Public Administration Material Part 1 Administrative Theory

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Public Administration: Administrative Theory
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PUBLIC ADMINISTRATION :
MEANING AND SCOPE
1.0
dbjectives
Introduction
1.2 Specificity of Administration
1.3 Public Administration Defined
1.4 Scope and Dornriin of Public Adniinistration
1.1
1.3.1 The Domain
1.4.2 Thr Scope
Character of the Discipline

Distinction between Public and Business Admirlistration
1.7 Let Us Sum Up
1.8 Key Worcis
1.9 Some Useful Bonks
1.10 Answers to Check Your Progress Exercises
1.5
1.6
P,O OBJECTIVES
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After you have read this unit, you should be able to :

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define Puhlic Administration and state its characteristics

explitin the character of the.discipline
discuss the domain and scope of Public Administration; and
distinguish between Business and Public Administration.
1.1 . INTRODUCTION
You are our undergraduate learner. We appreciate your keen interest in learning Public
Administration. We are sure you are anxious to learn all that is given iu this Unit. This
first unit in the course Administrgtive 'Theory, aimsoatintroducing he discipline of Public
Administration to you. It explains the meaning and characteristics of the discipline
of Public Administration. Public Administration, as an aspect of governmental
activity is very old. It is as old as human I~istory.In European languages, the term Publie
Administration began to creep in during the seventeenth century to separate the absolute
monarch's administration of public affairs from his nianagement of his private household.
It was a peiiiiu ......1 ~ ~ ~ ? : r ,1r33c hseparaled from the state and the government was
superimposed on all other societal institutions within a definite territory. In every.saciery
there are some activities like maintenance of law and order and defence which have to be
undertaken in public interest. Public Administration as a system of organisation is mainly
concerned with the perfolmance of th&e activities. Political decision makers set the goals
for the political system. It is the business of Public Administration lo work fur the
realisation of these goals. At the present stage of man's evolution, Ptlhlic rIJmint$tr:111ri11
has proved to be indispensable. %he scope of Public Administration has expanded with the
rise of the modem administrative state. Its growing importance in thc conduct of human
affairs is evident in the birth of numerous public laws, growth clf public profession,
accumulation of huge anns and increasing coverage of laxes and pi~blicexpenditure. The
domain of state functions is almost all-cotqkellensive in socialist countries. Even the
capitalist states have expanded their functions under compulrrions of welfare
considerations. The post-colonial 'third-world' countries have embarked upon
Develop,ment Administration to speedily bring about stale sponsored stwio-econat~kc
reconstmction.
'Thr Nature of I'ublir

Administriation
SPECIFICITY OF ADMINISTRATION
It terms 'of activity, Public ~dministrationis an aspect of aqmoregeneric concept - adn~inis!riition.~dnlinistrationhas been defined as a cooperative effort towards achieving
some r:otnmon goulk. Thus defined. ad~iiinistration,can be found in various institutional
settings such as a business firm, a hospital, a university, a government depaitment, etc.. As
an aspect of this more generic concept Public Administration is that species of
adn~inistrarionwhichoperates within a specific political setting. It is an instrument For
translating political decisions into reality, it is "the i~cticnpart of government, the means
by which the purposes and goals of government are realised". Nigro and Nigro (1980) have
identified the following five important characteristics of Public Administration.
It is a cooperative group effort in a public setting.
It covers all three branches -.legislative. executive dnd judicial - and their interrelationships.
* i t has an important role in the fi~rmulationof public policy, and is thus a part of the
political process.
r It is different in significant ways from private administration.
u
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It is closely associated with numerous private g:oups and individuals in providing
services to the community.
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Check Your Progress 1
Note : I ) Use .the space below for your answers.
ii) Check your answers with those given at the end of the unit.
1 ) Why is the scope of Public Administration expanding?
2) What ;Ire the important characteristics of Public Administration?
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1.3 PUBLIC ADMINISTRATION DFSINED
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Public Adniinistratiotr is a specialised academic field. It essentially deals with the

machinery and procedures of government activities. Adminiswation has been dcfined as a
cooperative human effort towards achieving some common goats. Thus defined,
administration .can be found in various institutional settings such as a business firm, a
hospital, a university, a government department and so on. As an aspect of this more
genkric concept, Public Administration is that species of administration which operates
within a specific political setting. I t is a means by which the policy decisions made by ihe
political decision makers are carried out. Public Administration is decision making,
planning the work to be done, formulating objectives and goals, working with the
"iegislla~ure
acd citizen organisations to gain public support and funds for gtrvernmenl
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hblic Administration:.
Yeaning andscope.
programmes, establtshing and revising organisation, d i ~ c t i n gand supervising employees,

providing leadership, communicating and receiving ccmmunications, determining work
mkthods and procedures,appraising performance, exercising controls and other functions
performed by government executives and supervisors. It is the action part of the government,
the means by which the purposes and goals of the government are realised.
Some well known definitions of Public Administration are:
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"Public Administration is detailed and systematic execution of public law. Every

particular application of law is an act of administration"- L.D. White.
Public Administration is "the art and science of management applied to the affairs of
the State"- D.Waldo.
"By Public Administration is meant in common usage the activities of the executive
branches of the National, State and Local Governments'' - H. Simon.
.
m e 'Public' aspect of Public Administration gives the discipline a special character. It can
be looked at formally to mean government'. So, Public Administration is government
administration, the focus being specifically on public bureaucracy. This is the meaninp
commonly used in discussing Public Administration. Public Administration,in a wider sense,
has sought to expand its ambit by including any administration that has considerable impact.
on the public. From this standpoint, a private electricity undertaking like the Calcutta Electric
Supply Corporation can be considered a fit subject of diwussion under Public Administration.
It is, however, in the first sense that Public Administration is usually considered.
1.4 SCOPE AND DOMAIN OF PUBLIC ADMINISTRATION

We shau now Attempt & discuss-the scope of the discipline of Public Administration. The
scope can be studied under two heads:
1.4.1 The Domain

