one Deputy Secretary,
Under Secretary, Accounts Officer, Section Officers and subordinate staff.
ii) Legal Section
To assist the Lokayukta and the Up-Lokayukta in dealing with legal matters and
conducting enquiries, officers of the rank of District Judge are posted as Legal Advisors
and an officer of Chief Judicial Magistrate rank is posted as Dy. Legal Advisor. They
are on deputation from the High Court.
iii) Special Police Establishment (SPE)
The SPE is constituted for the investigation of certain offences, which affect the public
administration and those falling under provisions of prevention of corruption Act that is
a Central Act. It is headed by the Director General, who is in the rank of Director
General or Additional Director General of Police Madhya Pradesh. S/he is assisted by
the Inspector General of Police, Deputy Inspector Generals of Police, Superintendents
of Police, Deputy Superintendents of Police, Inspectors and men of the other ranks. It
is to be noted that the superintendence of investigation by Madhya Pradesh SPE vests
with the Lokayukta.
iv) Technical Cell
The Technical Cell deals with inquiries of technical nature. It is headed by the Chief
Engineer, under whom there are Executive Engineers, Assistant Engineers and Technical
Assistants.
District Vigilance Committees
There are seven Divisional Committees in Madhya Pradesh, which enquire into the
complaints referred to them by the Lokayukta or the Up-Lokayukta; and submit a
report to the concerned authority.

9.4 APPOINTMENT OF LOKAYUKTA

Lokayukta and Up-Lokayukta are two independent and impartial functionaries created
to investigate the actions and decisions of public servants. These functionaries are held
at par with the Judges of the Supreme Court and High Court; and independent of the
legislature and executive. 123
State and District In states, the Lokayukta and Up-Lokayukta are appointed by the Governor. At the
Administration time of appointment, the Governor, generally, consults the Chief Justice of the State
High Court, and Leader of Opposition in the State Legislative Assembly.
Qualification and Term of Office
For the Lokayukta, judicial qualifications are prescribed in the States of Uttar Pradesh,
Himachal Pradesh, Andhra Pradesh, Gujarat, Odisha and Karnataka. However, no
specific qualifications are prescribed in the states of Bihar, Maharashtra and Rajasthan.
The term of office fixed for Lokayukta in majority of states, is of five years duration or
70 years (Himachal Pradesh) of age, whichever is earlier; and the Lokayukta is not
eligible for reappointment for a second term.
Jurisdiction
At the state level, there is no uniformity in case of the jurisdiction of Lokayukta. In this
regard:
i) The Chief Minister is included within the jurisdiction of Lokayukta in Himachal
Pradesh, Andhra Pradesh, Madhya Pradesh and Gujarat, while s/he is excluded
from the purview of Lokayukta in the states of Maharashtra, Uttar Pradesh,
Rajasthan and Bihar.
ii) Ministers and higher civil servants are included in the purview of Lokayukta in
majority of states. However, the Maharashtra has also included former ministers
and civil servants.
iii) Members of the state legislatures are included in the purview of Lokayukta in
Andhra Pradesh, Himachal Pradesh, Gujarat and Uttar Pradesh.
iv) The authorities of the corporations, companies and societies are included in the
jurisdiction of the Lokayukta in majority of the states for example, Himachal
Pradesh.
The Lokayukta of a state is usually responsible to the state legislature. Its annual report
is presented in the legislature; and conventionally its recommendations are accepted by
the House.
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Discuss the need and significance of Lokayukta.
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2) Explain the organisational structure of Lokayukta in any state of India.
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124 ......................................................................................................................
...................................................................................................................... Lokayukta

9.5 LOKAYUKTA: POWERS AND FUNCTIONS

The institution of the Lokayukta is considered as an anti-corruption agency, which is
responsible for addressing citizens’ grievances pertaining to corruption, nepotism,
favouritism arising out of maladministration. In this context, the Lokayukta has:
 Supervisory powers, that is, powers of superintendence over and to give
direction regarding matters referred for preliminary inquiry or investigation;
 Power of Search and seizure;
 Power of civil court in certain cases;
 Power to utilise services of officers of the State Government;
 Power of provisional attachment of assets;
 Power regarding confirmation of attachment of assets;
 Power related to confiscation of assets, proceeds, receipts and benefits arisen
or procured by means of corruption, in special circumstances;
 Power to recommend transfer or suspension of public servant connected with
allegation of corruption;
 Power to give directions to prevent destruction of records during preliminary
inquiry; and
 Power to delegate. In this context, the Lokayukta may direct that any administrative
or financial power conferred on it, may also be exercised or discharged by its
officer (Himachal Pradesh Lokayukta Act, 2014, [Link]
HP/[Link]).
On the basis of above mentioned powers, the Lokayukta undertakes following functions
to improve the standards of Public Administration:
 Accepts complaint against administration from any citizen.
 Accepts grievance against the accused person or body of persons, the Lokayukta
provides the chance to the complainant for defending, after duly informing her/
him/them.
 The Lokayukta carry out fair and impartial investigations, based on facts against
the accused person by taking the assistance of special investigating agencies. 125
State and District  If the Lokayukta is satisfied with the validity of the complaint, s/he can recommend
Administration her/his proposal through written request to the competent authority.
The Lokayukta has a separate office, staff and budget, which is essential for conducting
an impartial inquiry. Sometimes s/he takes the assistance of the state investigating agencies
for conducting inquiries; and getting access to relevant files and documents necessary
for the investigation. S/he also enjoys the power to inspect and visit government
orgnisations, which are being investigated. However, it is significant to note that the
Lokayuktas in many states except Himachal Pradesh and Uttar Pradesh (just examples)
have been empowered to start the investigations based on their own initiatives.
The Lokayukta can consider the cases of grievances and allegations, just to quote
examples, in Maharashtra, Uttar Pradesh, Bihar and Karnataka. However, in Himachal
Pradesh, Rajasthan and Gujarat, the job of Lokayuktas is confined to investigating
allegations regarding corruption; and not grievances in case of maladministration. “The
Maharashtra Lokayukta Institution came into being from 25th October, 1972 and has
been successful in redressing the grievances in about 60-70% of the complaints”
(Lokayukta Maharashtra, [Link]
The Karnataka Lokayukta Act gives powers to investigate; and report on allegations
or grievances related to the conduct of public servants. The Lokayukta has police and
prosecution wings. On receiving a complaint, the Lokayukta has powers to initiate
investigation against any public servant, ranging from Group D employees to the office
of the Chief Minister. In case of officials, s/he can take up cases suo moto as well. In
most of the states, the Lokayukta can initiate investigations either on the basis of a
complaint received from the citizen against unfair administrative action or suo moto. In
case of initiation of Prosecution ”If after investigation, the Lokayukta is satisfied that the
public servant has committed any criminal offence, he may initiate prosecution without
reference to any other authority. Any prior sanction required under any law for such
prosecution shall be deemed to have been granted” (Karnataka Lokayukta, Karnataka
Lokayukta Act, 1984 [Link]
The Karnataka Act empowers the Lokayukta and Up-Lokayukta with judicial and
investigative powers and functions to investigate the decisions of the bureaucratic officials.
However, certain government functionaries do not fall within the ambit of the Lokayukta
and Up-Lokayukta. They are the Judges, Speaker of the Assembly, Chief Election
Commissioner, Chairman and Members of the Karnataka Public Service Commission.
The Lokayukta presents consolidated report on performance, annually, to the Governor.
S/he places this report with an explanatory memorandum before the State Legislature.
Hence, the Lokayukta is responsible to the State legislature. “Indeed, the organization
functions as an instrument of control over the executive by the legislature as its annual
reports are submitted to the Governor to be laid and discussed in the State Legislative
Assembly”. It is worth mentioning that from 14th February to 31st March 2018 on the
basis of 2952 cases, of 2017 (Gazetted) and 2533 (Non- Gazetted) public servants
were punished on the recommendations (Madhya Pradesh Lokayukta, Statistical
Reports, Table 8 [Link]
For conducting inquiries, s/he takes the help of the state investigating agencies. In this
process, the Lokayukta can call for relevant files and documents from state government
departmetnts. It is to be noted that its recommendations are only advisory and not
binding on the government.

126
Lokayukta
9.6 ROLE OF LOKAYUKTA: A CRITICAL
ANALYSIS
The Reports of the Lokayuktas show that the largest number of complaints have been
regarding the departments of public works, health, irrigation, civil supplies, municipalities
and cooperative societies. In this regard, sometimes genuine complaints by affected
citizens made to the state Lokayuktas are rejected for want of jurisdiction, anonymity
and triviality. On the other hand, Lokayuktas complain that they do not get sufficient
information from the government departments, and State investigating agencies. As a
result, complaints filed with Lokayuktas are not cleared expeditiously; and thus, citizens
do not get speedy justice.
A close look at the performance of Lokayuktas in Indian states does not create a very
positive impression. In fact, in some states, the overall performance has been far from
being satisfactory. One of the pertinent problems relating to its function is hindered by
the single institution of Lokayukta looking after the complaints of corruption as well as
dealing with maladministration issues, which negatively impacts its efficient functioning.
There is so much that could have been done, and much more that should have been
avoided.
The present times have witnessed the growing popularity of the institution of Lokayukta.
This could be due to massive expansion of government activities; and corrupt practices.
Further corruption is anti-economic growth, which affects the development; and even
some corrupt government officials endanger the security of the nation. Thus, additional
measures were suggested to ensure greater transparency, and probity in public dealings.
In November 2012, after conclusion of the 11th All India Lokayukta Conference, as
many as sixteen Lokayuktas sent following recommendations to the Government of
India:
 Make Lokayukta the nodal agency for receiving all corruption complaints;
 Accord Lokayukta jurisdiction over State-level probe agencies;
 Bring bureaucrats under the ambit of the Lokayuktas;
 Accord powers of search and seizure, and powers to initiate contempt proceedings;
 Provide administrative and financial autonomy to the Lokayukta for better
functioning; and
 Bring Non-Governmental Organisations (NGOs), funded by the government, under
the Lokayukta’s jurisdiction.
The Lokpal and Lokayuktas Act, 2013 is perhaps the only legislation in the history of
independent India, which has been so widely discussed, both inside and outside Parliament
and has, thus generated so much awareness in the public about the need to have an
effective institution of Lokayukta to tackle corruption. However, the Act passed hitherto
has many loose ends, which needs to be addressed and has numerous cross references.
There are few enabling features that are missing in this law:
 No protection to whistleblowers: This was one of the main demands in the Jan
Lokpal Bill. The Act has no provision for whistleblower protection. We have to
have a separate law for that.
 There is only one section on Lokayukta in the Act, which states that within one
year, the states shall enact the Lokayukta Act. However, there is nothing regarding 127
State and District their composition, powers etc. In fact, states are free to define how their own
Administration Lokayuktas would be appointed, how they would work and under what
circumstances they would serve.
 There are no provisions related to Citizen’s charter.
 There are no adequate provisions to appeal against the Lokayukta, as it cannot
conduct inquiry against itself.
In the earlier sections, we have analysed the performance of Lokayuktas in various
states, which has been uneven. The Lokayuktas of various states have not shown similar
orientation towards their respective roles. Some have been more enthusiastic and assertive
than others, while a few others have been over-cautious and conservative in interpreting
their roles. A few Lokayuktas could make a mark during certain periods due to support
of the state political leadership, while most have suffered on account of the apathy of
state governments. It proves that the success of the Lokayukta depends upon the
neutrality and personal charisma of the Lokayukta.
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Discuss the powers of Lokayukta.
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2) Analyse the role of Lokayukta in a State.
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3) Suggest the necessary measures to strengthen Lokayukta.
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128
Lokayukta
9.7 CONCLUSION
The scope of democracy and development depends, to a greater extent, on the efficiency
of the government machinery. In a democracy, people should have opportunities to
ventilate their grievances through an efficient and effective system of redressal.
Democratic aspirations of the people and authoritarian attitude of administration produced
tension between them. In this regard, common grievances of citizens against
administration are identified on the basis of corruption, favouritism, nepotism, neglect
of duty, discrimination, delay, and maladministration.
The entire debate on setting up a strong and robust Lokayukta is based on the touchstone
of transparency and probity in public life. Best practices in public administration will be
realised, only when the integrity in public services is maintained. The pertinent issue of
corruption in the developing countries retards the development; thereby this unit has
focused on the need for concerted efforts to remove corruption. In this unit, we have
observed that the Lokpal and Lokayuktas Act, 2013 paved the way for establishment
of the institution of Lokayukta at the state level. In addition, we have discussed the
evolution, need, and significance of the Lokayukta. The study has highlighted on the
structure, appointment, jurisdiction, functions, and role of the Lokayukta.

9.8 GLOSSARY
Corruption : It is a form of dishonesty or criminal activity
undertaken by a person or an organisation
entrusted with a position of authority, often to
acquire illicit benefit.
Maladministration : It is an action of the government or bureaucratic
apparatus, which can be seen as causing injustice
due to administrative delay, incorrect action or
failure to take any action.
Citizens’ Grievances : It refers to the complaints of the citizens due to
lack of citizen’s satisfaction. While the term
“Grievance Redressal” primarily covers the
receipt and processing of complaints from
citizens. In this context, wider definition includes
actions taken on any issue raised by them to avail
services more effectively.

9.9 REFERENCES
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Issues. New Delhi, India: New Age International Publishers.
Chakrabarty, B. (2007). Reinventing Public Administration : The Indian Experience.
India: Orient Longman.
Chaturvedi, T.N. (Ed.). (1978). Secrecy in Government. New Delhi, India: IIPA.
Dhal, S. (2015). Indian Ombudsman. In Tapan Biswal (Ed.) Governance and
Citizenship. New Delhi, India: Viva Publishers.
Dwivedi, O.P. & Englebert, E. A.(1983). Education and Training for Values and Ethics
in Public Service: An International Perspective. In Kenneth Kernaghan and O.P.
129
State and District Dwivedi, Ethics in the Public Service, Comparative Perspectives (Eds.). Brussels:
Administration International Institute of Administrative Sciences.
Godbole, M. (2003). Public Accountability and Transparency: The Imperatives of
Good Governance. New Delhi, India: Orient Blackswan.
Government of India. (2007). Second Administrative Reforms Commission (4th
Report), Ethics in Governance. Retrieved from [Link]
[Link]
Government of India. (2009). Second Administrative Reforms Commission (15th
Report), State and District Administration. Retrieved from [Link]
sites/default/files/[Link]
Gupta, S.C. (1995). Ombudsman: An Indian Perspective. Delhi, India: Manak
Publishers.
Himachal Pradesh Lokayukta Act, 2014. Retrieved from http://
[Link]/HP/[Link]
Karnataka Lokayukta. Retrieved from [Link]
Laxmikanth, M. (2020). Indian Polity. Chennai, India: McGraw Hill Education (India)
Private Limited.
Lokayukta Maharashtra. Retrieved from [Link]
Lokayukta- Rajasthan. Retrieved from [Link]
Madhya Pradesh Lokayukta. Retrieved from [Link]
Pohekar, P.D. (2010). A Study of Ombudsman System in India with Special
Reference to Lokayukta in Maharashtra. Delhi, India: Gyan Publishing House.
Rao, N.B. (2013). Good Governance: Delivering Corruption-Free Public Services.
New Delhi, India: Sage Publishers.
Rao, P.P. (2001). Control of Corruption in Public Functionaries. Paper presented
at the Sixth All India Seminar of Lok Ayuktas, 22-23 January 2001 (unpublished).
Sarkar, S. (2010). Public Administration in India. New Delhi, India: PHI Learning.
Singh, H. & Singh P. (2011). Indian Administration. New Delhi, India: Pearson.
The Constitution of India. Retrieved from [Link]
constitution-india/constitution-india-full-text
The Lokpal and Lokayuktas Act, 2013. Retrieved from [Link]
The_Lokpal_and_Lokayuktas_Act,_2013

9.10 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your answer should include the following points:
 See section 9.2

130
2) Your answer should include the following points: Lokayukta

 Refer Section 9.3

3) Your answer should include the following points:
 The Chief Minister is included within the jurisdiction of Lokayukta in Himachal
Pradesh, Andhra Pradesh, Madhya Pradesh and Gujarat, while s/he is
excluded from the purview of Lokayukta in the states of Maharashtra, Uttar
Pradesh, Rajasthan and Bihar.
 Ministers and higher civil servants are included in the purview of Lokayukta
in majority of states. However, the Maharashtra has also included former
ministers and civil servants.
 Members of the state legislatures are included in the purview of Lokayukta in
Andhra Pradesh, Himachal Pradesh, Gujarat and Uttar Pradesh.
 The authorities of the corporations, companies and societies are included in
the jurisdiction of the Lokayukta in majority of the states for example, Himachal
Pradesh.
Check Your Progress 2
1) Your answer should include the following points:
 Refer Section 9.5
2) Your answer should include the following points:
 Refer Section 9.6
3) Your answer should include the following points:
 Make Lokayukta the nodal agency for receiving all corruption complaints.
 Accord Lokayukta jurisdiction over state level probe agencies.
 Bring bureaucrats under the ambit of the Lokayuktas.
 Accord powers of search and seizure, and powers to initiate contempt
proceedings.
 Provide administrative and financial autonomy to the Lokayukta for better
functioning.
 Bring Non-Governmental Organisations (NGOs), funded by the government,
under the Lokayukta’s jurisdiction.

131
UNIT 10 JUDICIAL ADMINISTRATION*
Structure
10.0 Objectives
10.1 Introduction
10.2 Judicial System in India
10.3 Scope of Judicial Control over Administration
10.4 Forms of Judicial Control over Administration
10.4.1 Judicial Review
10.4.2 Statutory Appeal
10.4.3 Suits against the Government
10.4.4 Criminal and Civil Suits against Public Officials
10.4.5 Extraordinary Remedies

10.5 Limitations of Judicial Control over Administration

10.6 Public Interest Litigation
10.7 Legal Aid
10.8 Gram Nyayalayas
10.9 Conclusion
10.10 Glossary
10.11 References
10.12 Answers to Check Your Progress Exercises

10.0 OBJECTIVES
After studying this unit, you should be able to:
 Discuss the judicial system in India;
 Explain the scope and the methods of judicial control over administration; and
 Analyse the limitations of judicial control over administration.

10.1 INTRODUCTION
In India, the judiciary occupies an important place. The constitution visualises an
independent judiciary to safeguard the rights of citizens. In a democratic polity, an
independent judiciary is a sine qua non to the effective functioning of the system.
Administration has to function according to the law and Constitution. The judiciary has
an important role to play in protecting the citizens against the arbitrary exercise of
power by administration. In this unit, we shall be discussing the features of judicial
system in India, the scope and methods of judicial control over administration and
limitations of judicial administration.

* Contributed by Dr. Biswaranjan Mohanty, Assistant Professor, SGTB Khalsa College, University
132 of Delhi; and adapted from BPAE-102, Indian Administration, Block-5, Unit-24.
Judicial
10.2 JUDICIAL SYSTEM IN INDIA Administration
As mentioned in the introduction of this unit, Indian Constitution envisages an independent
judiciary. There is a separation of powers between the executive and judiciary. The
judiciary, which interprets the constitutional meaning of law and legality of executive
actions, must have a separate existence. Lord Bryce has said that there is no better test
of the excellence of a government than the efficiency and independence of its judicial
system. Here, judicial administration means the dispensing of justice according to law
especially through the functioning of a system of courts (merriam-webster, https://
[Link]/).
Indian Constitution incorporated many provisions to ensure the independence of judiciary.
Though the Executive appoints the judges of the highest courts, that is, the Supreme
Court and High Courts, their tenure is kept beyond the purview of the Executive. Even
in appointing the judges, the executive has to follow certain guidelines. Once they are
appointed they are not subject to any executive control in the discharge of their functions.
This is done to ensure that the judgements of courts are impartial and fair. In Indian
federation, the courts also have an important role to play in adjudicating the disputes
between the Centre and States. Thus, the independence of the judiciary is one of the
important features of the judicial system in India.
Another important feature of judicial system in India is the single unified judicial system
prevailing in the country. The whole system of courts taken together is called the judiciary.
Indian federation has a unified judicial system. If we compare legislative and executive
system in our federation with the structure of judicial system, we find a difference. We
have separate legislative and executive authorities for the Centre and states; and their
functions are divided by the Constitution. But our judicial system is different. It runs like
a pyramid from the subordinate courts and district courts at local level to High Courts
for every state to the Supreme Court of India.
The Supreme Court occupies the highest position in the judicial hierarchy in India. It
comprises of the Chief Justice and other judges appointed by the President of India.
The Supreme Court has three areas of jurisdiction, namely, original, appellate and
advisory. The original jurisdiction extends to: a) disputes between Government of India
and one or more states, and b) claims of infringement of constitutionally guaranteed
fundamental rights. The Court’s appellate jurisdiction extends to four types of cases,
that is, constitutional, civil, criminal and special leave. In these types of cases, under
certain conditions appeals may be made from any State High Court to the Supreme
Court. The Court’s advisory jurisdiction pertains to matters referred for the purpose of
seeking advice. The President of India may refer a question of public importance for
the advice of the Supreme Court.
The High Courts are in the second level of judiciary. Ordinarily every state has a High
Court, but two or more states may also have one High Court. The High Court consists
of a Chief Justice and some other judges appointed by the President of India. The High
Court of the states has three types of jurisdictions, that is, original, appellate and
administrative. It has, among its original jurisdiction, the power to issue warrants regarding
the fundamental rights of citizens. It also has original jurisdiction to try civil and criminal
cases. Its appellate jurisdiction includes the authority to try appeals about civil and
criminal cases from the lower courts. The administrative jurisdiction of High Courts
relate to superintendence over the subordinate courts.
High Court: Administrative Control over the Subordinate Judiciary
The High court has an administrative control over the subordinate judiciary in the
respective state, in certain matters, besides its appellate and supervisory jurisdiction 133
State and District over them. In this regard, the High Court controls over the Judges of the Subordinate
Administration Courts, which include District Judges, Judges of the city civil courts as well as the
Metropolitan Magistrates and Members of the Judicial Service of the State. The High
Court exercises control over the Judges of the Subordinate Courts in the following
manner:
i) The High Court is to be consulted by the Governor in the matter of appointment,
posting and promotion of District Judges;
ii) The High Court is consulted, along with the State Public Service Commission, by
the Governor in appointment of persons (other than District Judges) to the judicial
service of the state;
iii) The control over the district courts and courts subordinate thereto, which includes
the posting and promotion of, the grant of leave to, persons who belong to the
judicial service and hold any post inferior to the post of a District Judge is vested
in the High Court; and
iv) The High Court has power of superintendence over all courts and tribunals
throughout its territory in relation to which it exercises jurisdiction, except over a
court or tribunal constituted by or under any law relating to the armed forces.
Thus, control over the subordinate courts in a State is the collective and individual
responsibility of the High Court (Basu, 2020).
The subordinate judiciaries, that is, courts at the district level and below come into
intimate contact with the people in the judicial field. The Governor in consultation with
the High Court appoints the judges of the district courts. The Public Service Commission
conducts competitive examinations for the selection of candidates for appointment in
the State Judicial Service.
The above discussion on judicial system in India clearly shows that the whole judicial
system is based on two important features namely independent judiciary; and single
unified judicial system.

10.3 SCOPE OF JUDICIAL CONTROL OVER

ADMINISTRATION
In the context of ever-expanding activities of government and discretionary powers
vested in the various administrative agencies and public officials, the need to protect
and safeguard the citizen’s rights assumes significance and priority. In developing societies
where the state is playing an important role in development, judiciary has a special
responsibility to ensure social justice to the underprivileged sections of the community.
However, it must be admitted that the courts cannot interfere in the administrative activities
on their own accord even if such activities are arbitrary. They act only when their
intervention is sought. Judicial intervention is restrictive in nature and limited in its scope.
Generally, judicial intervention in administrative activities is confined to the following
cases:
i) Lack of Jurisdiction: If any public official or administrative agency acts without
or beyond her/his or its authority or jurisdiction the courts can declare such acts as
ultra-vires. For instance, according to administrative rules and procedures, in all
organisations, the competent authority is identified for taking decisions and actions.
If any authority or person other than the competent authority takes action, the
134
court’s intervention can be sought under the provisions of lack of jurisdiction.
ii) Error of Law: This category of cases arises when the official misconstrues the law Judicial
and imposes upon the citizen obligations, which are absent in law. This is called Administration
misfeasance in legal terminology. The courts are empowered to set right such
cases.
iii) Error of Fact: This category of cases is a result of error in discovering cases and
actions taken on the basis of wrong assumptions. Any citizen adversely affected
by error of judgment of public official can approach courts for redressal.
iv) Error of Procedure: In such cases, “due procedure” is the basis of governmental
action in a democracy. Responsible government means a government by procedure.
Procedure in administration ensures accountability, openness and justice. Public
officials must act in accordance with the procedure laid down by law in the
performance of administrative activities. If the prescribed procedure is not followed,
the intervention of the courts can be sought and legality of administrative actions
can be questioned.
v) Abuse of authority: if a public official exercises her/his authority vindictively to
harm a person or use authority for personal gain, court’s intervention can be sought.
In legal terms, it is called malfeasance. The courts can intervene to correct the
malfeasance of administrative acts.
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Explain the main features of judicial system in India.
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2) How does the single unified system of judiciary function in India?
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3) Discuss the scope of judicial control over administration.
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135
State and District
Administration 10.4 FORMS OF JUDICIAL CONTROL OVER
ADMINISTRATION
The forms and methods of judicial control over administration vary from country to
country, depending upon the type of the constitution and the system of law. Broadly
speaking, there are two systems of legal remedies against administrative encroachments
on the rights of citizens. One is called the Rule of Law system, and the other is called the
Administrative Law system. The Rule of Law means that everybody, irrespective of
social and cultural differences, whether an official citizen is subject to the same law and
the ordinary law of the land. The official cannot take shelter behind state sovereignty in
committing mistakes in her/his official capacity. A.V. Dicey, the main exponent of Law
system stated that the Rule of Law assumes equality of Rule of all before law and
application of the same law to all. The rule of law system prevails in England and other
Commonwealth countries including India.
In the following paragraphs, we shall discuss some of the forms of judicial control over
administration in India, under the Rule of Law system.

10.4.1 Judicial Review

The judicial review implies the power of the courts to examine the legality and
constitutionality of administrative acts of officials and also the executive orders and the
legislative enactments. This is very important method of judicial control. This doctrine
prevails in countries where Constitution is held supreme, for example, in the United
States of America, India, Australia, etc.
In India, judicial review is restricted by certain provisions of the constitution as well as
of Act declaring finality of administrative decisions in particular matters. However, it
can be stated that the Legislature in India, being non-sovereign body cannot exclude
judicial review in certain cases unless there is a provision to that effect in the Constitution.
Generally, the courts do not interfere with purely administrative action unless it is ultra
vires as regards its scope or form.

10.4.2 Statutory Appeal

The statutes made by Parliament and State Assemblies itself provide that in a particular
type of administrative action, the aggrieved party will have a right of appeal to the
courts or to a higher administrative tribunal. Sometimes, legislative enactment itself may
provide for judicial intervention in certain matters.

10.4.3 Suits against the Government

There are several limitations, varying from country to country, as regards filing suits
against the government for its contractual liability. The contractual liability of the Union
and the state governments is the same as that of an individual citizen under the ordinary
law of contracts, subject however, to any statutory conditions of limits, which the
Parliament can regulate under the constitution. The State is liable for the tortuous acts
of its officials in respect of the non-sovereign functions only.

10.4.4 Criminal and Civil Suits against Public Officials

In India, civil proceedings can be instituted against a public official for anything done in
her/his official capacity after giving two months’ notice. When criminal proceedings are
to be instituted against an official for the acts done in her/his official capacity, previous
136 sanctions of the Head of the State, i.e., the President or the Governor is required.
10.4.5 Extraordinary Remedies Judicial
Administration
Apart from the methods of judicial control already discussed, there are the extraordinary
remedies in the nature of writs of Habeas Corpus, Mandamus, Prohibition, Certiorari
and Quo Warranto. These are called extraordinary remedies because the courts grant
these writs except the writ of Habeas Corpus, in their discretion and as a matter of right
and that too when no other adequate remedy is available. A writ is an order of the court
enforcing compliance on the part of those against whom the writ is issued. In India,
these writs are available under the provisions of the Constitution. While the Supreme
Court is empowered to issue these writs or orders or directives only for the enforcement
of Fundamental Rights, the High Courts are empowered to issue these writs not only
for the enforcement of Fundamental Rights but also for other rights.
We will discuss writs now.
i) Habeas Corpus: This writ is an order issued by the court against a person who
has detained another to produce the latter before the court and submit to its orders.
If it is found that the person is unlawfully or illegally detained, s/he will be set free.
A friend or a relation of the detained person may also apply for this writ on her/his
behalf. This writ is a great bulwark of individual freedom and can be described as
the cornerstone of personal liberty. This writ is granted as a matter of a right of
prima facie, if it is established that the person is unlawfully detained. Its utility is,
however restricted in India in view of the provision of Preventive Detention Act.
ii) Mandamus: Mandamus literally means command. If a public official fails to perform
an act, which is a part of her/his public duty and thereby violates the right of an
individual, s/he will be commanded to perform the act through this writ. From the
standpoint of judicial control over administrative lapses, it is an effective writ. In
India, this can also be issued to compel a court or judicial tribunal to exercise its
jurisdiction.
iii) Prohibition: It is a judicial writ issued by a superior court to an inferior court,
preventing it from usurping jurisdiction, which is not vested with it. While Mandamus
commands activity, Prohibition commands inactivity. This writ can be issued only
against judicial or quasi-judicial authorities to prevent exercise of excess of
jurisdiction by a subordinate court. As such, its significance as a method of judicial
control over administration is limited.
iv) Certiorari: While Prohibition is preventive, Certiorari is both preventive and
curative. It is a writ issued by a superior court for transferring the records of
proceedings of a case from an inferior court or quasi-judicial authority to the
superior court for determining the legality of the proceedings.
v) Quo Warranto: Literally, Quo Warranto means “on what authority”. When any
person acts in a “public office” in which s/he is not entitled to act, the court by the
issue of this writ will enquire into the legality of the claim of the person to that
office. If the said claim is not well founded, s/he will be ousted from that office. It
is, thus, a powerful instrument against the usurpation of “public offices”.
Besides these writs, there is one more writ, namely the writ of Injuction. It is of two
kinds, mandatory and preventive. The Mandatory Injunction resembles the writ of
Mandamus, while Preventive Injunction resembles the writ of Prohibition. Through this
writ, a public official can be restrained from doing a thing which, if done would cause
irreparable damage to the rights of individuals. While Prohibition is a writ available
against judicial authorities, Injunction is a writ, which is issued against executive officials.
137
State and District
Administration 10.5 LIMITATIONS OF JUDICIAL CONTROL OVER
ADMINISTRATION
The effectiveness of judicial control over administration is limited by many factors.
Some of these limitations are:
i) Unmanageable volume of work: the judiciary is not able to cope with the volume
of work. In a year the courts are able to deal with only a fraction of cases brought
before it. As on 1st July 2020, 60,444 matters (Monthly Pending Cases- Types of
matters pending in Supreme Court of India [Link]
have been pending in Supreme Court. As per National Judicial Data Grid (NJDG
[Link] in August
2020, approximately 45.41 lakh cases in High Courts (except Bombay and Delhi);
and approximately 3.36 crore cases were pending in the District and Taluka Courts
of India (NJDG). There is an increase in the cases of litigation without a
commensurate expansion of judicial mechanism. The old adage of “justice delayed
is justice denied” still holds good. This excessive delay in the delivery of justice
discourages many to approach the court. The feeling of helplessness results in
denial of justice to many.
ii) Post-mortem nature of judicial control: In most of the cases the judicial
intervention comes only after enough damage is done by the administrative actions.
Even if the courts set right the wrong done, there is no mechanism to redress the
trouble the citizen has undergone in the process.
iii) Prohibitive Costs: the judicial process is costly and only rich can afford it. There
is some truth in the criticism of pro-rich bias of judicial system in India. As a result,
only rich are able to seek the protection of courts from the administrative abuses.
The poor are, in most cases, the helpless victims of the administrative arbitrariness
and judicial inaction.
iv) Cumbersome procedure: Many legal procedures are beyond the comprehension
of common man. The procedural tyranny frightens many from approaching the
courts. Even though the procedures have a positive dimension of ensuring fair
play, too much of it negatives the whole process.
v) Statutory limitations: the courts may be statutorily prevented from exercising
jurisdiction in certain spheres. There are several administrative acts, which cannot
be reviewed by courts.
vi) Specialised nature of administrative actions: The highly technical nature of
some administrative actions act as a further limitation on judicial control. The judges,
who are only legal experts, may not be able to sufficiently appreciate the technical
implications of administrative actions. As a result, their judgments may not be
authentic.
vii) Lack of awareness: In developing societies, most of the people who are poor
and illiterate are not aware of judicial remedies and the role of courts. As a result
they may not even approach the court to redress their grievances. The courts,
which can intervene only when it is sought, may be helpless in this situation. The
general deprivation of people also results in deprivation of justice to them.
viii) Erosion of autonomy of judiciary: There is executive interference in the working
of judiciary. The quality of judiciary mostly depends on the quality of the judges.
138 The Law Commission made many recommendations to ensure the judicial standards
of the bench. There are many allegations of corruption against judges. It undermines Judicial
the prestige and the effectiveness of the judiciary. Administration

Many steps have been initiated to overcome some of the limitations mentioned above.
In the succeeding paragraphs, we shall discuss some of these measures, in particular,
Public Interest Litigation, Legal Aid and Gram Nyayalayas.
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Explain the meaning and importance of judicial review?
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2) Discuss the different writs available under the provision of the Constitution of
India?
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3) Describe the limitations of judicial control over administration.
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10.6 PUBLIC INTEREST LITIGATION

Public Interest Litigation (PIL) refers to a system of intervention of social action groups
in making courts accessible to the deprived, poor and the victims of social oppression.
Earlier the “rule of standing” that means only the aggrieved or affected person can seek
the help of courts, came in the way of judiciary reaching the poor. The poor who are
not aware and capable do not exist for the court purposes. The imaginative interpretation
of judicial process by creative and socially conscious judges led to the system of PIL,
which facilitated the social action groups and conscious individuals to enable the courts
take cognisance of various forms of injustices done to the poor. In the Asiad Workers
Case, Justice Bhagwati of Supreme Court who championed the PIL observed, “now 139
State and District for the first time the portals of the court are being thrown open to the poor and the
Administration downtrodden. The courts must shed their character as upholders of the established
order and the status quo. The time has now come when the courts must become the
courts for the poor and struggling masses of this country”. Some of the PILs relate to
environment conservation, under trials languishing in jails, atrocities on scheduled castes,
scheduled tribes, women and other weaker sections, violation of civil liberties, police
atrocities, etc. The courts have intervened in such cases on the initiatives of social
activists and civil liberties groups. Thus, judicial activism has, thus, certainly facilitated
more access to justice to the poor.

10.7 LEGAL AID

The Constitution of India clearly envisages that opportunities for securing justice are
not denied to any citizen by reason of economic or other liabilities. The fundamental
entitlement of legal aid is concomitant right that arises out of Article 14 of the Constitution,
which enjoins the state not to deny to any person equality before law or equal protection
of law. Many commissions made suggestions to provide legal aid to poor to eliminate
the implicit bias towards the rich in our legal system. Under the Legal Services Authorities
Act, 1987, “Authorities” have been setup at national, state and sub-state levels. Under
the Act there is a model scheme, for those citizens whose annual income from all sources
does not exceed a certain limit are eligible for free legal aid. The limitation as to income
is not applicable in case of disputes where one of the parties belongs to scheduled
castes, scheduled tribes, nomadic tribes or is a woman or a child.
The Legal Services Authorities have been setup in accordance with the provisions of
the national law and respective State Regulations in most of the states. The Legal
Services Authorities have been setup at the High Court and district levels and in most of
the places at taluka levels also. The Supreme Court Legal Aid Committee has been
setup for dispensing legal aid in cases coming before the Supreme Court of India.
Under the Legal Services Authorities Act 1987, the institution of Lok Adalat is provided
at all levels (State, District and Taluk) for resolution of disputes through conciliatory
methods. Such Adalats are proving a successful alternative forum for resolution of disputes
through conciliatory methods outside the regular courts, and very near to the clients or
the people who need legal support, aid and speedy resolution of disputes.