Public Administration is the complex of governmental activities that are undertaken in
public interest at different levels such as.the central, state or provincial (in a federal set-up)
and local levels. The discipline of Public Administration aims at a systematic study of
these activities. Government, as political authority, is the major regulator of social life.
With the emergence of democracy and the concept of.welfare state, the governmental
activities have increased by leaps and bounds. The historical movement has thus been from
regulation to service and welfare. The polick state has gradually given place to popular
governance in the interest of widest possible public welfare in close association with the
people themselves. Expanding governmental activities have resulted in expansion of the
bureaucracy, creation of different forms of public and semipublic organisations,raising
public expenditure, and overall control over public life. Since government has come to
have such widespread influence and control oyer public life, its organisation, basis of
authority, functions, finances and impact on society have been subjected to intellectual
examination.
he area chosen by Public Administration has generally been "executive action" or the
activities of the executive organ of the government. 'This means really a study of the
bureaucracy: its structure, functions and behaviollr. But, the other organs of government
such as the Legislature and the Judiciary have' also been found useful inpublic
Administtytion analysis. The policy-king impetus comes from ttie TepsTafilre, and the
legislativecommitteesvery often undertake imFrtant vigilance and control ftnction, The
Estimates Committee, the Public Accounts Committee, Committee on Pubiic Unde-rtakings
etc. could be mmioned as examples of such Committees.
Similarly, the judiciary often adjudicates on quasi-judicial issues and passes important
j+udgementsaffeqting executive operations. Judidal administratibn itself forms a major
component of Publjc Administration. Thus, the study of Public ~dministratiohis basicJ1.y
focused on the 'cxqcutive"no doubt; but an, adequate understanding of Eublic
Admidstration is #at possible without taking-into account the legislative and iAe judicial
administration as *elk
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The Nature of Public
1.4.2 The Scope
Administration
It is widely acknowledged that the scope of the discipline of Public Administration has to
be wide enough to respond to the complex social realities of today. Major concerns of the
discipline are:
Promoting (publicness': In a democratic society, Public Administration has to be

explicitly 'public' in terms of democratic values, power-sharing and openness. This calls
for a new climate in the bureaucracy. Public Administration,in practice, has to absorb the
principles of democracy as an overarching form of the government.
Policy Sensitivity: As governments are called upon to play increaskgly active roles in
times of rapid changes and social crisis, innovative and timely policy formulation becomes
'a prime necessity in the government. This would necessitate a new preparedness within the
administrative set-up that had hardly any precedence in the past.
Implementation Capability: Effective policy implementation is going to test the coping
capacity of the governments in today's complex situations. Goals have to be clearly set;
planning, programming and projections have to be followed step by step; and project
management in all its ramifications has to have top priority in government. The strength of
administratiohand the legitimacy of the government itself would depend more and more
on the administration's capacity to deliver the goods in time and in response to the
demands of the citizens.
Shared understanding of social reality: The capacity to cope with social and
administrative complexity can be enhanced by a deliberate policy of organisational
openness. The underlying assumption here is the administration needs to understand the
diverse interests and influences. In today's complex administrative world, construction of
administrative reality has to be based on the shared understanding of its actors such as the
men at the top, the middle managers, the employees and the citizens. The centralised,
insular bureaucracy does not fit in with the contemporaneous socio-administrative reality.
Administration as a learning experience: Shifting social reality and komplex
environmental conditions impose certain rigours on Public Administration today. G t e d .
'principles' of the past or the administrative recipes of bureaucratic routine are no longer
appropriate tools for analysis an~lproblem solving. Public Administration in modern tima
has to be proactive, innovative, risk-taking, and often adventurous. This new,
entrepreneurial zeal is expected to transform 'bureaucracy' into a new kind of learning
organisation, more adaptable to changes, more open to new insights and innovations, and
more accessible to the clientele.
These are the major concerns of government in all democratic countries. In the developing
countries, these have added significance, as Public Administration has a pivotal role to play
in the socio~economicreconstruction of post-colonial societies. The discipline of Public
Administration cannot live in isolation. It has to develop' in close association with the
dynamic social changes. As a body of knowledge, it must develop explanatory strength to
i analyse socio~economiccarnplexity anq(assist in the ushering in of a new society free of ,
:
exploitation ahd human misery, poverty and deprivation of the past era.
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Note: i) Usp the space below for your answer.

ii) Check your answer with those given at the end of the unit.
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I ) ~xplainthese*
of Public Administration:
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Public Administration:
Meaning and Scope
CHARACTER OF THE DISCPPILINE

The discipline of Public Administration has been evolving over the years under the impact
of changin societal conditions, and new developments in the allied Social Sciences. The
original isciplinary interest was to improve Governmental performance: This led to its ,
separation from its parent discipline of Political Science. In its enthusiasm to 'reform'
government and make the administrative agencies more business-like and productive,
Public Administration as a discipline has tilted markedly toward the "management
sciences". The accent is on administrative and managerial tools and principles such as
budgeting, management techniques, application of operations research methods, computer
technology, etc. Such heavy management orientation has tended to rob the discipline of its
social science character. It has necessarily paned company with Political Science and
almost merged itself into management education. The discipline has gradually come to
assume a vocational character, the objective being to produce public managers much'in the
same fashion as the management institutes produce a cadre of managers for the business
wotld.
d'
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This shift of disciplinary focus has been questioned by many. While acknowledging the
importance of borrowing knowledge from allied discipline.^, it has been argued that Public
.Administrationis essentially concerned with nation-building, social regulation and public
service activities. Management science orientation and application of management
--techniquesg Public Administration need not bi: a blind emulation of private management
practices. The evaluative techniques of non-profit publio organisations have to be
significantly different, and the basic orientation and sensitivity of public organisations to
.public interest brings in certain necessary constraints in governmental decision-making
and bureaucratic behaviour. Functioning under the compulsions of public law and under
the glare of open public and legislative criticism, the bureaucracy has willy-nilly to follow
certain administrative norms that have hardly any parallel in private management. A
certain sensitivity to politics and a readiness to app,~ciatethe citizens demands and
multiple interests of the clientele are desirable qualities in a bureaucrat. The private
manager, by contrast, may afford to be inward-looking and secretive, but not the public
servant.
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Golembiewski has posed this dilemma of Public Administration as a discipline'in terms of

choice of 'locus' and 'focus'. 'Locus' stands for the institutional'where' of the field; while
'focus' is the specialised 'what' of the field. As an academic discipline, for a long time, ,
the place (locus) of Public Administration was, in most cases, with Political Science and at
times with subjects like History, Economics, etc. So far, the question of 'focus' is
concerned, in recent years, there has been an increasing tendency to lay emphasis on
administrative techniques and not so much on public policy.
As Golembiewski has observed, the shifting paradigms (substantive concerns) of Public

Administration may be understood in terms of *locus' or 'focus'; while one has been
sharply defined, the other has been conceptually,ignored in aca8emic circles in turns.
Depending on the definition of the substantive concerns of the discipline, Public
Administration can exist within the broader field of Political Science or, move away from
the mother discipline in a search for a mofe &-floating professional career in the
company of business management or the management sciences.

Administration
may be said that since the 'New Public Administration' moyement of t.he laic' sixties,
there has been an increasing awareness of the basically social science character ol'the ,
discipline of Public Administration. The vocational orientation of the .discipline has hren
.found to be somewhat misguided .and supportive of status quo. In turbulent times when
social problems cry out for innovative social analysis, a conservative, management- .
oriented discipline niight be inadvertently reinforcing the forces of repression and sociil .
regression.
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check ~ o u < ~ r o ~ r3e s s

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~ o t :e i) Use the space below for your answer.
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ij) Check your answer with those given at theend of the unit.
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1 ) Explain the character of Public Administration.
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1.6 DISTINCTION BETWEEN PUBLIC AND' BUSINESS

ADM~~ISTRATION
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As learlier obsehed, the 'management' euphoria at one stage led to a blurring of distinction
bedween public and phvate a'drninistration.
THCdistinction between the public and the private sector is however, greatly influenced by
thk. political philosophy of each nation. In the USA, for instance, the private sector plays a .
vkry important role in the American economy and society. The public sector is in many
days dependent on the private sector for the supply of goods and services. Hence, the
tkndency in that country is toward a blurring of lines rather than a distinct bifurcation of
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tesponsibilities. In India, by contrast, the public spctor is slowly emerging as the dominant
/sector in the context of mixed economy. The steady expansion of the public sector in Indiu. ',
'if it continues unabated, is expected to draw a sharper distinction between the public and
private management.
Considerations of general welfire should be the common concern of both public9nd

business adrninistration.'Private rnanigement can ignore the larger public interest only at
&!ril. At the otherxnd, Public Admin~mtioncan hardly ignore the needs of,effident
management. Yet, the two types are basically different, as discussed below: ,
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i) The major purpose of Public Administration is to serve the publicrhence beneial

.weifare and, in specific&, public satisfaction are the ends'thit hblic ~dministradon
'must serve. ~ ~ c o n t s a sbusiness
t,
administration is basically'oriented towardeaming
profit for the business proprietors. Inability to earn profit will soon drive a private
enterprise out of business.
ii) Public Administration has to operate strictly according to law, rules &d nylatiom'
Adherence to law brings in a degree of rigidity &operation 'in the public sector.,There
-. is always the fear of audit or accauntability that acts as a.constraint on performance.
On the conjrary business administration is relatively free from such constraints of law
;
,
Public Adminis
Meaning ar
and regulations. There are of course general laws regulating business, but individual
business firms have considerable flexibility to adapt their operations to changing
situations. This is possible because of their relative freedom from specific laws and
rules that abound in Public Administration.
liii) The actions of Public Administration are much more exposed to the public gaze. An
achievement rarely gets publicity, but a little fault hits the newspaper headline.
Organisations like the police have to be on their toes to make sure that their operadons
do not)incur the public wrath. This wide publicity is not to be found in business
I
: - . -administration, nor is it so.very closely watched by the public and the media.
iv) In Public Administration, any show of discrimination or partiality will evoke public
censure or legislative commotion. Hence, the administrators are to be very consistent
and impartial in their dealings with the public. In business administration,
discrimination is freely practised due to competitive demands. In the choice of
products and in fixing prices, business administration overtly practises discrimination
which is almost a part of business culture.
V)
Public Administrati.on, especially at higher levels of government, is exceedingly

cmplex. There are many pulls and pressures, many minds have to meet and discuss,
consultations go on in several rounds of meetings before decisions are taken. Activities
in ope department have ramifications that spread over several other departments. By
contrast, business administration is, generally speaking, much more well-knit and
single-minded in operation. There is much less complexity in organisation and
operations. The pressures are certainly almost non-existent.
v2' Public Administration as organisation is thus much more complex, compared to

business or private organisation. Any unit of government administration is'tiad'up with
jdlied public ocganisations and has to work in close interaction with them.
A private oqganisation by contrast, has more compactness, insularity and autonomy of
actiori
B network of
vii) Public Administration has overarching responsibilities in terms of nation-building, and

shaping the future society. It is;therefore, much more. yalue oriented. Business
organisations have to follow the guidelines laid down by the public rtuthorities.
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Note : i) Use the space below for your answer.
ii) ~ h e 4 kyour answer with those given at the end'of the unit.
1) ~ k t i n ~ u i between
sh
Public Administration and Business Administration.
ZET US'SUM U P
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All societies have their political systems and ecqnomic systems, so also they have their'
Public Administrative Systems. In contempqrary soqieties. Public Administration has
proved to be indispensable. Its scope is drywide, It includes all the activities undertaken
by the government in public interest. ~kinessAdministration and Public 'Administration
have much in common though there are several points of diffirences as well. In %is.unitwe
have discussed the character and scope of Pbblic Administration, and the distinction
between Public Administration and ~usinedAdministration. In the next unit we'will stiidJ'
'the importance of the subject,
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KEY WORDS
Absolute Monarch : The KinglQueenlEmperor w h holds