10.8 GRAM NYAYALAYAS

Gram Nyayalayas are mobile courts, which are established under the Gram Nyayalayas
Act, 2008 for speedy and easy access to justice system in rural areas. This Act came
into force from 2nd October 2009. The major aim is to provide inexpensive justice to
rural people at their doorsteps. There are 221 f unctional Gram Nyayalayas
(Government of India, Ministry of Law and Justice, Annual Report 2019-20).
The Gram Nyayalayas try criminal cases, civil suits, claims or disputes that are specified
in the First Schedule and Second Schedule of the Act. The District Court or the Court
of Session may transfer all the civil or criminal cases, which are pending before the
courts to the Gram Nyayalaya. The Gram Nyayalaya has its discretion to retry the
cases or proceed from the stage at which it was transferred to it.
The scope of cases can be amended by the central as well as the State Governments as
per their respective legislative competence. The judgement and order passed by the
Nyayalaya are deemed to be a decree. In this regard, summary procedure can be
followed to avoid delay in its execution. The Gram Nyayalayas are presided over by a
140 Nyayadhikari.
A Gram Nyayalaya has jurisdiction over an area that is, specified by a notification by Judicial
the State Government in consultation with the respective High Court. These Nyayalayas Administration
are expected to be guided by the principles of natural justice and subject to any rule
made by the High Court. They shall not be bound by the rules of evidence provided
under Indian Evidence Act, 1872.
A person accused of an offence files an application for plea bargaining. The Gram
Nyayalaya has the powers of Criminal and Civil Courts.
i) Criminal Cases: Appeal lies to the Court of Session that shall be heard and disposed
of within a period of six months from the date of filing of this appeal.
ii) Civil Cases: Appeal lies to the District Court that shall be heard and disposed of
within a period of six months from the date of filing of such appeal.
The Gram Nyayalayas follow special procedures as provided in the act and can exercise
the powers of a civil court with certain modifications. These Nyayalayas settle the
disputes by bringing about conciliations between the parties. For this purpose they can
use conciliators. The judgement and order passed by the Nyayalayas are deemed to be
a decree. In this regard, to avoid delay in its execution the Gram Nyayalayas follow
summary procedure.
Thus, setting up of Gram Nyayalayas in rural areas is an important measure to reduce
arrears of pending cases; and is a part of the judicial reforms in India. As it is expected
that the Gram Nyayalayas will not only reduce the burden of pending cases in subordinate
courts but also dispose of new cases within six months, therefore there is an urgent
need to strengthen the Gram Nyayalayas for effective functioning. In this context, joint
efforts and cooperation of political leaders, administrators and citizens are required,
which will contribute in enhancing judicial will so that easy access to justice can be
provided to the poorest of poor.
Check Your Progress 3
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) What is meant by the Public Interest Litigation?
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2) Write a note on Gram Nyayalayas.
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State and District
Administration 10.9 CONCLUSION
In a democracy, the primary objective of judicial system is to ensure citizen’s rights.
The judicial system in India is based on the principles of independence of judiciary from
executive; and the single unified system of judiciary. The main purpose of judicial control
over administration is to ensure the legality of administrative actions. The judiciary has
an important role to play in the application of rule of law. In this unit, we have discussed
the main features of the judicial system; and the methods of judicial control over the
administration and their effectiveness. Some selected trends in judicial system like Public
Interest Litigation, Gram Nyayalayas and Legal Aids Systems have also been highlighted.

10.10 GLOSSARY
Malfeasance : This is a legal term, which implies abuse of
authority by a public official for personal gains.
Misfeasance : When the public official misinterprets the law and
imposes upon the citizens’ obligations, which are
absent in law.
Prima-facie : It is used to describe something, which seems to
be true when you consider it for the first time.
Special Leave : The power of the Supreme Court to grant special
leave to appeal to the Supreme Court against
any judgment, decree etc. by any court or tribunal
in India.
Tort : A tort is something that one does or fails to do,
which harms someone else and for which one
can be sued for damages.
Ultra vires : Violation of constitutional provisions.

10.11 REFERENCES
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.
Basu, D.D. (2020). Introduction to the Constitution of India (24th ed.). Gurugram,
Haryana: Lexis Nexis.

Government of India, Ministry of Law and Justice, Annual Report 2019-20.

Retrieved from [Link]
%202019-20%20for%[Link]

Jha, S.N. (1999). Decentralisation and Local Politics. Delhi, India: Sage Publications.
Mathew, G. (2000). Status of Panchayati Raj: The States of India. New Delhi,
India: Concept Publishing House.
Merriam-webster. Retrieved from [Link]
Monthly Pending Cases- Types of matters pending in Supreme Court of India. Retrieved
from [Link]
142
NJDG, Pending Dashboard. Retrieved from [Link] Judicial
Administration
?p=main/pend_dashboard
The Gram Nyayalayas Act, 2008. Retrieved from [Link]
123456789/2060/1/[Link]
Tyagi A.R. (1989). Public Administration. New Delhi, India: Atma Ram and Sons.

10.12 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your answer must include the following points:
 Separation of powers between executive and judiciary.
 India has a single unified judicial system.
 The Supreme Court occupies the highest position in the judicial hierarchy in
India.

2) Your answer must include the following points:

 Judicial system in India runs like a pyramid from the subordinate courts at the
lower levels to High Courts for every state to Supreme Court of India at the
national level.
 The Supreme Court is at the highest level of judicial hierarchy, High Court at
the second level and subordinate courts at the district level and below.
 The Supreme Court has three areas of jurisdiction, namely, original, appellate
and advisory; and High Courts have the original, appellate and administrative
jurisdiction.

3) Your answer must include the following points:

 Lack of jurisdiction,
 Error of law,
 Error of fact,
 Error of procedure, and
 Abuse of authority.

Check Your Progress 2

1) Your answer must include the following points:
 The judicial review implies the power of the courts to examine the legality
and constitutionality of administrative acts of officials and also the executive
orders and the legislative enactments.
 This is very important method of judicial control.
 This doctrine prevails in countries where Constitution is held supreme.
143
State and District 2) Your answer must include the following points:
Administration
 Habeas Corpus
 Mandamus
 Prohibition
 Certiorari
 Quo Warranto
 Injuction.

3) Your answer must include the following points:

 Unmanageable volume of work
 Post-mortem nature of judicial control
 Prohibitive costs
 Cumbersome procedure
 Specialised nature of administrative actions
 Lack of awareness
 Erosion of autonomy of judiciary.

Check Your Progress 3

1) Your answer must include the following points:
 It refers to a system of intervention of social action groups in making courts
accessible to the deprived, submerged and invisible millions of poor and
victims of social oppression.
 It facilitates the social action groups and conscious people to enable courts
to provide justice to the poor.
 It has enabled more access of justice to the poor.
2) Your answer must include the following points:
 Refer to section 10.8

144
UNIT 11 DISTRICT COLLECTOR*
Structure
11.0 Objectives
11.1 Introduction
11.2 Functions of the Collector
11.3 Collector and Panchayati Raj Institutions
11.4 Administrative Support
11.5 Collector’s Work: Some Constraints
11.6 Role of District Collector: Way Forward
11.7 Conclusion
11.8 Glossary
11.9 References
11.10 Answers to Check Your Progress Exercises

11.0 OBJECTIVES
After studying this Unit, you should be able to:
 Explain the importance of the office of Collector in District Administration;
 Describe traditional and developmental functions of the Collector;
 Discuss constraints within which the Collector has to function in the District
Administration; and
 Examine the role of District Collector in district administration.

11.1 INTRODUCTION
The institution of Collector, created more than 200 years ago, is one of the most
significant institutions transmitted by the colonial rulers to independent India’s public
administration system. S/he is the highest functionary of the District Administration in
the country. Several epithets are used to describe this institution. In this regard,
“Annadata”, “captain of the team”, “eyes and ears of Government” are some of the
common descriptions. S/he is also described as the kingpin of administration, and more
recently in more benevolent terms, as “friend, philosopher and guide”, “adviser, educator
and helper”, “the fulcrum of grassroots democracy”, “the mainspring of development”
and so on. Even after independence, the Collector continues to occupy a pre-eminent
position at the district level, and is the key functionary of the State Government. Keeping
in view the importance of Collector/District Collector/Deputy Commissioner, this unit
highlights the role of District Collector in district administration; and constraints, which
inhibit the performance of her/his functions.

* Contributed by Prof. Durgesh Nandini; and adapted from BPAE-102, Indian Administration,
Block-4, Unit-17. 145
State and District
Administration 11.2 FUNCTIONS OF THE COLLECTOR
The office of Collector is an important institution transmitted by the British rulers to the
Indian administrative system. S/he performs traditional revenue function as well as
development functions. Throughout the country, the power and functions of the Collector,
more or less, remain the same. Broadly, the Collector performs the following functions:
i) The Collector started as a revenue functionary and s/he continues to be the principal
Revenue Officer and Head of the Revenue Administration in the district. After
independence, the importance of revenue administration has become secondary.
The emphasis has shifted to Development Administration, though the revenue
functions still remain with the District Collector. Besides collection of revenue, the
Collector handles matters related to land reforms and revenue administration
(including custody of government lands). In the discharge of her/his revenue
functions, many officers like Additional Collector / Joint Collector assist the
Collector. S/he is the officer-in charge of the district under the State Excise Act.
ii) The Collector is the Chairman of the District Disaster Management Committee,
which is responsible for making plans to mitigate the effect of disaster and for
providing immediate as well as long-term assistance to the affected victims/people
in the affected areas. S/he is the Kingpin of relief operations in the district. In
emergency situation like floods, the Collector plays a crucial role in relief operations.
The Government takes decision regarding the quantum of relief and manner of
distribution, mostly, on the basis of assessment made by the Collector.
iii) District Collector also functions as District Magistrate and is responsible for the
maintenance of law and order in the district. After the separation of judiciary from
the executive, the Collector is concerned with the preventive sections of the Criminal
Procedure Code. S/he is the authority to issue custody/detention warrants under
special anti-crime/security enactments such as National Security Agency. The
superintendent of Police who is the Head of police force in the district helps the
Collector in discharge of her/his police functions. In all important matters, the
Superintendent of Police takes orders from the Collector. Under Bihar Police Act
2007, the Collector is the Chairman of the District Accountability Authority that
monitors issues concerning departmental inquiries and complaints of misconduct
against junior policemen. There have been many instances of strained relations
between the Collector and the Superintendent of Police. In certain situations, lack
of understanding between the two affects the entire District Administration.
iv) The Collector continues to be the Head of the District Administration. As District
Magistrate, s/he is responsible for the maintenance of law and order. As Chief
Revenue Officer, s/he handles matters related to land reforms and revenue
administration. S/he is also closely associated with several other Departments like
Rural Development and Panchayati Raj, Social Welfare, etc. In respect of
Panchayati Raj, in several States, s/he has a very important relationship with the
Panchayati Raj bodies. As a Head of the district administration, s/he plays a
coordinating role between different Departments like Revenue, Police and other
Departments. S/he has power to suspend the resolutions of local bodies, if they
constitute a threat to public peace. S/he also Heads a number of official and non-
official bodies in the district. The Collector exercises superintendence over the
District National Informatics Centre (NIC). The amount of time s/he spends on
these activities depends on her/his personal interest.
v) S/he is looked upon as a representative of the Government at the district level.
146 The District Collector hoists the national flag on Independence and Republic days.
S/he has several protocol functions like meeting the Ministers and other important District Collector
dignitaries. In emergencies like floods s/he can call upon any branch of the District
Administration to undertake any specific work to provide assistance. Census
operations and conduct of elections to various democratic bodies from the
Parliament to the Gram Panchayat is another important function. The Collector is
also an agent of the Governor in respect of scheduled tribes’ areas in some of the
districts. There are other functions also with which the Collector is intimately
associated like social security, pensions, grant of licenses etc. The public distribution
system has become an important part of district administration, due to scarcity
and rising prices. S/he is directly responsible for the distribution and control of all
essential commodities and goods. In most of the states, the Collector has a direct
role to play in the functioning of the Food and Civil Supplies Department in her/his
jurisdiction. The Collector oversees the implementation of the Public Distribution
System and has powers to enforce provisions of the Essential Commodities Act
and related Rules and Orders to ensure timely and equitable distribution of scarce
commodities.
The Collector presides over a large number of meetings like meetings of various
Committees of Agriculture, Animal Husbandry, Veterinary, Handlooms, Irrigation and
Industries departments. These are excellent forums for the Collector to know the way
policies are translated into action; and to understand the problems of local people.
In this context, more details on the basis of functional area, role of the District Collector/
Deputy Commissioner and variances across states have been depicted in the following
table 11.1

Table 11.1: Major Functions of the District Collector/Deputy Commissioner

Sl. Functional Role of District Collector/ Deputy Variances across States
No. Area Commissioner (DC)
1 Revenue The Collector handles all matters related Similar across different States
Administration with land reforms and revenue
administration (including custody of
government lands). S/he is assisted by an
Additional Collector / Joint Collector.

Collector is the officer-in charge of the

district under the State Excise Act.
2 Executive As the Magistrate of the District, exercises Varies from State to State, though
Magistracy functions and powers under various Cr.P.C. functions are broadly similar.
and provisions of the [Link]. is the Officer in
Maintenance overall charge of Law and Order and
of law and internal security in the district.
order
S/he is the authority to issue
custody/detention warrants under special
anti-crime/security enactments e.g. NSA.

Retains importance in Police matters also

e.g. under Bihar Police Act 2007, the
Collector is the Chairman of the District
Accountability Authority, which monitors
issues concerning departmental inquiries
and complaints of misconduct against
junior policemen.
147
State and District
Administration

3 Licensing and The Collector is the licensing and Similar across different States
Regulatory regulatory authority under various special
Authority laws such as Arms and Cinematography
Acts etc. in the district.
4 Disaster The Relief /Disaster Management branch Similar across different States
Management of the Collector’s office deals directly
with these functions.
5 Elections The Collector is the District Election Similar across different States
Officer for Parliament, State Legislature
and Local Bodies.
6 Food and Civil In most of the states, the Collector has a Similar across different States
Supplies direct role to play in the functioning of the
Food and Civil Supplies Department at the
district level. S/he oversees the
implementation of the Public Distribution
System and has powers to enforce
provisions of the Essential Commodities
Act and related Rules and Orders.
7 Welfare The Collector plays a very critical role in Varies from State to State depending
the execution of welfare programmes such on the role envisaged in this regard for
as those relating to disability, old age local bodies.
pension etc. either through direct In Maharashtra, Zila Parishad ( ZP)
superintendence or through oversight. has a stronger role in welfare activities
unlike in Andhra Pradesh or
Rajasthan.
8 Census The Collector is the principal Census Similar across different States
Officer.
9 Coordination One of the most important roles of the Similar across different States
Collector is to coordinate activities of
other agencies/departments at the district
level.
10 Economic Though, many activities/functions of these Varies from State to State depending
Development sectors stand transferred to PRIs and local on the role envisaged in this regard for
(Agriculture, bodies, the Collector still has some role in local bodies.
Irrigation, many of these programmes. S/he chairs In Maharashtra and Himachal Pradesh,
Industry, etc.) meetings of various Committees of the Zila Parishad has a stronger role in
Agriculture, Animal Husbandry, primary economic development
Veterinary, Sericulture, Handlooms, activities unlike that in Andhra
Textiles, Irrigation and Industries Pradesh or Rajasthan.
departments. Also reviews their activities
in monthly/bimonthly meetings and
coordinates among the departments.
11 Human Though, a major part of this subject Varies from State to State depending
Resource (primary education) stands transferred to on the role envisaged in this regard for
Development the PRIs, the District Collector/Deputy local bodies.
Commissioner has been retained as In Maharashtra and Himachal Pradesh,
Chairman/Co-Chairman in some of the powers have been given to PRIs in
district level committees. matters relating to health & primary
education.

148
District Collector

12 Rural Though major activities of this department In Andhra Pradesh, the DC is the
Development stand transferred to the PRIs/ULBs, in Executive Director of District Rural
some states, the Collector still continues to Development Agency. In Maharashtra
be the nodal authority for some and Himachal Pradesh, DRDA is
programmes. Under the National Rural under the ZP. In Himachal Pradesh,
Employment Guarantee Act, the Collector the ZPs have been empowered to
has been designated as the District appoint Assistant Engineers in DRDA.
Programme Coordinator in some of the
States.
13 Local Self The role of the District Collector/ Deputy In Andhra Pradesh, the DC exercises
Government Commissioner with regard to local self- direct control over the Gram
(PRIs / ULBs) governing institutions varies across Panchayats; in Orissa, the DC is the
different States. Mostly these relate to the CEO of the ZP; in Maharashtra, the
powers of the State Government vis-à-vis DC has a limited role to play.
the PRIs. (Powers of suspension,
resolution, supersession etc.)
14 Preparation of Though under Articles 243-ZD and 243- Similar across different States.
Development ZE, the planning functions in a district
Plan have been given to DPC/MPC, the
Collector coordinates with
departments/agencies involved in
execution of various works.
15 Information The Collector exercises superintendence Similar across different States.
Technology over the District NIC Centre.