~
unrestricted/complete power for
life.
Capitalist State : State where the ownership and control.of capital is in private hands.
Police State: A state in which political stability seems to be dependent upon police
supervision of the ordinary citizen and in which the police are given power suitable to that.
Socialist Country : A country where the community as a'ivhole owns and controls the
means of production, distribution and exchange.
Welfare State : A state which makes substantial provision through law and administration
for deprived sections and those in 'need, e.g, the sick, poor, elderly, etc.
1.9 SOME USEFUL BOOKS

Bhattacharya, Mohit, 1987. Public Administration (2nd Edition) Chapter-I; The World
,
Press Private Ltd: Calcutta.
Gotembiewsky, Robert T., 1977. Public Administration as a Developing Discipline,
(2 volumes); Marcel Dekker; New York.
Henry, Nicholas, 1975. Public Administration and Public Affairs; Chapter-I, Prentice Hall:
.
New Jersey.
~ i ~ ; oFelix
, A. and Nigro, Lloyd G., 1980. Modern Public Administration; Harper and
Row: New York.
self. Peter, 1972. Aclministrativ~Theories and Politics, Chapter-I; George Allen and
Unwin Ltd: London.
Waldo, Dwight , Public Administrarion, in International'Encyclopaediaof Social Sciences.
White, L.D., 1968. Introdurrion to the Study of Public Administration;.Eurasia
Publishing House : New Delhi.
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1.10 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
Check y o u r Progress 1
1) See Section 1. I
2) See Section 1.2
1) See Sub-section 1.4.2
Check-Your Progress 3
1) See Section 1.5
'

1 ) See Section 1.6
UNIT 2 IMPORTANCE OF PUBLIC

ADMINISTRATION .
Structure
7.0 Objectives
1.I Introduction
1.2
3.3
.2.4
2.5
2.6
The Practical Concern

The social Science Perspective
The Third World Perspective
Liberal Studies for Citizenship.
Contributions of Public Administration
2.6.1 Epistemological
2.6.2 Technical
2.6.3 Omhudsmanic
2.6.4 Liberal-Educational
2.6.5 Professional
2.7
2.8
2.9
2.10
Let Us Sum Up
Key Words
Some Useful Books
Answers to Check Your Progress Exercises
Public Administration is of practical significance to every citizen in the contemporary

society. In this unit we shall discuss the importance of the study of Public Administration.
~ f i estudying
r
this unit, you should be able to:
describe how Public Administration responds efficpntly to diverse public needs and
pli~yspragmatic problem solving role
explain how Public ~dministrationfas a Social Science, organises knowledge about
governmental structure and processes
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recognb and describe the ,emergence of the sub-discipline of Develop,ment
Administration; and
state its contributions to creative citizenship.
In the first unit you were introduced to the discipline of'Public Administration. You have
read &out its meaning, scope, character as well the distinction between Public'Administration
and Business Administration. In this unit we will explain to you the importance of the study,of
Public Administration in modern society.
The importance of Public Administration as a specialised subject gf study was well brought
out by Woodrow ~ i l s o nthe
i founder of the disaiplirie. In his celebfated essay on 'The
Study of Administration' published in 1887, he characterised government a'drninistration
as the practical or business end of government that could be separated fram the rough and
tumble of 'politics'. Urging .for the establishment of an autonomous field of academic
inquiry, Wilson observed:
"There should be a science of administration which shall seek to straighten the paths of
government, to make its business less unbusiness like, td strengthen and purify its
organisation, and to crown its duties with dutifulness."
2.2
THE PRACTICAL CONCERN
Since government ha$ to respond to diverse public needs, Public Administratign's first and
Ibremost objective should be to efficiently 'discharge the publi.c!s business. The Wilsonian
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Administration
definition of the subject as an efficiency-promoting, pragmatic field was the first explicitly
articulated statement on the importarlce of a separate discipline of Public Administration.
This view of the discipline emerged at a time when there had been a felt need for increased
for a positivistic role of the govemment as the chief regulator of the
social prod~ctivity~and
social order and a facilitator of socio-economic development.
Classical administrative theory about \;hich we wciuld discuss in detail in the next
block, reigned uninterrupted for about three decades since the beginning of the :sent
century. It laid special emphasis on improvement in the machinery of governmer.,. 4 s
the tasks of modem administration increased,enormously, it was just proper tb look
into the cau5es of apmlnistrative incompetence. tie Haldane Committee Report (1919)
in Britain and the Pre.sident's Committee on ~dmihistrativeManagement (1937) in the
United States are examples of official efforts to streamline Public Administration to
make it a fit agency of social development. In India, also several committees had been
set up during the British period as well as after independence. One of such major effort
was undertaken by the Administrative deforms Commission (1966) which was set up
with the identical purpose of making Public Administration a suitable agency for
effective and efficient socio-economic development.
The overdependence of administration on "po~itidswwas criticised by the reformers of
Public Administration. On the basis of studies made by the practising administrators and
'academicians, a iew'faith was- born in t h i f o 6 of a 'science' of administration that would
have great applied value in scientific restructuring of Public Administration.
The classical 'principles' of administration have severely been criticised. Despite
criticisms they have never been totally discarded. These were the precursors of later-day
sophisiicated methods and techniques of administrative improvement such as cost-benefit.
analysis, .operations research, etc.
* With increasing social complexity and international tensions, governments everywhere
had gradually come to assume more and more interyentionist postures. Trade. '
Cominerce and Industry eiparided and new kinds of productive enterprise sprang up. .
There were increasing social demands for State intervention in industrial regulations.
' Poverty, malnutrition, illiteracy and other social evils had becoqe central concerns of
public policy. The era of the laissez-faire state had thus come to an end. Instead, it
positivist-interventionist welfare,state has emerged steadily.
The State's increasing concern for social regulation and general social welfare meant a
quantum leap in governmental activities. The academic interest in the study of , ,
govemment and administration accompanied this historical expansion in state activities.
As Leonard White has put it:
"In their broader context, the ends of administration are the ultimate object of the state
itself-the maintenance af peace and order, the progressive achievement of justice, the
instruction of the young, protection against disease and insecurity. the adjustment and
'compromise of conflicting groups and interests-in short, the altainment of the good
life".
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Rising popular demands and expectations from government coincided with a lively
interest in 'efficiency' in Public Administration. How can governmental activities be
made more cost-effective? How can the budgqary practices in govemment be
streamlined and made more and more management-oriented? Are there better ways of
organidng the administrative machinery? What could be done to ensure a steady and
timely flow of skilledmd motivated personnel within the governmental machinery?
After all, it is popular satisfaction and fulfilment of popular demarids that provides the ,
rationale for Public Administration. So, what methocis could be invented to monitor
popular reactions to administrative action? How can people's satisfaction be measured?
Apart from these, larger issues of public policy formulation, policy execution and
monitoring and evaluation of policy outcome had come to assume crucial significance
in governmental operations. After the seminal contribution of H&beft Simon to
decision-theory, Public Administratjon has received policy science prientation. This has
greatly enhanced the utility of the discipline for practical policy analysis and
policy improvement in the government. Writers like Dmr and Dye have greatly enkched
policy analysis as a major area of Public Administration.
* These objectives and practical requirements of govemment gave a fillip to the academit:
development of the new discipline af Public Administration. The'importance of the new
discipline came to be recognised, as sustained academic inquiry and interest started

,.producing new techniques and methods of improving governmental performance.
Public Administration's increasing practical concern for publii' problem-solving has
steadily legitimised its.place in the larger family of Social Sciences.
Complexity and larger scale of governmental operations have prompted innovations in
organisational designs, In order to meet the needs of rapidly changing $cia! situations,
governments have been groping for new.organisational formats that would'match the
specific situational needs. Organisation theory has, in recent years, assumed the
character of a well-developed discipline. The theories of organisat ion have Reen
co-ppted by Public Adminisqation and there is widespread application now of
organisation theories to adm'~istrative design problems. The organisation theory
.
.
perspectrve is now an integr I part-of Public' Administration discipline. 'This hiis made
the discipline much more useful then ever before for organisational development and
structural experimentations in govemment. Thus in recent years the discipline has . '
acquired considerable strength. It is in a position tb suggest'~lternativeways (if
organising governmental activities to optimise the results.
Application of &havioural science knowledge 93s also facilitated more sophisticated
analysis of public personnel systems. Research as bn motiv~tionand morale. group and
intergroup behaviour, and interpersonal relationships have produced .rich.conceptual
and theoretical toolkits that are currently being uskd b> Public Administration-analysts,
The crucial importance of the human element.in administration,'which was. large1y
ignored in the classical model, is currently being emphasised. As i n applied science,
Public Administration has thus been of direct use in public personnel management.
,
..
A SOCIAL SCIENCE PERSPECTIVE

. So far we have presented Public Administration as a pragmatic and problem-solving
,
I'
discipline. This is a one-sided analysis. Now we will examine an equally important fact$
of Public ~dministrationri:., it:; social-scientific status. Since government touches on
almost all aspects of life in the contemporary world, how the government is organised and
how it operates in practice should naturally attract our attention. The importance of public
Administration as social science lies in its methddical study of government and in attempts
to organise knowledge about governmental structure and operations. In'this role, Public
Administration as'a discipline is more interested in providing scientific explanations rather
than merely solving public problems.
d
Administration is looked at, in this perspective, as'asocial activity. Hence the concern of
academic inquiry would be to understand the impact of government policies and
operations on the soc'iety. What kind of sociely do the policies envis~ge?To what'extent
i administrative action is 'class' oriented:' In other words, how is Public .
Administration and what are the immediate and long term effects of governmental action
on the'sociai structure. the economy and polity? From this social science perspective,
Public ~dministration,as a discipline, has to draw on a variety olkirlcrr dijciplines {uch as
History, S(xit)lopy. Economics, etc., the aUwtive,being to "explain" find not just to
"prescribe".
"
Check Your progress 1

.
.
Note : i) Use the space below for your answers.
ii) Check your answkrs with those given at the end of the unit.
I ) Explain how the interventionist role of Government is increasing.
'
Imporlilrce of Publk
Administration
he ~ i t u r of
e Public
!)
Administration
How do behavioural sciences help in the analy\i\ of Public Administra~lon'
. .3) How adrnini51ratlon I \
ioob.ed a i
&,or&a!~ L I I V I I ) ' !
2:6 THE THIRDbWORLD PERSPECTIVE
'
Plrblic Administration's special status in the "developing countrie~"has been u ~ d e l j

acknowledged. The post-colonial, "third world" countries have everywhere embarked upon
speedy socio-economic development. These countries have naturally to rely on the
government to push through speedy 'development'. This means Public Adminlstration,has
to be organised and operated to increase productivity quickly. Similarly social welfare
activities have to be efficiently and effectively executed. The government-sponsored
'planned development activities have necessitated the birth of new sub-discipline of
"Development Administration", about which you would know more in Unit 5. Ba\ed on u
series of country studies. Development Administration has emerged as an extremely u\eful
field that has great practical utility in the special circumstances of the developing
countries. The'emergence of 'Development Administration' is indicative of a felt need f i x
a body of knowledge about how to study the thlrd world administration and at the \ame
time to bring about speedy socio-economic dev,$opment with government intervention. All
the developing countries in the third world depend on the gcvemment's aggressive role in
nation-building and socio-economic reconstruction. Development Administration, therefore
has emerged as a special sub-discipline to serve the cause of development. This is a
distinct branch of the discipline, sewing a distinct cause, viz. development.
'
LIBERAL .STUDIES FOR CITIZENSHIP

'
Another general utility of Public Administration as a'discipline lies in its contribution

to credtive citizenship. In a democracy, the citikns must be well-informed about what the
government does or does not do. Governmental literacy is a sine-qua-non of good
citizhnship. People must get. to 'know about the organisation of government, the activities it.
undertakes and the manner in which these are actually performed. As a discipiinel,~ublic
Administration has ample scope to educate the lay citizens a b u t the machinery and
procedure of-work in the government. '
CONTRIBUTIONS OF PUBLIC ADMINISTRATION