Source: Government of India, (2009) Second Administrative Reforms Commission

(15th Report), State and District Administration, pp. 65-68, [Link]
sites/default/files/[Link]
The functions of District Collector, mentioned above, are of crucial importance for
effective functioning of the government; and the workload involved in domain of these
activities demands considerable time and attention of the collector and her/his
subordinates. Keeping above in view, the SARC opined that the State Government
should ensure that the responsibility of the District Collector is neither diluted nor diverted
from these activities.
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Explain the importance of Collector in District Administration.
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2) Describe the Collector’s role as a head of district administration.
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State and District ......................................................................................................................
Administration
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3) Discuss the major functions of District Collector.
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11.3 COLLECTOR AND PANCHAYATI RAJ

INSTITUTIONS
After independence, the Collector has become responsible for the implementation of
the development programmes in the district. As an administrator, s/he is expected to
coordinate all the development programmes being implemented in the district. The
Collector’s role in development administration is more visible in case of Panchayati Raj
Institutions (PRIs). S/he is closely associated with these institutions either from within
or outside. The advent of PRIs in India has brought about several changes in the setup
of district administration. This is particularly so in case of the role and functions of the
District Collector. In practice, different types of linkages were established between the
Collector and the PRIs in different States. In Rajasthan, for example, the Collector was
made an associate member of Zila Parishad without the right to vote. In Andhra Pradesh,
s/he was made a full-time member of Zila Parishad and Chairman of all the standing
committees. Later, however in Andhra Pradesh, the Collector was disassociated from
Zila Parishad. In Maharashtra, the Collector was kept out of Zila Parishad. But, generally
it is felt that the Collectors should have a large share of responsibility in facilitating the
success of PRIs. The relationship between Collector and PRIs can be studied under
different heads, namely, control over staff, power to suspend resolutions, power to
remove officers, and power to suspend and dissolve Panchayati Raj Institutions. In
these areas, the role of Collector varies from state and state. Some aspects of this
would be discussed later in the Unit 12 on Panchayati Raj. The Collector has power to
write confidential report and has authority to inflict various punishments. Such power
varies from state to state. Similarly, the Collector can suspend the resolutions of
Panchayats. An association with these bodies brings the Collector in intimate relationship
with the people’s representatives. This provides an opportunity to understand the
dynamics of Development Administration at the district level.
After the 73rd Constitutional Amendment, the relationship of District Collector with
PRIs has changed immensely. The Constitutional amendment and the enactment of
Panchayati Raj laws by various states in 1993 have reduced the burden of the District
Collector on development activities. This Act has given scope to the State Government
to set forth the yardstick of the relationship of the PRIs and Collector. In this context,
some states have created the post of Chief Executive Officer and some states have
opted for District Development Officer or Deputy Commissioner. The unique feature
150 about the controlling authority assigned to the Collector in Tamil Nadu is that the District
Collector has the overall controlling authority as the Inspectors of Panchayats in the District Collector
district. The Project Director of the District Rural Development Agency (DRDA) assists
her/him in implementing development programmes. In Haryana, the District Collector
known as Deputy Commissioner, in Gurugram is the Chairperson of DRDA. In Kerala,
Madhya Pradesh and Maharashtra s/he is Secretary of the District Planning Committee.
The study conducted by the Task Force on Panchayati Raj reveals that except a few
States like Kerala and West Bengal, bureaucracy is a dominant partner in decentralised
governance. In Andhra Pradesh, the Collector exercises direct control over the Gram
Panchayats; in Orissa, s/he is the Chief Executive Officer of the Zila Parishad; and in
Maharashtra, s/he has a limited role to play. Thus, even after implementation of the 73rd
Constitutional Amendment Act, there is no uniform pattern regarding the position of
District Collector in relation to the PRIs.

11.4 ADMINISTRATIVE SUPPORT

The Collector is assisted in her/his duties by a number of officers at various levels.
Generally, there are two or three senior officers of Joint or Additional Collector rank.
These officers look after the revenue, law and order, and developmental functions. The
Collector in the Collectorate is assisted by Deputy Collectors. These officers look after
different functions like revenue, law, relief, establishment and other duties. District technical
officers like District Agricultural Officer, District Educational Officer, and District
Cooperative Officer etc. function directly under supervision of the Collector except in
a few States where they work with the Zila Parishad. The District is divided into Sub-
Divisions. The Sub-Divisional Officers Head each Sub-Division. In some States, they
are called the Revenue Divisional Officers. The Collector provides guidance and
leadership to the Joint Collectors and Sub-Divisional Officers. At the taluka and block
level, there are Tahsildars and Block Development Officers undertaking revenue and
development functions respectively. They have regular contacts with the people and
are real executors of all government programmes. A large number of subject matter
specialists function at the block level, initiating and implementing specific programmes.
The Collector exercises control over the field officers through visits, inspections and
review meetings. Through these techniques, s/he monitors the programme
implementation; and provides guidance to the field officers. Her/his inspection not only
gives a bird’s eye view to the Collector, but also enables the field officers to clarify their
doubts about policies and priorities from the Collector. During her/his visits to the villages,
s/he hears people’s complaints about the problem of drinking water, water for irrigation,
bad roads, poor housing, shortage of essential commodities, and inputs for agricultural
operations, corruption and insensitivity of officers, etc. Based on these inspections and
visits the Collector can assess the problems affecting the district and take the initiative
to overcome them. This gives the Collector a clear understanding about the problems,
apart from providing a personal touch to the administrative system.
An important role of the Collector is to bring about coordination between different
Departments in the district. S/he acts as a catalyst for development. In some states, all
the district level officers are brought under the control of the Collector, and in some
they are outside. As highest functionary in the district, the Government looks towards
her/him for providing the needed guidance and direction to the officers.

11.5 COLLECTOR’S WORK: SOME

CONSTRAINTS
The Collector has become an increasingly important functionary in district administration. 151
State and District Both in the regulatory and development functions, s/he has a very important role to
Administration play. In the performance of her/his functions, s/he faces a number of problems and
constraints, which inhibit her/his work. In this regard, problems like frequent transfers,
increasing workload, political pressures, crisis situations, and individual orientation of
Collectors are a few, which need to be examined in this context.
The Civil Servants need to: have a tenure, which is long enough to understand the
environment; and establish constructive, cooperative and cordial relationships with
political leaders and administrators for smooth functioning, and to implement the
development programmes. A well-accepted policy is to retain an officer in a particular
place for a period of three to five years. Unfortunately, this policy does not seem to be
the practice in case of the Collectors. A few studies, conducted on this issue indicate
that there are too frequent transfers inhibiting the performance of the Collector’s functions.
This indicates that they are dislocated before they acquaint themselves with the problems
of the district. Some of the Collectors have tenure of less than four months, and there
are very few Collectors who enjoy three years of tenure. This type of frequent transfers
apart from having a negative influence on the Collector would adversely affect district
development administration.
Political interference and pressure is another area affecting work of the Collectors.
Such pressures are generally brought to restrain the District Administration in cases of
land acquisition by the Government or use of judicial support for their followers or issue
of licenses or permits for scarce commodities, etc. If the District Collectors concede
the request, they are accused of partisanship; and if they resist the pressure, they are
accused of being insensitive to the requests of the people’s representatives. Quite often,
resistance to pressures leads to politicisation of issues. This may even lead to transfer of
the Collectors. This has an adverse effect on performance of the Collector as an agent
of change. It also adversely affects their job performance.
The visiting dignitaries like the Minister frequently interrupt the Collector’s work. Protocol
requires that the Collector must receive; and be available to have discussions with the
visiting dignitaries. Thus, protocol duty is another area, which affects the Collector’s
work to some extent. One complaint often made is that the Collector is over-worked.
Though, studies are few in this area.
In the district, the Collector is responsible for the maintenance of law and order. In
practice Superintendent of Police, who is the Head of the Police force, in the district
looks after this function under the overall supervision of the Collector. Quite often, the
people come to the Collector with the complaints about the partisan attitude of the
police and their failures. The Collector’s association is indirect and minimal after the
separation of functions, that is, judicial and executive. The relations with the police have
always been very delicate and sensitive to the Collector. In some areas, police began to
resent the control of the Collector in the maintenance of law and order. There have
been cases of strained relations between the two. With increasing unrest in the rural
areas, the role of Collector is becoming increasingly important in the maintenance of
peace and tranquility.
Crisis administration is another important and a necessary function of the Collector.
The crises may include communal disturbances, floods, dacoity, terrorism, accidents
and campus disturbances. These types of crises demand the Collector’s immediate
intervention. This affects their normal functions, and the immediate casualty is neglect of
development functions.
Finally the Collector, who is committed to change in development process, chooses
152
her/his own area and preference for work. Some officers focus their attention on welfare District Collector
of weaker sections; others on health activities; and some of the Collectors concentrate
on special programmes and activities of their choice. Thereby, secondary importance
to the remaining functions. This also constricts their role and performance in general.
The District Collectors should try to overcome these pressures through cordial relations
with the politicians; proper time management; and delegation of work to their subordinates.
Some officers make use of the political executives at the district and state levels to iron
out the problems in development administration; and make positive use of their
interactions with the politicians. There are others, who view the intervention as an
unwelcome interference in their work and feel disgusted.

11.6 ROLE OF DISTRICT COLLECTOR: WAY

FORWARD
District Government can be empowered while fully utilising the institutional strength of
the District Collector. Further, it has been observed that the 73rd and 74th Constitutional
Amendments (1992) have empowered the rural and urban local bodies to function
effectively. As per the new administrative and development environment, the PRIs/
ULBs are the third- tier of government; they do not totally remove the Collector’s
responsibility in matters of local development. Even, declining significance of land revenue
has also not lessened the importance of the District Collector in management of land
records, maintenance of law and order and general administration; and as an effective
grievance redressal authority. The Second Administrative Reforms Commission has
expressed, “These have remained and will remain central and core areas of State activities
at the district level even when there is full fructification of local self-government.” Thus,
it is evident that the District Collector will continue to be responsible for a multiplicity of
tasks at the district level like improving human capabilities, improving economic
opportunities for marginalised sections of society, creating physical infrastructure and
facing challenges posed by disasters in her/his jurisdiction. S/he will have a new role in
the District Administration, that is, role of a coordinator, facilitator and a person who is
responsible for inter-sectoral coordination of various activities of the grassroots
administration. S/he would provide overall leadership in the district in the task of nation
building. Hence, it is evident that the Collector would remain a key figure in the scheme
of administration at the field level (Second Administrative Reforms Commission, 2009,
pp. 63-64, [Link]
The performance of Collector depends upon her/his own inclination and orientation
towards the development goals. It also depends on her/his capacity to make use of the
environment in the district positively and constructively to undertake her/his functions.
To overcome constraints and perform effectively, just to quote an example, Lakhina
experiment has presented best solution, which is still relevant.
Need for administrative efficiency and also responsiveness to the community led Mr.
Anil Kumar Lakhina, a District Collector, to undertake an exercise to reform district
administration. The exercise was done in the Collectorate of Ahmednagar in Satara
district of Maharashtra. Some of the changes brought about in the District Administration
includes regulation of visitors to the Collectorate; designing the office as per task
sequence, making documents available to those who handle them; preparation of desk
manuals, weeding out documents, which had outlived their usefulness, provision of dust
proof and fire fighting equipment; motivation and training etc. This experiment revolved
around the assumption that attitudinal changes in the administrator can result in effective
administration. It sought to link attitudinal changes with physical work environment. 153
State and District The experiment was undertaken in only one district and possibility of its adoption
Administration elsewhere will also bring positive results. But the Lakhina experiment is a pointer that
structural changes coupled with attitudinal changes and the “will” to adopt reforms can
bring efficiency in district administration. What is true of the Collectorate is equally true
of other administrative organs at the district level. The way forward has been shown by
the Government of Himachal Pradesh, that is, by devising the “District Good Governance
Index” (DDGI) to rank the performance of districts on 7 vital themes, 18 focus subjects
and 45 indicators to identify and plug performance gaps in vital areas (Essential
Infrastructure; Support to Human Development; Social Protection; Women and Children;
Crime, Law and Order; Environment; and Transparency & Accountability). In this
context, Bilaspur district ranked first in 2019. It is a best practice that needs to be
followed by other states to add immense value to decision – making especially in
allocation of resources; and in design of policies and programmes for development and
balanced growth, equity and sustainability.
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Explain the role of Collector in Panchayati Raj Institutions.
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2) Describe the significance of Lakhina experiment.
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3) Discuss the problems that Collectors face in the performance of their duties.
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11.7 CONCLUSION
Earlier, the Collector was in charge of land revenue, maintenance of law and order and
other regulatory functions. In independent India, with the adoption of socialistic pattern
of society and focus on development, the Collectors in most of the states became
154 development functionaries and change agents. In this Unit, we have discussed the
evolution of the Office of District Collector. The role and functions of District Collector District Collector
as the Head of Revenue Administration, Police Administration, and District Administration
and as a representative of the Government have been described. Her/his associations
with development institutions like Panchayati Raj are very close and intimate. However
after 73rd and 74th Constitutional Amendments, the role of Collector in development
administration has changed. But the District Collector appears to be the kingpin of
District Administration. Lastly, the problems and constraints, which impinge on the
performance of the Collector like workload, frequent transfers, political interference
etc., have been described. The Collectors should try to overcome these problems by
improving their relations with various functionaries, political leaders and citizens; and
work environment. In the next unit, we will discuss on the Panchayati Raj Institutions.

11.8 GLOSSARY
Appellate Jurisdiction : Authority to hear and decide appeals from the
decision of lower court.
Catalyst : A person responsible for hastening necessary
changes in the system.
Epithet : A descriptive word or phrase expressing some
ideal or implied quality of a person or thing. It is
often used to designate the person or thing in
place of the name.
Protocol : Certain code of behaviour, etiquette to be
observed or as practiced in diplomatic missions.

11.9 REFERENCES
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.
Bava, N. (2000). Development Policies and Administration in India. New Delhi,
India: Uppal Publishing House.
Government of India. (2009). Second Administrative Reforms Commission (15th
Report), State and District Administration. Retrieved from [Link]
sites/default/files/[Link]
Jain, R.B. (Ed.). (1980). District Administration. New Delhi, India: Indian Institute of
Public Administration.
Lakhina, A. K. (1984). Reforms in the Collectorate of Ahmadnagar (Maharashtra - A
Report). The Indian Journal of Public Administration, 30(2).
Mathew, C. K., Kannan, D. & Dutta U. (2018). 7 Themes/18 Focus Subjects/45
Indicators Districts Good Governance Index Governance in the Districts of
Himachal Pradesh/ 2018. Retrieved from [Link]
25_l892s/[Link]
Maheshwari, S.R. (2001). Indian Administration. New Delhi, India: Orient
Blackswan Private Limited.
Mishra, S. (2003). District Administration and Panchayati Raj Institutions Interface. In
S.N. Mishra, A.D. Mishra & S. Mishra (Eds.). Public Governance and
Decentralisation (Essays in Honour of T.N. Chaturvedi). New Delhi, India: Mittal
Publications.
The Constitution of India. Retrieved from [Link]
constitution-india/constitution-india-full-text. 155
State and District
Administration 11.10 ANSWERS TO CHECK YOUR PROGRESS
EXERCISES
Check Your Progress 1
1) Your answer should include the following points:
 The Collector is the highest functionary in the district administration.
 The Collector is the Head of the revenue administration at the district level.
 The maintenance of law and order in the district is the responsibility of the
Collector.
 As the Head of district administration, the Collector plays a coordinating role
between different departments like revenue, police, etc.
2) Your answer should include the following points:
 Refer to Section 11.2
3) Your answer should include the following points:
 Revenue Administration
 Disaster Management
 Law and Order
 District Administration
 A representative of the Government at district level.
Check Your Progress 2
1) Your answer should include the following points:
 Refer to Section 11.3
2) Your answer should include the following points:
 Efforts made by the District Collector of Satara district of Maharashtra to
bring about both structural reforms at the district level, and attitudinal changes
in dealing with organisation.
 Need was felt for bringing about administrative efficiency as well as
responsiveness to the public.
 Certain reforms were brought about in the district administration. Also
improvements in physical work environment were made.
 This experiment established that structural reforms coupled with attitudinal
changes and the necessary “will” to adopt reforms can bring efficiency in
district administration.
3) Your answer should include the following points:
 Frequent transfers of the Collectors, which inhibit the proper performance of
their functions.
 Political interference and pressures have an adverse effect on the performance
of their duties.
 Protocol duties of the Collector, which interrupt their work.
 Increasing workload.
 Strained relations between the Police and Collector.
 Crisis administration demands the Collector’s immediate intervention that
affects her/his normal functions, especially development functions.
156
UNIT 12 PANCHAYATI RAJ*
Structure
12.0 Objectives
12.1 Introduction
12.2 Background of Panchayati Raj
12.3 Seventy-third Constitutional Amendment
12.4 Panchayati Raj Institutions
12.5 Power and Functions
12.6 Administrative Structure
12.7 Finance
12.8 An Appraisal
12.9 Conclusion
12.10 Glossary
12.11 References
12.12 Answers to Check Your Progress Exercises

12.0 OBJECTIVES
After studying this Unit, you should be able to:
 Trace the background of Panchayati Raj;
 Describe the changing role of Panchayati Raj Institutions owing to Seventy-third
Constitutional Amendment;
 Explain the structure, power and functions of Panchayati Raj Institutions; and
 Discuss the administrative structure of Panchayati Raj Institutions; and
 Examine the adequacy of financial resources of Panchayati Raj Institutions.

12.1 INTRODUCTION
Introduction of Panchayati Raj was hailed as one of the most important political
innovations in independent India. It was also considered as a revolutionary step. The
Panchayati Raj is a system of Local Self-Government, wherein the people take upon
themselves the responsibility for development. It is also a system of institutional
arrangement for achieving rural development through people’s initiative and participation.
Administration of development programmes aimed at social, economic and cultural
development is entrusted to these Local Self-Governing institutions. The Panchayati
Raj involves a three-tier structure of democratic institutions at village, block and district
levels, namely, Gram Panchayat, Panchayat Samiti, and Zila Parishad respectively. These
institutions are considered as training ground of democracy and political education.

* Adapted from BPAE-102, Indian Administration, Block-4, Unit-20. 157

State and District Rural development programmes are implemented at this level so that fruits of development
Administration can accrue to the community directly. There are 2,76,718 PRIs in India, of which
include 2,69,347 Gram Panchayats, 6,717 Block Panchayats/ Panchayat Samitis and
654 District Panchayats/ Zila Parishads. In this context, 30.45 lakh elected members of
the PRIs are contributing in rural local governance. It is to be noted that 13.79 lakh
(45%) are elected women representatives (Ministry of Panchayati Raj, Annual Report
2019-2020, p.9). These institutions were established in 1959 based on the philosophy
of decentralisation and gram swaraj. In this Unit, we will discuss background, structure,
power and functions of the Panchayati Raj Institutions (PRIs). In addition we will explain
the role of bureaucracy, financial resources, and Seventy-third/73rd Constitutional
Amendment.