J
As already stated. the expanding role of government in every country, especially in the
develbping nations, has encouraged many-sided inquiries into governmental ,operations. - .;
Since government touches on almost every conceivable'aspect of lifp in a democratic
,
society, the citizens must have access to informqtion about government and about how.it is'
I
,
I
,
I
actually orgeised and pressed into social regulation and citizens' welfare. Public
Administration as an intellectual discipline has, therefore, been gaining in importancejwith
the increasing interventionist role of goveniment in social life.
The importance of a well-developed discipline of Public Administration' lies in its five
kinds of major contributions to organised social life which we will discuss iiow;
* epistemological
* technical
e
e
ombudsmanic
liberal-educational, and
professional.
The fiist type of contribution arises out of the discipline's capacity to build up a rigorous.
systematic and scientific body of knowledge about governmental structure and operations.
Publio Administration alone has the exclusive responsibility to study the government in action
in all its aspects. In dischargihg this responsibility, it has been striving to collect reliable
information and data, analysl: administrative structures and operations, and build
explanatory theories for enhancing knowledge about administrative practices.
2.6.2 Technical
The second type of technical contribution of the discipline flows from its first major role as
stated above. Since the days of the pioneers like Woodrow Wilson, it has been the
endeavour of Public Administration specialists to apply knowleqge to act~ial-public
problem solving. With reliable theoretical equipment and on the basis of "clinical" studies
of administration situation, the technical consulting capacity of the experts in the
discipline has increased considerably. Advising government and solving practical
problems in administration are legitimate expectations from Public Administration
analysts.
.The third type of contribution of the discipline can came out df investigative studies of
critical sectors of administration. Case studies on citizens' grievances, administrative red
tape, corruption, etc. may be widely circulated to familiarise the general public,.the press
and the legislature about the actual goings-on inside the bureaucracy. By disseminating ,
knowledge and information, the experts in Public Administration can play a socially useful
role akin to the ombudsmanic institution as established in many countries.
2.6.4 Liberal Educational
Public Administration as a discipliqe has the fourth important responsibility to create

enlightened citizenship. In a democracy, knowledge of how the government and the
administration functions must be universally disseminated. This is what can be called
governmental-administrative literacy. Public Administration is the only social science
discipline that,can perform this role of a universal educator of "government and
administration" for all the citizens.
2.6.5. Professional
Public Administration has also served the cause of vocationalism. The discipline has been
greatly useful in training civil servants and equipping students to join the professional
stream of practising administrators. Institutes and schools of Public Administration, Public
Affairs and Public Policy Analysis are engaged in the ofganisation of professional courses,
Check YOU; Progress 2
Note: i) Use the space below for your answers.
ii) Check your answers wih those given at the end of the unit. '.
1) Why Public Administration is of special importance in developing countries?
Imporl:~ncc of [4uhlic
.idrnini>tr;~lion
.......,.................................................................................................................,...............
2
2) In which a r m a n Public.Administration contribute to o~anisedslciallife? :
:*r
2.7 LET. US
. SUM
UP
. . .
-.
I
The importance of Public Administratioh as a discipline has been highlighted in this unit. '
Subsequent developn~entsin the discipline in response to both practical problems and
academic:questions have further enhanced its importance as an autonomous field. In the
contemporary world, the burden of public duties on government has been steadily i
increasing. To expect that the days of,laiskz-faire wobld return again is mere daydreaming, The positivistic-interventipnistrole of government would automatically find
reactions ih academic inquiry. And as history has shown, the importance of Public
Administration as a discipline has been closely associated with the increasingly activist
role of govemment everywhere.,
,
*
As regards the 'de;eloping* or 'thidworld' countries, 'Development Administration' as a

sub-discipline has a special role to play to systematise knowledge about 'development' as .
well as to facilitate successful and effective governmental intervention in radical socioeconomic 'reconstruction.
,
0
* , I
2.8 KEY WORDS
"
Laissez-faire : Policy of non-interference.

Ombudsmaniq: Investigation of individual's complsints against public authorities.
Positivist : One who recognises only positive facts and observable phenomena.
"
2.9 SOME USEFUL BOOKS .
~hattacharya,Mohit. 1987. Public Administration: Chapm-Z: The World b s s Rivae

Ltd:: Calcutta.
d
Golanbiewski, Robert T,1977. PLMic ~ckinistratimas a ~ ~ e i o bisc&liie;
g n ~
Vol,J; .
Marcel b k k e ~New
: Yo*.'
.~enri.Nicholas. 1975. Public A&ninistratioy and Public ~ffdirs:Rcntia Hall.
Englewood-Cliffs: New Jersey.
I
'
N i p . Felix A. and Niw. Lloyd 0. 1980. Modern Public Adminirtration; -Harperand

Row: New Yotic. .
While, LSDe.
1968. In!rodrcrion to the Study of P ~ I Ahinistroion;
~ C
@unriahblishing
House: New Delhi:
. -., ,
'I
I
EXERCISES
'
check Your l~rGress1

1 ) See Section 2.2
2) See Section 2.2

3) See Section 2.3
I
CheckYourProgrcess2
1 ) See Section 2.4
2) See Section 2.6
li
---
UNIT 3 PUBLIC ADMINISTRATION AND