12.2 BACKGROUND OF PANCHAYATI RAJ

Some form of rural institutions has been in existence in the country, since the ancient
period. Village formed the centre of Rural Self-Government in the early ages. They
flourished during the ancient, medieval, and Mughal period as well. During the nationalist
movement, establishment of self-governing institutions at the grass roots level formed a
part of the nationalist ideology. Mahatma Gandhi, who led non-violent struggle for
independence observed, “My idea of village swaraj is that it is a complete republic
independent of its neighbours for its own vital wants and yet, interdependent for many
others in which dependence is a necessity”. Gandhi’s ideas had pervading effect, which
was reflected in the Constituent Assembly debates. The draft of Constitution did not
make any reference to village as unit of self-Government. But there were many in the
Constituent Assembly who felt that villages should play an important role in economic
and social development. After considerable debate and discussions, Article 40 was
incorporated in the chapter on the Directive Principles of State Policy. This Article calls
upon the State, “…to take steps to organise village Panchayats and endow them with
such power and authority as may be necessary to enable them to function as units of
self-Government”. The adoption of planning as a strategy for development required
securing cooperation of the people in rural areas to implement development programmes.
Community Development Programme was initiated in the country in October 1952.
Development Blocks were established with limited staff and funds. The aim was
coordinated development of the area with the help of an extension organisation consisting
of technical specialists working under the leadership of Block Development Officer. At
the grass roots level, there were multipurpose workers. The finances were made available
on the basis of matching contribution from the community. The intention was to use
limited Government funds to stimulate action for self-help.
Advisory committees were constituted for every block for advice on the allocation of
funds for development programmes. To review the working of the Community
Development Programme, the Committee on Plan Projects constituted a team to study
the programme and report on the content and priorities of the programme to ensure
greater efficiency in their execution. The Panchayati Raj in India is broadly based upon
the recommendations of a committee popularly known as Balwantrai Mehta Committee
named after its Chairman. The Committee, which went into detail, felt that the Community
Development Programme could not make appreciable progress, as the bodies neither
had durable strength nor necessary leadership. They felt that these institutions should
have representative character if they have to make any progress. The Committee
believed, “…so long as we do not discover or create representative and democratic
institutions and endow them with adequate power and finance, it is difficult to evoke
158 local interest and excite local initiative in the field of development”. With this basic
premise, the team made a large number of recommendations, which formed the basis Panchayati Raj
for the establishment of three-tier structure of Panchayati Raj in the country.
The team felt that the district was too large and the village too small to be a unit of
planning and development. For development work, a new local body with the territorial
jurisdiction larger than the village and smaller than the district should be created. It
opted in favour of a block, which came into existence in 1952, in preference to district.
The experience of community development blocks influenced the team to favour the
block. The block offered an area, “…large enough for functions which the village
panchayat could not perform and yet small enough to attract the interest and service of
the residents”. It recommended the establishment of statutory bodies called Panchayat
Samitis for each block. Below the Samiti, a Village Panchayat at the village level and
above the Samiti a Zila Parishad for each district was recommended.
The team felt that the Village Panchayat should be constituted with directly elected
representatives. Whereas, Samitis and Zila Parishads should be constituted with indirectly
elected members. It is accepted in principle that the executive and deliberative functions
should be separated. In its view, Samiti should be responsible for developmental
functions; and Zila Parishad for coordination and supervisory functions. It recommended
a three-tier structure. It made several recommendations about the constitution, internal
organisation, functions, finances, staffing pattern as well as the arrangements for control
over these institutions.
Most of the state governments had accepted the recommendations of the Balwantrai
Mehta Committee, and PRIs were established. Andhra Pradesh and Rajasthan were
the first to establish them in the country. The structure of Panchayati Raj that emerged
in the states was substantially in tune with recommendations of Balwantrai Mehta team,
though there are distinguishing differences from state to state. The Government of
Maharashtra, however, appointed a separate committee with V.P. Naik as Chairman.
Based on the recommendations of the Naik Committee, a three-tier structure of the
Panchayati Raj was established in Maharashtra and Gujarat. In these two states, district
instead of block, was considered a suitable unit for development. Therefore, districts
were established as units of planning and development and Samitis were to function as
the extended arms of Zila Parishad to implement development programmes. However,
village continued to be the basic unit of the Panchayati Raj.
In the country, thus, two distinct patterns of the Panchayati Raj have emerged. The first
was the Andhra-Rajasthan pattern, wherein block was the unit of planning and
development. The development functions were entrusted to it. In second Maharashtra
pattern, in the district, there was the unit of planning and development. Between these
two patterns, there was variation in the structure of the PRIs in different states regarding
their constitution, power, functions, nature and size of different tiers.
Both the Central and State Governments have appointed several committees and
commissions for reviewing and recommending reforms to strengthen the Panchayati
Raj. The Committee of Panchayati Raj appointed by the Central Government under
the chairmanship of Shri Asoka Mehta in 1978, is very important as it reviewed the
system of Panchayati Raj in different states. This committee, after carefully examining
the factors responsible for the weakening of PRIs recommended the constitution of
Mandal Panchayats in between the village and district. This, in its view, should be made
the hub of development activities. The committee felt that a Mandal Panchayat with a
population of 15,000 to 20,000 would facilitate forging necessary links. It made several
recommendations in terms of constitution, committee system, functions, finance, etc. It
recognised the utility of the direct participation of political parties in the Panchayati Raj. 159
State and District Its recommendations include the measures for human resource development, training
Administration of officials and non-officials, role of voluntary agencies, strengthening rural-urban
relations, etc. The states like Andhra Pradesh, Karnataka and West Bengal, made
some efforts to implement the reforms suggested by the Asoka Mehta Committee.
Thus, Balwantrai Mehta Committee introduced the three-tier Panchayat system and
Asoka Mehta Committee made an attempt to revitalise the system.
The Janata Party, which was in power for a short period, did not find time to implement
Asoka Mehta Committee Report. Indira Government did not take much interest. Rajiv
Government, however, intended to revitalise the Panchayat system, and therefore
introduced the 64th Constitution Amendment Bill in the Parliament in 1989. The Bill
intended to accord constitutional sanction to the units of rural local self-Government.
The Lok Sabha approved the Bill but it failed to get the approval of the Rajya Sabha.
The Narasimha Rao Government took up the matter with the same motive, and introduced
the 72nd Constitution Amendment Bill in the Parliament, and it became the 73rd
Constitutional Amendment Act in 1992.
By this Amendment Act a new chapter known as Part IX has been added to the
Constitution. The main provisions are: three-tier system of Panchayati Raj at village,
intermediate and district level shall be introduced; Gram Sabha consisting of all voters
in the Panchayat area shall be constituted; seats at all levels in the panchayats shall be
filled by direct election; Members of Parliament (MPs), Members of Legislative Assembly
(MLAs) and Members of Legislative Council (MLCs) will be members of the Panchayats
at the intermediate or district level; and seats have been reserved for scheduled castes
and tribes as well as women. In the light of this Amendment, Panchayat Acts in all states
and Union Territories have been changed. The Provisions of the 73rd Constitutional
Amendment have been discussed in detail in the subsequent section.

12.3 SEVENTY-THIRD CONSTITUTIONAL

AMENDMENT
The constitutional status of “self-Government” has been accorded to the Panchayats
under the Constitution (Seventy-third Amendment) Act, 1992. With the enactment and
enforcement of the Act from 24th April 1993, the states were asked to amend this
respective legislation pertaining to Panchayats to bring them in conformity with the Act
by 24th April 1994. The main features of the Act are discussed below.
The Constitution of India provides for uniform system of three-tier Panchayats at the
village, intermediate and district levels. But the Panchayats at the intermediate level may
not be constituted in a State having a population not exceeding twenty lakhs. The
Panchayati Raj system exists in all states in India except Nagaland, Meghalaya and
Mizoram; and in Union Territories except Delhi.
All the seats in a Panchayat are filled by persons chosen by direct elections from territorial
constituencies in the Panchayat area. The Legislature of a State may, by law, provide
for the representation of the MPs, MLAs and MLCs in the Panchayats at the intermediate
and district level. The State may also provides for the representation of the Chairpersons
of the village panchayats at the intermediate level and district levels. This will create an
organic link among the three-tier panchayats.
One of the major reasons, which hampered the development of the PRI, has been the
absence of regular and periodic elections within a time-frame. Hence, these institutions
had unstable tenures. That is why the Act has provided for a uniform term of five years;
160 and the elections are mandatory before the expiry of the term. In the event of dissolution,
it has been made obligatory for the State to conduct the election within six months for Panchayati Raj
the constitution of a new body. This will provide continuity and strength to these
institutions; and they will be able to establish themselves as an effective and strong
people’s institutions.
In order to ensure a genuine and meaningful participation of weaker sections of the
society, the Act provides reservation for scheduled castes and scheduled tribes in the
membership to these bodies at all the three levels in proportion to their population.
Mere participation at the membership level may not prove to be meaningful. Therefore,
the Act provides for reservation in the offices of the Chairpersons also for these
categories in proportion to their population in the States. It is a unique provision and
would go a long way in according a proper voice to these weaker sections in decision-
making at all levels.
Women constitute half of our population. In order to give them an opportunity of
participation in the local offices, not less than one-third of, the posts of Chairpersons
have been reserved in their favour. These provisions would make women and weaker
sections equal partners in rural development.
The Amendment has assigned an important role to the Gram Sabha. All the voters in a
village panchayat area are its members. It will exercise such power, and perform such
functions at the village level as the legislature of a State, may, by law, provides. The
Gram Sabhas existed in all states even before the 73rd Constitutional Amendment, but
they existed on paper and their role was insignificant. The institution of Gram Sabha
should be revitalised to involve the people to evolve the programme from the base.
The PRIs can grow and develop, if they are provided with a strong financial base. It is
for this purpose the Act provides for a system of financial transfers on a mandatory
basis. A State Finance Commission (SFC) has been setup in every State, once in every
five years, to review the financial position of the Panchayats and make appropriate
recommendations for strengthening the resource base of these institutions. Free and fair
elections in a democracy constitute the most important step in securing trust and respect
from the people for any institution. Therefore, the Act provides for a State Election
Commission (SEC) for superintendence, direction and conduct of all panchayat
elections.
The 11th Schedule containing 29 items, e.g. agriculture, minor irrigation, fisheries, rural
housing etc. is to serve as a guide to the State Government for delegating functions to
the PRIs. The Panchayats have to prepare plans for economic development and social
justice. The plans prepared by the Panchayats are to be consolidated by the District
Planning Committee.
Another important provision of the Amendment Act is the constitution of the District
Planning Committee (DPC) to consolidate the plans prepared by the Panchayats and
Municipalities in the district.
The net effect of the 73rd Constitutional Amendment Act, 1992 is: a) constitutional
status of Panchayati Raj Institutions; b) widening of the social base of these institutions;
c) making Panchayats the foundation stone of planning; d) provision for constitutionally
allocated funds for development work to be undertaken by the Panchayati Raj
Institutions; and e) provision for regular and periodic elections within a time frame.
Panchayats (Extension to the Scheduled Areas) Act, 1996
The provisions of the 73rd Constitutional Amendment Act did not apply to the Scheduled
Areas located in — Andhra Pradesh, Madhya Pradesh, Rajasthan, Gujarat, Maharashtra, 161
State and District Himachal Pradesh, Orissa and Bihar-vide Clause (i) of Article 244 of the Constitution.
Administration The Parliament extended the Seventy-third Constitutional Amendment Act to these
areas on December 24, 1996 by legislating the Panchayats (Extension to the Scheduled
Areas) Act, 1996. The basic premise of the provisions of the Panchayats was to facilitate
participative democracy in tribal areas by empowering the Gram Sabha, restore the
power to community to manage natural resources like land, water, forest and minerals;
and evolve an effective delivery system for development within its territorial jurisdiction.
However, the disturbing trend is widespread apathy on the part of State Government
as the number of States diluted the intent of the Act by assigning more power to the
Gram Panchayat over the Gram Sabha.

12.4 PANCHAYATI RAJ INSTITUTIONS

After the 73rd Constitutional Amendment, we have in every State a three-tier Panchayati
Raj structure at the village, block and district level.
Gram Sabha
An important feature of the structure of panchayats at the village level is Gram Sabha
(GS). It is the supreme village assembly and sole of the PRIs, having a legal status
under the law. It consists of all the adult persons registered as voters in the electoral roll
of a village comprised within the area of Gram Panchayat. It has been made obligatory
for the Gram Sabha to hold two to four general meetings in each year. A Gram Sabha
may exercise such power and perform such functions as the Legislature of a State may
by law provides. In most of the states, the Gram Sabhas are constituted as an instrument
of popular participation at the cutting edge level. They are vested with the power to
consider the accounts and administration of the panchayat, and approve proposals for
taxation and plans for development and identifying beneficiaries under various schemes.
Gram Panchayat
Throughout the country village panchayat is the basic unit in the structure of Panchayati
Raj. As Village Panchayats have been in existence in the country since ancient times,
almost all states have recognised their importance. It is also felt that as panchayats are
nearer to the community, they would ensure more direct participation of the people in
the implementation of development programmes. All the seats in a Gram Panchayat
(GP) are filled by persons chosen by direct elections from the territorial constituencies
in the Panchayat area. Seats have been reserved for scheduled castes and tribes as well
as women.
Panchayat Samiti
Panchayat Samiti (PS) is the next important body in the structure of Panchayati Raj. In
almost all the states, Samitis have been given important role. The voters in the area
directly elect their representatives in a Samiti. The State may provide representation of
the Chairperson of the Village Panchayats, MPs, MLAs and MLCs. Thus, the structure
of the Panchayat Samitis varies from State to State. The seats are, however, reserved
for scheduled castes, tribes and women.
Zila Parishad
Zila Parishad (ZP) as the third-tier has been established at the district level in all the
states. The structural pattern of the Zila Parishad is the same as in the Panchayat Samiti.
The voters directly elect their representatives from their constituencies. These seats
have also been reserved for scheduled castes, tribes and women. The State Legislature
may provide by law representation of the Chairpersons of the Panchayat Samitis, MPs,
MLAs, and MLCs.
162
Reservation for Women in Panchayati Raj Institutions Panchayati Raj

Andhra Pradesh, Bihar, Chhattisgarh, Himachal Pradesh, Jharkhand, Kerala, Karnataka,

Madhya Pradesh, Maharashtra, Odisha, Rajasthan etc. have implemented 50 percent
reservation for Women.

12.5 POWER AND FUNCTIONS

Gram Panchayat
At the village level, the Panchayats are responsible for planning and implementation of
the subjects mentioned in the Eleventh Schedule. These bodies have been assigned
variety of functions within the limits of the funds at their disposal, to make arrangements
for carrying out the requirement of sabha area. General functions of the GP include
maintenance of essential statistics of the village under its jurisdiction, preparation of
annual plans for the development of the GP area, preparation of annual budget, power
for mobilising relief works during disaster, removal of encroachments on public places,
and organising voluntary labour and contribution for community works. Other important
functions are related to the development and improvement of agriculture, animal
husbandry, fisheries, rural housing, drinking water, rural electrification, non-conventional
energy sources, education including primary and secondary schools, adult education
including primary and secondary schools, libraries, cultural activities, markets and fairs,
rural sanitation, public health and family welfare, women and child development, welfare
of the weaker sections, public distribution system, maintenance of community assets,
construction and maintenance of dharmashalas, cattle sheds, slaughter houses, public
parks, etc. The Gram Panchayats have been entrusted with both obligatory and
discretionary functions. These are both civic and developmental. The main emphasis is
on development activities such as agriculture, primary education, health and sanitation,
and local amenities. It is generally felt that they are charged with too many functions
without adequate resources.
Panchayat Samiti
The Panchayat Samiti performs necessary functions for formulation and execution of
the plans. The power and main functions of PS are as follows:
i) Preparation of the annual plans in respect of the schemes entrusted to it and their
submission to the Chief Executive Officer within a period of two months of its
receipt for the consideration of the District Planning Committee.
ii) Consideration and consolidation of the annual plans of all GPs in the block and
their submission to the ZP.
iii) Preparation of annual budget of the blocks and its submission, within time limits of
the ZP.
iv) Providing relief in natural calamities or disaster.
v) Performing such functions and executing such works as entrusted to it by the
Government or the ZP.
In addition, PS have been entrusted with a large number of power and functions such
as land improvement and watershed development, minor irrigation, animal husbandry,
fisheries, dairying and poultry, village and cottage industries, drinking water, rural
electrification, khadi, etc.
163
State and District Zila Parishad
Administration
The ZP is mainly an advisory, supervisory and coordinating agency of the Panchayat
system. It gives advice to PS on the requirement of the Government or at the request of
a Panchayat Samiti or of its own motion; coordinates and consolidates development
plans in respect of PS; secures the execution of plans, project schemes etc. common to
two or more Panchayat Samitis in the district; advises the Government on all matters
concerning development activities and maintenance of services in the district; advises
the Government on allocation of work among Gram Panchayats and Panchayat Samitis
and coordinate their work; advises the Government on matters referred by the
Government concerning the implementation of any statutory or executive order; and
examines and approves the budget of Panchayat Samitis in the manner laid down in the
Act (for example, Section 102 of the Haryana Panchayati Raj Act 1994). The Zila
Parishad, under written order of the Government exercises such supervision and control
over the performance of all or any of the administrative functions of the Gram Panchayat
and Panchayat Samiti within the district or any part thereof.
There are two views regarding the constitutional position in respect of devolution of
functions to the Panchayats. It is generally held that the Panchayats can be entrusted
with the developmental responsibilities only and such responsibilities are limited by the
11th Schedule. There is another view that relies on the substantive part of Article 243 G
that suggests the endowment of “…such power and authority as may be necessary to
enable them to function as an institution of Local Self-Government” (The Constitution
of India, pp. 133-134 [Link]
constitution-india-full-text). This view comes to the conclusion that the 11th Schedule is
not the ceiling and it is for the State legislatures to decide what power and responsibilities
the Panchayats should have in order to enable them to function as an institution of self-
Government.
The Ministry of Panchayati Raj through e-Gram Swaraj Portal & Mobile App will offer
the Gram Panchayats a single interface to prepare and implement their Gram Panchayat
Development Plan. Now, it will be convenient and easy to collect information on
decentralised planning, progress reporting and work-based accounting.
Check Your Progress 1
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) What are the major recommendations of the Balwantrai Mehta Team?
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2) Describe the three-tier structure of Panchayati Raj.
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164 ......................................................................................................................
...................................................................................................................... Panchayati Raj

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3) Discuss the powers and functions of Panchayati Raj Institutions.
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12.6 ADMINISTRATIVE STRUCTURE

The need for efficient and competent personnel in PRIs has been recognised from the
beginning. The Local Self-Government agencies have to perform several functions.
They are fully involved in planning, execution, monitoring of schemes at the field level in
states like Haryana, which require technical and administrative personnel. They provide
continuity in the policies and programmes of these bodies because the political executives
change periodically. Competent personnel are also essential to ensure non-partisan and
objective decision-making.
There are two categories of personnel in PRIs, one is the State cadre officials placed
under the control of PRIs viz. Block Development Officers (BDOs) and other technical
officers from State Departments. Their recruitment, transfers, promotions and discipline
rest with the State Government. The second is the constitution of separate Panchayati
Raj cadre. It is found in Maharashtra, Andhra Pradesh and Rajasthan. Broadly in
Panchayati Raj, two types of officers can be identified viz., generalist and technical
officers. The Chief Executive Officer, BDOs, Village Level Workers (VLWs) come
under generalist category. In addition, the District technical officers constitute the technical
category. Another classification is State Cadre official and Local Cadre officials. The
Chief Executive Officer, BDOs, Technical Officers, etc. belong to the State Cadre.
They belong to one of the State level Departments. The State Government regulates
their conditions of service. The Pragati Prasar adhikari, Panchayat Extension Officer,
Clerk, VLWs etc. broadly constitute local cadre officials. They are appointed at the
district level, and are considered as employees of the PRIs.
There is a large measure of uniformity in the staffing pattern in the PRIs in the country.
At the village level there is a Secretary or an Executive Officer looking after the
administrative work of the Panchayat. The VLW is appointed for a group of villages.
S/he is mainly a multi-purpose functionary concerned with development programmes in
the villages under her/his jurisdiction. At the block level, BDO acts as a Chief Executive
officer and coordinates the work of officers under her/him. The Extension officers for
each development activity are posted at the block level. They work under the
administrative control of the BDO as well as the technical control of district level officers.
This dual control has led to several problems at the block level. In the Zila Parishads,
the Chief Executive Officer or District Development Officer is the Head of the ZP. The
District Technical Officer assist her/him in the development work.
There are number of personnel problems as different categories of functionaries work
in Panchayati Raj. They are selected by different agencies, and their conditions of service
and channels of promotion are different. Often their compatibility to the Panchayati Raj
165
State and District system is questioned. A number of State level officers are on deputation, they function
Administration as birds of passage without any commitment with the PRIs. Frequent transfer of officers,
increasing volume of paper work, inadequate opportunities for growth and advancement
are some of the problems, which are effecting the functioning of Panchayati Raj
Institutions. The Panchayati Raj staff exhibit a lack of unified pattern, unsatisfactory
conditions of service and lack of effective training programmes.