OTHER SOCIAL SCIENCES
Structure
3.0 Objectives
3.1 Introduction
3.2 . Social Phenohena: Their lntepated Nature
3.3 :public Administratjon as a Socilil Science
3.4:. elation with other Soci~lSciences
3.4.1 Relation with Political Science
3.4.2 Relation with Sociology
3.4.3 Relation with Economics
3.4.4 Relation with History
3.4.5 Relation with Law
3.5
3.6
3.7
3.8
Let Us Sum Up
Key Words
Some Useful Books
~nswersto Check Your Progress Exercises
3.0 OBJECTIVES
-
'In this unit, we shall examinkthe place of Public Administration among Social Sciences
and its relations with other Social Sciences, in particular, with Political Science. '
Sociology, Economics, History and Law.
Af!er studying this unit you iould be able to:
q
'describe the integrated nature of knowledge

explain the inter-relatedness of different Social Sciences and
describe how the concepts and issues of Public Administration are related to those of
political Science, Sociology, Economics, History and Law.
3.1 INTRODUCTION
'
.
"
From the time of Plato and Aristotle of ancient Greece to the 18th Century, Social
Sciences have $en regarded as a single subject of study. With analysis of different, aspects
of it, it has split into differen! disoiplines. Their development was hastened by the
Industrial Revolution which gave rise io issues requiring investigation by s&xialists. The
broad division of Social Science into Economics, ist tor^, Political Science, Public
Administration, .Sociology, etc. has proved inadequate to the understanding or the solving
of several problems posed by social phenomena. This has led to specialisation in different
areas of a subject (e.g. ~conomichihto Applied Economics, Econornetdcs, etc. Political
Science into Political Sociology, Political Anthropology, etc.). As a result it has become
increasingly difficult to realise an integrated perspective of social events. Indeed, the
writings in Social Sciences in the 20th century testify to the phenomenal expansion of
specialisation. However, too much specialisation may lead to unrealistic results ignoring
social phenomenon in its totality.. ft i s like missing the wood for the trees. This is so,,
because, no social event is unidimensi~nalnor does it occur in isolation. It is linked with,
economic, political, administrative and social systems of a country. In order to
understand the role of administrative system of Public Administration in a social setting, it
is necessary to know the relationship between Public Administration and sth& Social
Sciences. This unit is designed to he1 you not only to understan$ the nature of social ,
phenomena but also to h o w whether k i a l Sciences can be regarded as Sciences; what
,
features Public Administration has, asp Sacid Science wd hdw it is rel&d to other~acial
ScienceS.
S

Adm!nistratiun
3.2 SOCIAL PHENOMENA :THEIR INTEGRATED

NATURE
No social event can be studied in isolation without reference to other events. Consider for
instance, the policy on Reservation. A good section of people are supponing i t and an
equal number are opposing it. If it i s viewed only as a policy, for raising or reducing the
percentage of reservations we would be facing difficulties. We have to take into
consideration i t s root cause which is the outcome of the historical development of the
lndiin society. This means'that we have to analyse the social, economic, political and
cultural aspects of reservation policy in order to be abje to formulate it in such a way as' ti)
meet the ends of social justice and ensure national progress. Likewise. with regard to the
problem of growing inefficiency in public offices you have to take into account .a whole
spectrum of policies ranging from the recruitment policy thinugh educatiorral policies to
the absence of 'achievement' motivation. Then only you will know what hus causcd it. If
you view inefficiency only as a matter of discipline in the offices' you may no1 he ahle to.
solve the problem of ihefficiency.
-.
'
"
Check Your Progress I

Note : i)Use the space given below for;your answer
..
ii)Check your answer with those given at the end of this unit.
*
I ) Explain the integrated nature of social phenomena with illu.\~rations.
24
As observed by Aristotle, a great Greek Philompher, Art is to do and Science is to know. If

Scienke is called a systematic body of knowledge, i t ~ !xn acquired only through the
appli'cation of the scientific method. At first, knowledge was viewed as a single entity in
which various subjects of s'ludy ootild be regarded as different dimensions o f it. Later, we
find subjects divided into sciences'suchas Physical Sciences, Life Sciences and Social
Sciences. But just as the way we call Physical Sciences whish deal with physical
phenomena as exact Science or Sciences, we cannot call Social Sciences which deal with
human beings as Sciences. The reason is that, the social phenomena in which human beings
play a major role cannot be studied in as rigorous a way as the physical phenqmena crrn be.
Morwver, no Social ~ u e n m
can claim such exactness rq to he ahle to make predictions.
This, however, does not mean that i t i s impossible to evolve vlrlid laws about buman
behaviour. The contribution of Sigmond Freud to Psychology cannot.be ignored. The point
is that the level
. * o f exactness which is attainable in Physieal Scicnccs iL not possihlc in
w*
I
!
I
.-
One of the problems faced by almost all Social Sciences is the absence of some important
features of a Science. The main features of aLScience'are (a) exactness, (b) validity and
(c) predictability. Sciences have laws which are verifiable; Sciences follow a systematic
procedure of observation, investigation, experimentation, the building o f a hypothesis,
verification of the hypothesis by facts, tabulation, classification and correlation o f facts,
etc. in order to arrive at conclusions that can be put forward as generalisations. Thus
exactness, universal validity and predictability are ensured.
)I
I
Public ~dministrationand
other Social Sciences
Social Sciences. 'Facts' in Physical Sciences, unlike those in Social Sciences, need not be
related to any prescribed setting or context.
To be regarded as Science, Social Sciences have to have principles which are of universal
applicability and validity. While some subjects in Social Sciences can claim to have
developed such principles, the others can prove no such claim.'The reason is that human
behaviour is, so complex that it is difficult to account for it, using the same principles in
every context. For example, no political scientist .can trace certain political developments
to any one cause. However, you should not assume that there are no principles in any
discipline of Social Sciences. pot all Social Sciences have such principles to which the
criteria of exactness, universal validity and predictability Cali be strictly applied. The
scientific methods which are used fot arriving at accurate results , are now being bonowed
by Social Sciences. The behavioural movement which has called for extensive use of
empirical techniques for the scientific study of human behaviour, has made
inter-disciplinary approach possible. It is against this background that we shall consider
Public Administration as a Social Science.
!
Public Administration deals ~ 8 t certain