12.7 FINANCE
The financial resources of Panchayati Raj Institutions can broadly be divided into four
categories, viz. taxes, grants and public contributions, income through productive
enterprises, and loans. Taxes levied by Panchayat are both compulsory and discretionary.
The Panchayats in some states collect vehicle tax, profession tax, etc. Unfortunately
there has been a general reluctance on the part of Panchayats to levy and collect the
taxes. Here, the Government grant is another source of income to Panchayat. In most
of the states, Panchayats survive only on the Government grants. There is, however, no
uniformity in the nature and quantum of grants. The Panchayats derive income from
productive enterprises like Cinema halls, flour mills, etc.
The Panchayat Samitis, in many states, also have power of taxation. They can levy
house tax, irrigation tax, education tax, etc. But, rarely this power of taxation is exercised.
These Samitis also receive grants from the Government and there are variations between
State to State in the nature and quantum of grants. In some states, where functions like
education have been transferred to Samitis, they are given grants to undertake these
functions. The Zila Parishads undertake coordinating functions. Therefore, their finances
mostly, consist of grants received form the State Government and the assigned revenues.
The funds of the Parishad come mainly from the share of the land revenue and other
taxes assigned to them by the Government.
A serious problem with PRIs is that they have always been starved of finances.
Inadequacy of finances is one of the basic reasons for their inability to undertake the
development functions. Though, they are considered as principal agencies of rural
development, they are not given adequate resources. In almost all the states, there has
been heavy dependence of the PRIs on the State Grants. The quantum of grants is
mostly determined by the State Government.
The taxes, duties and fees to be levied by the Panchayats are assigned to them and the
grants-in-aid to be given to them have been left to the discretion of the State Governments.
But after the 73rd Constitutional Amendment, we have a Finance Commission in every
State, and it is constituted once in every five years. The State Finance Commission is to
make recommendations regarding the principles to govern the distribution of the taxes,
duties, tolls and fees between the State and Panchayats, and also its distribution between
the Panchayats at all levels. The Commission also suggests the principles for determination
of the taxes, duties, tolls and fees to be assigned to them; and the grants-in-aid to be
given from the Consolidated Fund of the State. It also has the mandate to suggest ways
and means of improving the financial position of the Panchayati Raj Institution.
The Panchayats mainly rely on fiscal transfers from the State government in the form of
shared taxes and grants. As taxes are shared according to the recommendations of the
State Finance Commission (SFC), therefore constitution of the SFC (for more details,
study Unit 7on State Finance Commission) at a regular interval of the five years is a
mandatory requirement. In this regard, most critical function of the Commission is to
determine the fiscal transfer from the state to local government in the form of revenue
166 sharing and grants-in-aid. It is to be noted that the Fourteenth Finance Commission
(2015-20) had allocated grant of Rs. 2,00,292 crore to the Panchayats. Thus, there is Panchayati Raj
an increase in the share of untied resources for Gram Panchayat. As far as states are
concerned, in Tamil Nadu, Fourth Finance Commission (2012-17) had recommended
Rs. 10,337.58 crores for Village Panchayats, Rs. 5,620.04 for Panchayat Unions and
Rs. 1,405.02 for District Panchayats, that is, total Rs. 17,362.64 crores (Panchayati
Raj: Funds Release to Rural Local Bodies, [Link] With
increased devolution to local governments, the Gram Panchayats have used the funds
judiciously.

12.8 AN APPRAISAL
Panchayati Raj Institutions in India have completed six decades of their existence. Its
introduction was considered as a social revolution and an answer to several problems
afflicting the rural society. A question that is often raised is whether Panchayati Raj is
successful or not? There are two viewpoints on this: Protagonists of Panchayati Raj
argue that it is successful and has achieved its objectives. On the other hand, critics
argue that it has failed to realise its objectives. The Panchayati Raj had its ups and
downs. It has passed through the phases of ascendance, stagnation and decline.
Protagonists argue that Panchayati Raj has become a democratic seed drilling by making
the people conscious of their rights. It has bridged the gap between the bureaucracy
and the people. It has also generated a new leadership, which is young, forward looking
and modern. It has even cultivated a development psyche among the people. It has
played a positive role in initiating and implementing the development programmes. At
many places, political base has been used to provide the needed impetus to implement
development programmes. It has opened a new type of leadership in the rural areas.
These leaders trained in the art of democratic institutions have climbed the ladder and
have become political executives at the higher echelons of democratic institutions.
A question often raised is whether there has been sufficient transfer of power to the
local bodies or not? The Panchayati Raj Act has no doubt specified the power and
functions of each of the tiers of Panchayati Raj. They were expected to formulate plans
based on local needs and implement them. But unfortunately, local bodies began
formulating plans in a mechanical and routine way without taking into consideration the
local requirements. One reason attributed to this is the narrow resource base of the
Panchayati Raj Institutions, which does not enable them to take all the local needs, and
plan for their fulfilment. In addition, a major criticism is that the leadership is drawn from
a narrow social base. It is alleged that the majority of them come from dominant land
owning castes and classes and dominate. Thus, in some areas, the economically and
socially privileged section of the society is enjoying benefits and yielding no benefits to
weaker sections.
Coordination is sine-qua-non for efficient administration of development programmes.
Unfortunately, it appears to be one of the serious problems facing Panchayati Raj. The
dual control over extension officers, inadequate integration of development departments
and Panchayati Raj Institutions are some of the reasons attributed for the failure of
coordination. Emphasis is on cumbersome administrative procedures, which affect the
initiative and hamper the process of implementation. There appears to be more emphasis
on rule mindedness than on roles to be performed. This has resulted in delays in the
execution of development programmes. Red tape is dampening the initiative of people’s
representatives as well.
The PRIs, particularly, at the grass roots level, concentrated on civic amenities. There
appears to be enthusiasm in the construction of school buildings than running the schools
167
effectively. Though civic amenities and infrastructure are important, extension cannot
State and District be totally ignored. Another problem area is that the welfare or weaker sections, which
Administration either for want of commitment or for wants of resources, does not seem to have received
proper attention by the PRIs.
Panchayati Raj notwithstanding these limitations has provided the needed impetus in
democratising rural-local institutions. It has generated interest and enthusiasm among
the rural people. This enthusiasm unfortunately is not matched by support from the
higher levels and is not supplemented by matching resources.
A study has been conducted to assess the enabling environment that the states had
created for the Panchayats to function as institutions of self-government. The analysis
began with a test whether states/union territories have fulfilled the selected mandatory
provisions of the constitution, which are mentioned below:
i) Holding regular elections of panchayats in states;
ii) Establishment of State Election Commission in states;
iii) Setting up of District Planning Committees in states;
iv) Establishment of State Finance Commission at regular intervals in the states; and
v) Reservation of seats for SCs/STs and women at all levels of PRIs in states.
When the enabling environment created by a state is compared with that of other states
in terms of monitorable indicators it has been observed, “Maharashtra is ranked first
with a value of about 69.65 followed by Kerala(60.87), Karnataka(60.82), and Tamil
Nadu (56.05). Maharashtra is well ahead of the rest with score close to 70, whereas,
Kerala and Karnataka are extremely close to each other with a score of about 61.
Tamil Nadu has scored about 55. Further, Chhattisgarh, West Bengal and Rajasthan
are ranked sixth, seventh and eighth with scores near 53. It may be noted that Tripura
is the only north eastern state that has secured scores close to 45 which is above the
national average of 43.36” (Alok, Kurukshetra, pp. 45-46). Thus, it is evident from the
above study that none of the states had achieved complete devolution from states to
panchayats even after more than two and a half decades of the enactment of the 73rd
constitutional amendment.
If we are committed to the cannons of democracy, there is a need for effective self-
governing institutions at the local level. Success of Panchayati Raj would strengthen the
democracy in the country and their failure will weaken it. Democracy cannot stop at
National and State level. If democracy is to survive, strengthening of democratic
institutions and their proper functioning at the grassroots level is an imperative necessity.
To ensure efficient and effective service delivery, accessibility and reach, there is an
urgent need for improving the responsiveness of the local bodies to the citizens, which
could be enhanced through:
 Proper delegation of functions;
 In-house mechanism for redressal of public grievances;
 More transparency in administrative system; and
 An effective system of social audit at all levels of local self-government to ensure
accountability and transparency in the PRIs.
In this regard, setting up of effective Common Service Centre at each Gram Panchayat
level will contribute in creation of sustainable rural entrepreneurship and redefining
168 governance; and transforming India into digitally and socially empowered society. The
efforts of Ministry of Panchayati Raj will bring result on the basis of joint efforts of State Panchayati Raj
Government, Panchayati Raj Institutions and citizens in empowering rural masses digitally.
Thus, continuous efforts are required to make people digital friendly and Panchayats
technologically savvy to promote effective planning , and governance at the grassroots
level; and strengthening the PRIs as institutions of self-governance.
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Explain the administrative structure of Panchayati Raj Institutions.
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2) What are the different financial resources of Panchayati Raj Institutions? Are they
sufficient for them to undertake their functions?
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3) Evaluate the performance of Panchayati Raj system.
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12.9 CONCLUSION
Panchayati Raj has been heralded as a social revolution in the country. It was established
in the country on the basis of the Balwantrai Mehta Committee’s recommendations. In
this Unit, the recommendations of Balwantrai Mehta Committee, Asoka Mehta
Committee and 73rd Constitutional Amendment have been emphasised. These Institutions
were in a moribund stage for years together. By the 73rd Constitutional Amendment
Act, 1992 Panchayats have been given a constitutional status. In addition, the role of
Panchayati Raj Institutions (PRIs), administrative structure and financial resources have
been described. What is heartening is that there has been a realisation on the need and
significance of Panchayati Raj to strengthen the democracy and governance at the
grassroots level. It can be stated that though none of the states had achieved complete 169
State and District devolution from states to Panchayats, but the 73rd Constitutional Amendment has
Administration provided continuity and space for vulnerable groups and women in these institutions.
The studies revealed that these institutions could not perform effectively in most of the
states. Even states have not performed their duties as expected to strengthen the
Panchayats as rural self- government. In this context, the Union Government and state
governments must contribute effectively to conscientise the citizens, administrators,
political leaders and civil society to strengthen the institutions of self- government through
joint efforts. In addition, proper devolution of funds will bring effectiveness,
responsiveness and efficiency in delivery of public services. The trust of State Government
on Village Panchayat and Gram Sabha; and flexibility to utilise funds will result in achieving
Sustainable Development Goals and all round development.

12.10 GLOSSARY
Directive Principles of : Part IV of the Indian Constitution consists of
State Policy these principles. They are obligations of the State
towards its citizens. Though, these are not
enforceable by the courts. The State is expected
to apply these principles while making laws.
Gram Sabha : It is the lowest administrative body at the village
level, consisting of adult members residing in that
area.
Periodic Audit : Examination of the accounts of the Panchayati
Raj bodies at regular intervals to ensure that the
money has been spent in a proper manner to fulfill
the purpose for which it was asked.

12.11 REFERENCES
Alok, V.N. (July 2018). “Strengthening of Panchayats through Devolution”.
Kurukshetra: A Journal of Rural Development, 66 (9), pp. 45-46.
Arora, R.K. & Goyal, R. (2013). Indian Public Administration: Institutions and
Issues. New Delhi, India: New Age International Publishers.
Arora, R.K. (1999). Indian Administration: Perceptions and Perspectives. Jaipur,
India: Aalekh Publishers.
Bhattacharya, M. (2000). Indian Administration. Kolkata, India: World Press.
Choudhury, R.C. & Rajakutty, S. (1998). Fifty Years of Rural Development in
India: Retrospect and Prospect (Vol. I & II). Hyderabad, India: National Institute of
Rural Development.
Government of India, Second Administrative Reforms Commission (Sixth Report).
Local Governance: An inspiring journey into the future. Retrieved from https://
[Link]/sites/default/files/local_governance6.pdf
Government of Tamil Nadu, Rural Development & Panchayat Raj Department.
Panchayati Raj: Funds Release to Rural Local Bodies. Retrieved from [Link]
[Link]
Jha, S.N. & Mathur, P.C. (1999). Decentralization and Local Politics. New Delhi,
170
India: Sage Publications.
Maheshwari, S.R. (2001). Indian Administration. New Delhi, India: Orient Blackswan Panchayati Raj
Private Limited.
Mishra, S.N, Mishra, A.D. & Mishra, S. (2003). Public Governance and
Decentralisation. New Delhi, India: Mittal Publications.
Nandini, D. (2005). Relationship between Political Leaders and Administrators.
New Delhi, India: Uppal Publishing House.
The Constitution of India. Retrieved from [Link]
constitution-india/constitution-india-full-text

12.12 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your answer should include the following points:
 Recommendations of the Balwantrai Mehta Team formed the basis of three-
tier structure of Panchayati Raj in India.
 Creation of a new local body with the territorial jurisdiction larger than the
village and smaller than the district.
 The committee favoured the creation of block, which would undertake
functions that the Gram Panchayat cannot perform and would attract the
interest and service of residents. It recommended establishment of Panchayat
Samiti for each block.
 There should be a Gram Panchayat, Panchayat Samiti and Zila Parishad.
 Separation of executive from deliberative functions.
2) Your answer should include the following points:
 Gram Panchayat is the basic unit in the structure of Panchayati Raj. It is
entrusted in most of the states, with both civic and developmental functions.
The Gram Panchayat is Headed by a Sarpanch. It is representative and elective
body consisting of directly elected members.
 Panchayat Samiti, at the block level, is an important unit vested with planning
and development functions. The members of the Samiti are elected both
directly and indirectly.
 Zila Parishad is established at the district level and is entrusted with supervisory
and co-ordination functions.
3) Your answer should include the following points:
 Refer Section 12.5
Check Your Progress 2
1) Your answer should include the following points:
 Presence of two categories of personnel in the Panchayati Raj Institutions.
 The first category comprising State Cadre officials placed under the control
of Panchayati Raj. These include generalist officers like BDOs and other
technical officers from State level departments. 171
State and District  The second category of personnel system is the constitution of separate
Administration Panchayati Raj cadre. This has local officials such as village level workers
and school teachers who are appointed at the district level.
2) Your answer should include the following points:
 Refer Section 12.7
3) Your answer should include the following points:
 Refer Section 12.8

172
UNIT 13 MUNICIPAL ADMINISTRATION*
Structure
13.0 Objectives
13.1 Introduction
13.2 Urbanisation in India
13.3 Seventy-Fourth Constitutional Amendment
13.4 Urban Local Self-Government
13.5 Urban Development Authorities
13.6 Administrative Structure
13.7 Finance
13.8 An Appraisal
13.9 Conclusion
13.10 Glossary
13.11 References
13.12 Answers to check Your Progress Exercises

13.0 OBJECTIVES
After studying this Unit, you should be able to:
 Describe the trends in urbanisation in India;
 Discuss the constitution and composition of Municipalities in India;
 Explain the role of Political Executives and Commissioner;
 Highlight the status of municipal personnel; and
 Examine the adequacy of financial resources and working of Municipal
Administration.

13.1 INTRODUCTION
In the developing countries, the Colonial Governments during the period of their
domination established several statutory institutions. Among them Urban Local Self-
Government institutions are most prominent. Ever since the establishment of Madras
(Chennai Municipal Corporation) four centuries ago, there has been a proliferation of
municipal bodies to manage the town and city. Lord Rippon’s resolution in 1882 sought
to place these Urban Local Government institutions on a sound organisational footing.
They have been working with different degrees of success in administering the city. In
this Unit, we shall discuss the nature of urbanisation in India, different types of urban
local bodies, administrative structure, municipal finance and impact of the 74th
Constitutional Amendment on efficiency and effectiveness of municipalities in service
delivery.
* Adapted from BPAE-102, Indian Administration, Block-4, Unit-19. 173
State and District
Administration 13.2 URBANISATION IN INDIA
An Urban area is one, which is formally so declared through the statutory establishment
in that area of a municipal body, a notified area or a cantonment by a definite legislation.
Thus, there are Municipal Acts in different States under which municipal bodies are set-
up by the State Governments in specific areas. Cantonment areas are governed by the
Central legislation. There can be other areas also that can be declared as “urban” by
the census authorities.
The urban population, which was around 3 per cent at the beginning of the 19th Century
rose to about 10 per cent by the beginning of the 20th century. Between 1901 and 1921
urban population grew very slowly, that is, it rose from 25.6 million to 27.6 million and
between 1921 and 1941 population rose to 43.5 million. But after 1941, the growth
rate gained greater momentum adding to its urban population. From 1961 onwards
there has been a dramatic increase in the urban population of the country. In 1961 the
urban population stood at 77.5 million and by 1981 it had more than doubled to make
it 109.6 million constituting about 23.7 per cent of India’s total population. On the basis
of census calculation it can be said that India’s urban population has been rising steadily.
In 1971 total urban population in India stood at 109.11 million, which rose to 159.46
million in 1981, and 218 million in 1991. During 1971-81 decade India’s urban
population increased approximately 5 million per annum, or at an average annual growth
rate of 3.87 per cent compared to the growth rate of 1.78 per cent for the rural
population. In 1991 census, country’s total urban population stood at 217.18 million
and the average annual growth rate during 1981-91 was 3.09 per cent. Between 1988
and 2001 the projections estimate India’s urban population to become almost double
and from 2001 to 2021 it is expected to double again taking the urban population to
more than 600 million.
India recorded a population of 1,382,271,004 (as on 1st September 2020). The data
indicates that 65 per cent persons were recorded in rural areas and remaining 35 per
cent in urban areas. (India Population, live, [Link]).Urban population
growth is supposed to be an indicator of general economic development. Delhi is the
most urbanised state in India with over 97 per cent of its population being Urban (top
10 Urbanised states of India, [Link]). Amongst the other major States, the
most urbanised is Tamil Nadu with 48.4 per cent urban population. Maharashtra has
the maximum urban population but is the third most urbanised State with 45.2 per cent
Urban Population. Kerala is second most urbanised State having 47.7 per cent urban
population. The Himachal Pradesh is least urbanised (most Rural) State having 10 per
cent followed by Bihar (11.3 per cent), Assam(14.1 per cent) and Odisha earlier known
as Orissa (16.7 per cent) (Ministry of Housing and Urban Affairs, Level of Urbanisation,
45.2%, [Link]).
In India, lack of employment opportunities in the rural areas has led to city-ward
migration of large rural population, which is commonly known as the “push” factor of
urbanisation. The migrants generally choose to settle in large cities where, as a
consequence, population increase is not matched by planned infrastructure development.
Roads, water supply, housing, drainage and sewerage, transportation facilities- all suffer
from short supply in the face of mounting population pressure. Our large cities like
Kolkata, Mumbai, Delhi etc. are all having large slum population and there is chronic
shortage of essential civic services and facilities in these cities.
There has been a notion that India is an over-urbanised State, because of their substantial
increase in population over the years. This thesis is advanced on the ground that there
174 is a mismatch between the levels of industrialisation and urbanisation. The process of
urbanisation is costly and impinges upon the economic growth. The State of infrastructure Municipal
is poor and is not in a position to take the growing urban pressure. Administration

13.3 SEVENTY-FOURTH CONSTITUTIONAL

AMENDMENT
Far reaching changes have been brought about for both municipal Government and
Panchayati Raj Institutions through the two Constitutional Amendments: the Seventy-
third (73rd) Constitutional Amendment Act, 1992 for Panchayati Raj, and the seventy-
fourth (74th) Constitutional Amendment Act, 1992 for Municipal Bodies.
The Constitution of India provides for the constitution of three types of institutions of
Urban Local Self-Government. These are Municipal Corporations in larger urban areas,
Municipal Councils in urban settlements, and Nagar Panchayats in “transitional” areas,
which are neither fully urban nor fully rural. In addition, it provides for decentralisation
of municipal administration by constituting Ward Committees in territorial areas of such
municipalities, which has more than three-lakh population.
Composition
The Municipal authorities are to be constituted of:
 The elected representatives, who are to be elected from different electoral wards;
 The Members of the House of the People and the Legislative Assembly of the
state representing Constituencies, which are wholly or partly under the municipal
area; the members of the Council of State and the State Legislative Council who
are registered as electors within the municipal area;
 Chairpersons of the Committees of the municipal authorities; and
 Persons having special knowledge or experience in municipal administration
(without right to vote).
The Ward Committees are to be composed of members of the Municipal Council
representing the wards within the jurisdiction and one of the elected representatives
from within the wards is to be appointed as its Chairperson. But the constitution gives
discretion to the State Government to decide the composition.
Another important provision of the Constitutional Amendment pertains to the municipal
authorities, right to exist. It gives a term of five years, to the municipalities and if at all
they have to be dissolved, they must be given an opportunity of being heard. Even if
they have to be dissolved because of any irregularity, fresh elections are to be held
within six months. This prevents the phenomenon of prolonged supersession or years
together.
Empowerment of weaker sections of society and women is one of the substantive
provisions of the Constitution Amendment. With a view to empowering the scheduled
castes and tribes as well women, it provides for the reservation of seats in the Council.
Besides such reservations, the most important provision of the Constitution Amendment
is empowerment of women for which one-third of the total seats are to be reserved.
To keep the municipal elections out of the direct control of the State Government, and
to ensure free and fair elections to the municipal bodies, the Constitutional Amendment
has provided for an independent State Election Commission (SEC) consisting of an
Election Commissioner to be appointed by the Governor.
175
State and District The most important feature of the Seventy-Fourth Constitutional Amendment, in financial
Administration sphere, is the mandatory constitution of Finance Commission by the State Government
once in every five years. The State Finance Commission is to make recommendations
regarding the principles to govern sharing of the State taxes, fees etc. between the State
Government and the Municipalities; and also its distribution among the municipalities.
The Commission also has to suggest the principles for determination of taxes and fees
to be assigned to them and the grants-in-aid to be given to the municipal authorities out
of the Consolidated Fund of the State. It also has the mandate to suggest ways and
means of improving the financial position of the municipal authorities.
Moreover, the need for non-plan funds of the Municipalities is now to be looked by the
Union Finance Commission as well. Federal transfers will now be available also for the
municipal authorities. This is an amendment of far reaching importance.
The Constitutional Amendment provides for setting up of the District Planning Committee
to consolidate the plans prepared by the Municipalities and the Panchayats within the
district; and to prepare a draft development plan for the district as a whole. The
municipalities are to be represented on it. Plans so prepared are to be forwarded by the
Chairperson of the Planning Committees to the State Government. Similarly, Metropolitan
Planning Committees are to be setup in the metropolitan areas on which the municipal
authorities are to be represented.
The 74th Constitutional Amendment is a landmark legislation that, for the first time,
accords constitutional status to the Municipal Government and provides for broader
social participation in local councils, people’s involvement in civic development, and
enlargement of functional domain by inserting the Twelfth Schedule, continuity through
regular elections and regular funds flow from the higher level Governments. The other
important dimension is constitutional recognition of micro-level planning coordinated
by the District Planning Committee. These are the brighter aspects of the Amendment.
There are, however, the grayer areas as well. It has missed a valuable opportunity to
specify the functions and also the sources of local revenues. This would have prevented
the State encroachment into these spheres.

13.4 URBAN LOCAL SELF-GOVERNMENT

Following the 74th Constitutional Amendment Act, 1992 Urban Local Self-Government
in India has been classified into three types-Municipal Corporations, Municipalities and
Nagar Panchayats. We are familiar with the names of the-Kolkata Municipal Corporation,
Delhi Municipal Corporation and similar other Corporation in our big cities. In the small
and medium towns, there are Municipalities that are sometimes called Municipal Boards
or Municipal Committees. Where a place is neither fully rural or fully urban, and it is
going through a process of urbanisation because of industrialisation or location of big
development projects, a notified area committee or a town committee used to be setup
as an interim measure. Under the 74th Constitutional Amendment a Nagar Panchayat
shall be setup on such “transitional areas”. Indeed, an urban area, irrespective of its
size, needs a local Government for the provision of civic services and facilities such as
water supply, garbage clearance, construction and maintenance or roads. These are
some of the important services that an Urban Government has to provide to sustain
civic life in an area. The Municipal Corporation, Municipal Council and Municipal
Committee/Nagar Panchayat as per the size of the area provide these services.
i) MUNICIPAL CORPORATION
176 The administration of civic affairs in a city is a challenge. The distinct characteristic of a
city is the huge concentration of population within a limited area. The management of Municipal
civil services therefore, requires an effective organisational structure, adequate finance Administration
and efficient personnel. The Municipal Corporation as a form of City Government
occupies the top position among the local authorities in India. Normally, the Corporation
form of urban Government is found in major cities like Mumbai, Delhi, Kolkata, Chennai,
Hyderabad, etc.
Municipal Corporation is established through a special statute, which is passed by the
State legislature. In case of Union Territories, they are established through Acts passed
by the Parliament. Such legislation may be enacted especially for a particular Corporation
or for all Corporations in a State, for example the Mumbai and Kolkata Corporations
were established through separate legislation. Whereas in Uttar Pradesh and Madhya
Pradesh, State level legislation governs the working of the Corporation. The Municipal
Corporation generally enjoys a greater measure of autonomy than other forms of local
government. In almost all the states, the Municipal Corporations have been assigned
numerous functions such as supply of drinking water, electricity, road, transport services,
public health, education, registration of births and deaths, drainage, construction of
public parks, gardens, libraries, etc. These functions are normally divided as obligatory
and discretionary.
In Haryana, there are 10 Municipal Corporations (MCs). The MC is constituted for
governing the area. It has both elected and nominated (ex-officio) members. Under the
amended municipal law of the State, election to the municipal bodies must take place
every five years, unless a municipal body is dissolved earlier. Earlier, the Mayor was
elected by the members of the Corporation from amongst themselves in Haryana. Now,
voters elect the mayors directly. For the first time, in December 2018, the Mayors
were directly elected by voters in Hisar, Rohtak, Yamuna Nagar, Panipat and Karnal.
Mayor
In view of the importance of the city, the Mayor who is first citizen of the city is a
Political Head. S/he presides over the meetings of the Corporation and generally exercises
limited administrative control over the working of the Municipal Corporation. General
pattern in India was that the Council elects the Mayor. The Mayor of Mumbai Municipal
Corporation is elected by the Corporation from amongst the Councilors for 2.5 years
from the date of election. Normally, the Mayors are ceremonial Heads. The rural-
urban relationship committee, which went into the problem of power for the Mayor did
not favor any substantial increase. If the Mayor is to be elected by the votes of the
entire city enjoying five years term as in Andhra Pradesh, there is a need to reconsider
the age-old practice of keeping the mayor only as a figure Head with ceremonial functions.
However, in Bihar, Jharkhand, Madhya Pradesh, Odisha, Uttarakhand etc. the Mayors
are directly elected by voters and, thus, hold the executive powers of the Municipal
Corporation, degree of power varies from State to State.
Commissioner
The institution of Commissioner was created for the first time in 1888, based on the
philosophy that the policy-making and policy implementation functions in cities need to
be separated. This was later recommended by the Decentralisation Commission in
1909. Municipal Commissioner is the Chief Executive Officer of the Corporation. S/he
has responsibilities for the administration of the city and implementation of policies and
programmes decided by the Council. The State Government appoints the Commissioner.
Normally, s/he is a senior officer who belongs to the Indian Administrative Service. The
Commissioner exercises wide functions in administrative and financial areas. S/he
177
participates in the meeting of the Corporation and Committees and answers the questions
State and District raised by the Councillors. S/he acts as a link between the Government and Corporation.
Administration S/he has wide power of appointment and discipline; and also supervision and control
over the personnel. S/he also exercises financial discretionary and emergency power.
In all these areas, there are variations from Corporation to Corporation.
ii) MUNICIPAL COUNCIL
Every State in the country has enacted legislation for the constitution of the Municipalities
in the State specifying their functions, structure, resource and their role in civic
administration.
Smaller urban areas are governed by elected municipal bodies known as Municipal
Councils. Any municipal areas with 3,00,000 population must form Ward Committees
to ensure true people’s participation in the governance of the area.
Ward Committees
Ward Committees provide citizens’ participation in the urban governance and bring the
municipal governance closer to the people. In this regard, Article 243 S(1) provides
for the constitution of Ward Committees in all Municipalities, which have a population
of 3 lakhs. It provides that two or more wards could be combined for the purpose of
constitution a Ward Committee. The composition, territorial jurisdiction and the manner
in which the seats of Ward Committees have to be filled, has been left to the hands of
State Legislature.
iii) NAGAR PANCHAYAT
Those urban areas, which are undergoing transition from the rural area to urban area
are governed by Nagar Panchayat, the members of which are elected by the resident
citizens of the area concerned.
COMPOSITION OF MUNICIPALITIES
The membership of Municipalities consists of two categories of Councilors, viz., directly
elected Councilors and nominated ones. The number of elected Councilors varies
according to the size of the population of the territorial area of the Municipal Corporation,
Municipal Council or Municipal Committee. In the case of nominated members, the
State law needed to specify the conditions and procedures for nomination of such
representative. The nominated members include the Member of the House of People
(Lok Sabha) that of the Legislative Assembly of the State representing constituencies,
which are wholly or partly under the municipal area; Member of the Council of the
States (Rajya Sabha) and of the Legislative Council of the State who are registered as
electors within the municipal area; Chairpersons of committees of the municipal
authorities; and persons having special knowledge or experience in municipal
administration but do not have the right to vote in the meetings of Council. In the
subsequent Section, we will explain the Mayor-in-council System in West Bengal.
Mayor-in-council System
When the Left Government came to power in West Bengal in 1977, the task of municipal
reform was taken up seriously. A new Bill for the Kolkata Municipal Corporation was
introduced in 1979 in the legislature. It provided for, among other things, a Mayor-in-
Council as the political executive in the new corporation. The new Act known as the
Kolkata Municipal Corporation Act (1980) has since been enforced.

178
In a way, the new Act seeks to resume the old thread of supremacy of the political wing Municipal
in Corporation Government, which was what Surendranath Banerjee called “Swaraj” Administration
in 1923. The new legislation for the Municipal Government of Kolkata marks a turning
point in the history of Municipal Government in India. It reflects a political mood to
keep with in step with the form of change. Again, the chief functionaries of the
Corporation of Kolkata like the Mayor, Deputy Mayor or members of the Standing
Committees so long elected for a year at a time could hardly ensure a continuity of
administration and left matters mostly to bureaucratic machineries. This also needs to
be turned to the trend of democratisation of self-Government institutions.
The Kolkata Municipal Corporation
Under the Kolkata Municipal Corporation Act, 1980, three Municipal authorities have
been provided for, viz., (a) the Corporation, (b) the Mayor-in-Council and (c) the
Mayor.
The Corporation is a body consisting of elected Councilors, some alderman and a few
ex-officio members. The Mayor is elected for five years from among the elected members
of the Corporation. S/he may be removed from the office by the same body under
special circumstances. S/he will continue in office till her/his successor takes over.
The Act creates a Cabinet like Mayor-in-Council consisting of the Mayor, the Deputy
Mayor and not more than ten other elected members of the Corporation. The Mayor
from among the elected members of the Corporation nominates the Deputy Mayor and
other members of the Council. The Mayor may also remove them. The Mayor-in-
Council is collectively responsible to the Corporation.
There is also a Chairman of the Corporation. The elected members of the Corporation,
from among the members elect her/him for five years. S/he convenes the meetings of
the Corporation, and presides over them like a Speaker of the Legislature.
There is also a single statutory committee, the Municipal Accounts Committee. The
essential function of this Committee is like the Public Accounts Committee of the legislature
to examine the accounts of the Corporation scrutinize the reports on the accounts by
the auditor and to submit report to the Corporation every year.
Borough Committee
Another important feature of the new Act is the provision for a second tier administration
in the form of Borough Committees. The design is moved by the desire to create local
administrative units that would be easily accessible to the citizens for their day to day
requirements.
Ward Committee
In conformity with the requirements of the 74th Constitutional Amendment Act, the
Corporation of administration has been further decentralised by creating a third tier
below the Borough Committee, that is, a ward committee in every Ward or electoral
constituency.
Now, the Commissioner is the principal executive officer of the Corporation. S/he has
to function under the supervision and control of the Mayor.
The Mayor-in-Council form of Government has been introduced in all the Municipal
Corporations in West Bengal.

179
State and District Check Your Progress 1
Administration
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Describe the trends of urbanisation in India.
......................................................................................................................
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......................................................................................................................
......................................................................................................................
......................................................................................................................
2) Discuss the important features of the 74th Constitutional Amendment.
......................................................................................................................
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......................................................................................................................
3) Explain the structure of Urban Local self-Government in India.
......................................................................................................................
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......................................................................................................................
......................................................................................................................

13.5 URBAN DEVELOPMENT AUTHORITIES

Urban Development is very complex and accordingly the strategies for developing
urban areas are multi-faced. One of the problems of urban areas today is to prevent
haphazard and unplanned physical growth in and around them. When the municipal
areas at many places cross their boundaries due to unplanned development of peri-
urban area, the improvement of living conditions in these areas and their vicinity becomes
imperative. But the municipal agencies are unable to solve this problem due to
jurisdictional, legal and financial limitations. There are only two ways of controlling it,
either to extend the municipal boundaries and strengthen them administratively and
financially, or to have a separate agency with more power and finance. The Estimates
Committee of the Fifth Lok Sabha recommended the setting up of development
authorities for the rapidly growing cities and major town to achieve a planned
development. The Planning Commission also indicated the desirability of structural
innovations in urban local Governments during the Fifth Plan. This led to the constitution
of urban development authorities for various metropolitan and other cities. The Delhi
Development Authority was the first to be setup in 1957. The urban development
authorities are expected to plan, control, and coordinate development programmes in
180
and around metropolitan and other big cities. The following are the major objectives of Municipal
the authorities: Administration

 To prepare and implement plans for development of the area.

 To prepare zonal development plans for the zones into which the development
area may be divided.
 To Control the use of land for various purposes.
 To carry out development work and provide infrastructural facilities.
Broadly speaking, the urban development authorities have regulatory planning and
promotional functions. They have to regulate and check the unplanned growth of cities
and towns. They have to ensure orderly and planned utilisation of land in accordance
with the master and zonal plans. They supplement the development activities of the
Municipalities and Corporations. These urban development authorities face several
bottlenecks in the discharge of their functions. These include problem of coordinating
between the development authority and the Corporation or Municipality, inadequate
resources and lack of sufficient and competent technical staff.

13.6 ADMINISTRATIVE STRUCTURE

Competent personnel are essential for the efficient management of civic services. Failure
to recruit suitable personnel was attributed as one of the reasons for inefficient and
poor image of the Municipalities in the country. Three broad types of personnel systems
prevail in India. Sometimes they are adopted in combination. Firstly, the Integrated
Service in which personnel is interchangeable between the State Government and
Municipalities. In this, the officers of the State Government and Municipalities form a
part of the same service and are transferable between them. Secondly, there is a Unified
Local Government Service in which all or same categories of personnel of Municipalities
constitute a career service for the entire state. The personnel of this service are
transferable from one municipality to another. It is administered and controlled by State
level agencies. Thirdly, separate personnel system in which Municipality appoints and
administers the personnel. They are not automatically transferable to other Municipalities.
This practice is prevalent in most of the western countries.
Personnel system in which Municipalities may belong to any one or all the three categories,
have certain distinct advantages as well as disadvantages. The chief merit of the integrated
service system is that there is no distinction between State and local services. Therefore,
Municipalities can draw upon the services of suitable officers from the State Government.
As they belong to the State cadres, these officers feel that they are independent of the
local body and do not develop any identity with the Municipality. Under the Unified
System there is scope for specialisation in municipal offices as recruitment is made
specifically for the local bodies, they are transferable from Municipality to Municipality.
Therefore, they gain experience. This system is criticised on the ground that it weakens
the control over the officers working under it.
The separate Personnel System, viewed from the point of view of autonomy of local
bodies is ideal. In this system, Municipality can exercise total control over the officers.
Under this system there is no scope for divided loyalties, which strengthened the identity
between officers and the Municipality. The Municipal Acts generally prescribe the source
of recruitment of various categories of personnel. The State Governments are not only
creating cadres of municipal services but are also laying down the service conditions. In
the urban local bodies, there are two different categories of officials. Firstly, the 181
State and District administrative component consists of the Commissioner, Officers, and general
Administration administrative staff. Second category is of the technical officials like Engineers, Health
Officers, Town Planners, Finance Officers, etc. depending upon the categorisation of
Municipality, its resource base and the requirements, the number as well as the level of
specialisation of officers is determined. To support the administrative and technical
officers, there is a large body of operational staff like sanitary inspectors, tax inspectors,
assistants, conservancy staff, etc. Local bodies are unable to attract competent people
because of the poor resource base. The officials coming on deputation from other State
level Departments consider it a punishment rather than a pleasure. Another problem is
that of relations between administrative officials and the Chairman and the Councillors.
Unless cordial relationship exists between them, the administration will suffer badly.

13.7 FINANCE
Urban local bodies require adequate resources to undertake their obligatory and
discretionary functions stipulated in the Act. The Municipal Authorities get their income
primarily from their own sources, that is, the tax and non-tax sources, which have been
assigned by the State Government and are mentioned in the Municipal Statutes.
Receipts of Municipalities can be broadly classified as follows:
 “Tax Revenue - property tax, advertisement tax etc;
 Non-Tax Revenue - income in terms of rent, royalty, interest, fees and profits/
dividends, user charges for public utilities such as water, sewage etc;
 Devolution of funds from the State Government;
 Grants from Union and State Governments for development schemes; and
 Borrowings” (Government of India, Second Administrative Reforms Commission
(Sixth Report) Local Governance: An inspiring journey into the future. https:/
/[Link]/sites/default/files/local_governance6.pdf).
Thus, the resources of local bodies come from both internal and external sources. To
understand it in detail, we will discuss the resources of ULBs in Bihar, which are primarily
based on their own revenue, Union Finance Commission/State Finance Commission
transfers, and scheme transfers for the agency functions. Own revenue of the ULBs is
well below the All India Average (i.e. 13.2% vs. 32% in the total revenue). A State
Finance Commission recommends upon revenue sharing between the State and LSGs
as well as other related fiscal and governance issues. In this regard, just to quote an
example, the 4th SFC of Bihar has submitted its report for the period 2010-2015 in
June, 2010. The salient recommendations of the 4th SFC included: i) 7.5 per cent of
the State’s own tax revenue to be devolved to the LBs; ii) Devolved amount has to be
shared 70:30 between the PRIs and the ULBs; iii) 30 percent devolution to the ULBs
has to be distributed among the ULBs on the criteria of: a) 60 per cent weight to the
population, b) 20 per cent weight to the area and (c) 20 per cent weight to the number
of BPL families; iv) Consolidated grant of Rs. 5 crore p.a. to the PMC, Rs.1.00 crore
p.a. to Municipal Corporations, Rs. 0.50 crore p.a. to Municipal Councils and Rs.
0.20 crore p.a. to Nagar Panchayats; v) First charge on the grants has to be on filling
the gaps in the cost of priority activities: water supply, sanitation, abolition of manual
scavenging, parking places etc. The second charge has to be on the purposes consistent
with the functions given in the Local Bodies Acts; vi) ULBs have to become financially
self-reliant by raising their own resources, putting their assets to profitable use and
adopting Public-Private Partnership; vii) State Government has to notify maximum limit
182 of taxes; and viii) Accounting format and accounting manuals prescribed by CAG has
to be used. The State Government has accepted the recommendations of the 4th SFC Municipal
but only in December, 2011, which was too late to be implemented properly. As a Administration
result, timely implementation of the recommendations was not possible and, as per 5th
SFC, implementation of items IX to XI Para 1.5.1 is pending. (Final Report for 2015-
20 of the Fifth Sate Finance Commission, Volume 1, pp.3-4 [Link]
Documents/[Link]).The 5th State Finance Commission (5th SFC) of
Bihar was constituted in December, 2013.
The Municipal administration maintains accounts in the form and manner as prescribed
by the State Government and follow the Accounts Code. Generally, accounting reflects
the sources of revenue, arrears and expenditure. Audit of the Municipal bodies has
been conducted in the form of either pre-audit or post- audit.

13.8 AN APPRAISAL
Urban local bodies are institutions of decentralisation created by the State Government
through the Municipal Act. In this context, the 74th Constitutional Amendment is a
landmark in evolution and development of the Urban Local Governance. In a federal
structure, fiscal relationship between the Centre, State and Local Self-Governments
has always been a contentious issue. As we have already discussed in this unit that the
basic objective of this amendment is to empower the ULBs through functional and
financial devolution but studies have proved that the LBs couldn’t receive the desired
results, which affected the performance of Local Self-Government to function as vibrant
unit. The above analysis indicates unfinished agenda of empowerment initiated by 73rd
and 74th CAA. The sound resource base is one of the major requirements of the urban
Local- Self Government for sustainable development. In this regard, various National
and State level committees and commissions have recommended both short-term and
long-term measures. However, serious efforts are not being made to correct this imbalance
between functions and finances of the Urban Local Bodies in many states. Therefore
for bridging the resource gap, remaining even after UFC/SFC transfers, the ULBs must
make all efforts to raise their own revenues (tax & non-tax). Even, the 14th UFC has
imposed the condition of improvement in their own revenues for performance grants,
which will also enhance their autonomy and accountability. In case of States like Bihar,
for meeting the All India level of services, the Bihar ULBs would need huge amounts,
which cannot be met through the State budget, UFC/SFC transfers or own revenue.
Here, leveraging Public – Private Partnership in a big way for creation of infrastructure
and services in the State will be necessary step. In addition, even possibility of market
borrowing has to be explored by the ULBs. The impact of GST can be observed on
the income of Local Bodies as a loss in their income due to exclusion of Octroi. In this
regard, their losses can be compensated adequately either in the form of piggy back tax
or compensation based on an objective formula. It is to be noted that the revenue
assignments and expenditure responsibilities of the State and Local Governments are
inherently asymmetrical. The funds and functions have a mismatch along with inadequate
deployment of functionaries with due accountability to a common man. Thus, to achieve
“equalisation” and strengthening the third tier of government, every State Government
has to monitor timely submission of the Report by the SFC; and ensure its implementation
for adequate revenue sharing between the State and LSGs as well as other related
fiscal and governance issues. The Capacity building of Commissioners through training
programmes, proper financial management and time-bound preparation of financial
statements are necessary for enhancing efficiency in Municipal Administration.
The provisions of the Act govern the relations between the State and ULBs. In this
regard, critics have criticised excessive control of the State Government over Local 183
State and District Bodies, which are theoretically autonomous. There are four reasons as to why State
Administration exercises control. Firstly, the State Government creates local bodies through the
Municipal Act. Secondly, there is a need for homogeneous development of all areas in
a State, this can be ensured by the State. Thirdly, personnel with technical skills and
experience required in nation-building activities are provided by the State. Finally the
State Government provides financial assistance to the local bodies, which implies control
to ensure that the money is properly utilised. Whatever is the rationale, the major objective
of the control and supervision by the State Government is to ensure efficiency in the
performance of functions by the units of Local Self-Government. But what is important
is that guidance and control should not be negative. It should strengthen their confidence
and enable them to assume more responsibilities.
There is a feeling that the stronghold of the State Government over the local bodies is
too extensive, which cuts at the roots of the local autonomy. Two arguments are advanced
in this connection. Firstly, the resource base of the local bodies is shrinking and State
Governments have been doing precious little. Secondly, the power of supersession and
dissolution are being indiscriminately used against local bodies. For example, in 1989,
out of 73 Municipal Corporations in the country 39 were superseded at different points
of time. This is indicative of the extent of control exercised in the State over the Local
bodies. But now, the state legislatures will not have the power to make amendments in
any law, which can result in supersession of any municipality, before the expiration of its
normal term of five years. This can be stated as a security against arbitrary action by the
state government, which will strengthen the relationship between the State Government
and Local Bodies. It is to be noted that the 74th Constitutional Amendment gives a term
of five years to the Municipalities. The Government may dissolve the local bodies but
fresh elections are to be held within a period of six months. It means that the Municipal
Body can remain dissolved for a period of only six months, which will strengthen the
democracy at the grass roots level. Many committees, fourteenth Finance Commission
and State Finance Commissions have recommended measures to strengthen the resource
base and also the capacity of Urban Local Bodies. Acceptance and implementation of
these recommendations would ensure cooperative relations between the State and Local
Government for efficient Municipal administration, effective service delivery and
sustainable development.
Check Your Progress 2
Note : i) Use the space given below for your answers.
ii) Check your answer with those given at the end of the Unit.
1) Explain the role of urban development authorities.
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
......................................................................................................................
2) Describe the various types of sources of income of the Urban Local Self-
Government.
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184
...................................................................................................................... Municipal
Administration
......................................................................................................................
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......................................................................................................................
3) “74th Constitutional Amendment is a landmark in evolution and development of
the Urban Local Governance”. Examine.
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......................................................................................................................
......................................................................................................................

13.9 CONCLUSION
Urbanisation is an important and complex process in the country, which needs due
attention. Various strategies and structure to deal with the emerging problems of urban
development so far have been ad hoc. There are wide variations in the power and
functions, resource base, pattern of personnel and effectiveness of Urban Local Bodies
in the country. In recent years, efforts are being made to provide strong resource base
according to the functions of Municipalities. In this Unit, we have discussed the important
aspects of local self-Government, urbanisation, 74th Constitutional Amendment,
Municipal Corporation, Municipal Council, and Municipal Committee/Nagar Panchayat.
In addition, urban development authorities, municipal personnel, finance and recent
developments have been explained. It is evident that cooperative and cordial relations
between the state and Municipalities are necessary for smooth functioning of the Urban
Local Self-government. Therefore, in the next Unit we will discuss their relationship.

13.10 GLOSSARY
Leveraging : In financial matters, it’s the use of borrowed
funds with a contractually determined return to
increase the ability of a business to invest and
earn an expected higher return, but at high risk.
It is great, until something goes wrong with
investments and one has to pay debts.
Pre-audit : In this type of audit, auditors examine whether
the expenditure, that is, going to take place in
terms of payment is valid or not.
Post-audit : It refers to an analysis of the outcome of a capital
budgeting investment. It is conducted after the
expenditure has been incurred.
Spatial Planning : It takes into account the circumstances, time and
space so that the areas beyond periphery are
not neglected.
185
State and District
Administration 13.11 REFERENCES
Arora, R. K. & Goyal R., (2013). Indian Public Administration: Institutions and
Issues, New Delhi, India: New Age International Publishers.
Final Report for 2015-20 of the Fifth State Finance Commission Bihar, Volume 1
(January, 2016). Retrieved from [Link]
[Link]
Government of India, (2007) Second Administrative Reforms Commission (Sixth
Report). Local Governance: An inspiring journey into the future. Retrieved from
[Link]
India Population (Live). Retrieved from [Link]
population/india-population
Jha, S.N. & Mathur, P.C. (Eds.). (1999). Decentralization and Local Politics. New
Delhi: Sage Publications.
Maheshwari, S.R. (2001). Indian Administration. New Delhi: Orient Blackswan
Private Ltd.
Ministry of Housing and Urban Affairs, Level of Urbanisation. Retrieved from http://
[Link]/cms/level-of-urbanisation
Mishra, S.N, Mishra, A.D. & Mishra, S. (Eds.). (2003). Public Governance and
Decentralisation. New Delhi: Mittal Publications.
Nandini, D. (2005). Relationship between Political Leaders and Administrators. New
Delhi: Uppal Publishing House.
The Constitution of India. Retrieved from [Link]
constitution-india/constitution-india-full-text

13.12 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check Your Progress 1
1) Your answer should include the following points:
 Changing trends in growth of urban population.
 Rise in the growth rate of the urban population from 1941 onwards.
 The urban population doubled in 1981 (compared to 1961) constituted about
23.7 per cent of India’s total population.
 High concentration of population in a few cities.
2) Your answer should include the following points:
 Constitutional Status to Municipal Government.
 Municipal Corporation, Municipal Council and Municipal Committee/ Nagar
Panchayat.
 Five year term.
186
 Empowerment of weaker sections of society. Municipal
Administration
 State Election Commission.
 State Finance Committee.
 District Planning Committee.
3) Your answer should include the following points:
 Municipal Corporation.
 Municipal Council.
 Nagar Panchayat.
Check Your Progress 2
1) Your answer include the following points:
 Need for improvement of living conditions in urban areas, necessitates the
setting up of a separate agency with more power and finances.
 They prepare master plan for the development of the area and zonal
development plan for the zones into which development area is divided.
 They have to ensure orderly and planned utilisation of land in accordance
with plans.
 The development activities of the authorities.
2) Your answer should include the following points:
 Own Revenue
– Tax
– Non-tax
 Grants and borrowings
 Devolution of funds from Government.
3) Your answer should include the following point:
 Refer Section 13.8

187

Common questions

The primary function of the Secretariat is aiding, assisting, and advising the Political Executive in policy formulation. In contrast, the Executive Department, headed by specialists, is responsible for implementing these policies. The Secretariat is led by a generalist civil servant from the IAS, while the Executive Department is headed by a specialist, illustrating the distinct roles in policy formulation and execution .

District Collectors serve as the highest administrative officers within a district, acting as the principal coordinators between the state government and local governance mechanisms. They are responsible for revenue collection, implementation of developmental programs, maintaining law and order, and playing a pivotal role in disaster management and coordination with Panchayati Raj Institutions. This role bridges traditional governance functions with contemporary developmental needs .

The State Finance Commission is tasked with reviewing and recommending the distribution of financial resources between the state and local bodies, suggesting measures to enhance financial health of the Panchayats and Municipalities, and advising on taxation and grants-in-aid to local bodies. It ensures financial devolution and fiscal balance between different levels of government, promoting effective local governance .

The relationship between the Secretariat and Directorate is essential as they constitute two wheels of the governmental machinery, with the Secretariat handling policy formulation and the Directorate executing policies. Effective coordination between them is crucial for the smooth delivery of governmental services. Factors influencing this relationship include the expansion of the Secretariat's role and the dynamics of administrative functions that can lead to tension due to overlapping roles and inadequate delegation from the Secretariat to the Executive Departments .

The expansion of the Secretariat's functions and its involvement in executive matters, driven by increased state responsibilities in economic planning and welfare, have blurred the traditional boundaries of its role, leading to conflicts with Executive Departments. This expansion has sometimes resulted in the Secretariat's overreach into execution, thus weakening the authority and efficiency of the Executive Departments, and contributing to tensions due to inadequately delegated authority for policy execution .

The 73rd and 74th Constitutional Amendments were pivotal in enhancing the roles of local bodies by mandating regular elections, clear devolution of powers, and a structured financial distribution through the establishment of State Finance Commissions. These amendments aimed to empower urban and rural local bodies as democratic self-governing institutions, addressing gaps such as prolonged supersession and inadequate resources that had previously rendered them ineffective .

The Secretariat system balances and ensures continuity in state administration by separating policy-making from execution, facilitating inter-ministerial coordination, and maintaining legislative accountability. This system allows for strategic planning by generalist civil servants, enabling broad oversight and consistency in administrative actions across varying political landscapes .

The Secretariat's encroachment into executive functions can materially weaken the authority of Executive Departments, leading to inefficiencies and delays in policy execution. This overreach limits the initiative of executive agencies by centralizing decision-making, causing bureaucratic logjams. The limited delegation results in prolonged policy implementation times, hindering effective governance and reducing the responsiveness and adaptability of executive bodies .

Political pressures, linked to legislative accountability, often lead ministers to engage in executive domain functions, such as appointments and transfers, affecting the Secretariat's role as a policy-making body. This involvement results from the political necessity to respond to constituency demands, thus transforming the Secretariat's responsibilities, blurring the line between policy formulation and execution. This adaptiveness is both a strength, in terms of responsiveness, and a challenge, in terms of maintaining functional clarity .

The overlap of policy-making and execution functions leads to inefficiencies, with blurring roles creating confusion and dilute accountability. Centralization tendencies hinder the effectiveness of executive agencies, overburdening the Secretariat with operational tasks that belong to the execution level. Such overlap can strain resources, slow down policy implementation, and exacerbate bureaucratic conflicts, which impede government responsiveness .

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