h
aspects of human society. Various public
organisations are supposed to serve the public in different ways. To the extent to which the
administration deals with the public. Public Administration can be called a Social Science.
Public Administration is a Social Science having techniques and abstractions of its own
concerning the concepts of action and its own problems of theory. It is vitally concerned
with, the integration of knowledge in other Sciences, physical, biological, and
psychological. Further, Public Administration relies on the method of observation rather
than on that of experimentation. Although experimentation in a laboratory is not possible
in the case of Public Administration, the advent of behaviourialism has made it possible.
I
Public Administration appears to be both positive and normative. Questions of 'What is'
and 'What ought to be' are as much relevant to Public Administration as they qre to
es
Political Theory. Public Administration has been passing through v a r i ~ u s ~ ~ ~ofa gtheory
buildihg. In other-wckds, it 'is a discipline in the making.
'
b
. Check.Your Progress 2 ,
Note : i) Use the space below for your answer .
\
ii) Check your answer with -those

given at the end of the, unit.
1) Explain the distinctidn between the nature of Physical Sciences and that,of Social
Sciences.
I .
.......................i'rr..............................................................................................................
Let us now consider the ;elation between Public pdministration and other Social
Sciences, lli:.' Political 8cience. Sociology, Economics. History and Law.
.3,4.1 Relation with Political Science
?tall the intarit:elationships among Social Sciences, those between Political*Scie~qe

and Public
~l
Administration itand apart from otherh. Politicil,Science, according to a ~ o c r Scien'tist.
is concet.~scj\i:rt 1 the study of "authoritalive allocations of viluesl'. I t focuses'o" thc '
'mlation?hin~ q t u . $ kthe
~ ~ State and individual. it prdvides answers to quesdonh concerning
I
The Natureof Public
the origin and nature of the State and also considers the institutions through which the
members of society exercise power. For a long time Public Administration has been
regarded as a part of Political Science. About 100 years ago Woodrow Wilson called for
the separation of Public Administration from Political Science on the ground that 'the field
of administration is the field of business'. Following Woodrow Wilson, Frank Goodnow,
yet another brotagonist of the separation of Public Administration from Political Science
has observed that since a large pan of adqinistration is not directly connected with politics
it needs to be removed from the control of political parties. Writers from the US were
largely influenced by the above mentioned argument and emphasised the need for
overcoming the ill-effects of the 'spoils system' according to which the party coming into
power replaces the officials appointed by its predecessor with those chosen by it to run
administration. However, the hundred years old history of Public Administration brings out
the severe limitations to which the growth of Public Administration as an independent
discipline is subjected. It isstherefore, not surprising that the contemporary theoreticians of
Public Administration have advocated its re-unification with its parent discipline, i.e.
Political Science.
Administrsltirtsl
We know that the political system of every country is related to its administrative system.
Indeed, it is the country's political system which creates its administrative system.
Conventionally speaking, Political Science deals with policy making and the
implernenta~ionof policies is left to the administrators. Thus the administration is charged
with the responsibility oftranslating the political will of a country into practical forms of
action. However, this is easier said than done. Again, it would be noted that the
administration plays a significant role in the formulation OF policies also. It follows that the
political qstem and administration influence each other to such an extent that it will be
sometimes~difficultto demarcate between the roles played by them respectively in kbe
given case. In a parliamentary'gqvernment like India. while the minister, as a political
leader and member of Cab~netparticipates in policy making, but as the top boss of the
Ministry/Department, is also involved in administrative decision making. Similarly th6ugh
the civil servants are supposed to administerlimplement the policy-decisions, the senior
administrators are also involved in policy-formulations by way of providing
data/information/advice to the Minister. As has been pointed out by some writers, the
character and form of administration of a country are influenced by its political system. If
this view is accepted, it may be asked whether one can understand the administrative
system without understanding the political system. For instance, in a democratic syste~pof
governance the bureaucracy (or the administrative system) is expected to obey its plitical
master. In suchla case the concept of bureaucratic neulrality put forward by Weber ( a
~ e r m a nSociologist whb is considered an authority on types of bureaucracy) does .not hold
good.
Administration is regarded as a powerful agent of change in most of the developing

countries. But, the nature of the State'itself in such countries is the root cause of poverty,
inequality and injustice. In such cases we have to examine the prevalcnt.politica1 system
before we analyse the role of Public Administfation in the country concerned. Thus the
separation of Public Administration from Political Science, according to some critical
observers; denies us the requisite 'political approach' to Public Administration. For
instance, the study of the Indian Political system, the historical evolution of Indian
Administratiye System, the debates in the Constituent Assembly and the basic
constitutional law which are all 'subjects of Politikal Science would alone provide an
insight into the process and theaworking of the Public Administration in the country. In
fact. there are certain areas of study common to Political Science and Public Administration
such as.Public Policy, Comparative Constitutions, and Local Govemment. Again,
Govemment is regarded as a continuous integrated process comprising different
functio~~legislative,
Executive, Administrative. Considered in this light, the scope of
Public Administration is not a routine process but a dynamic process ln\iolving
considerable discretion. Studies in administration, therefore, focus not only o i policy
fonnulatio? but also on political parties. pressure groups; public apinion. etc. The methods
and techniques of Political Science are borrowed extensively by researchers in Public
Administration also, which includes'public policy, public welfare and public interest. The
relationship between politics and adniivistration is so close that they may be regarded as
the two sides bf a coin.
C
Check ~our.'ho~ress
5
ii) Check your answer with those at the cnd of the unit.
;.
Public ~dminlstrationand
other Social Sciences
1) j,llustrate the relationship'between PoliticalScience and Public ~d~ninistri~tion;
.......................................................................................................................................
..........
....................................................................................................................
................
3.4.2 '&,lation with Sociology

Sociology is concerned with the scientific study of social structure. It is a Science which
studies the form of human actions in society. It also studies the inter-relatedness of the '
other Social Sciences. It is called by some a 'super science' unifying the generalisations of
the other Social Sciences. Post colonial societies continue to be in the grip of an all
pervasive bureaucracy. They are marked by inequalities of every kind. This is why the
policies and their implementati'on in such countries need to be studied within a broad
framework of class, caste and power. American scholars like Riggs and Presthus have
brought out clearly the undifferentiated nature of social reality characterised by a close
nexus between society, polity and its administrative system.
Adminidtration as we are aware, operates in the context of the society of which it is a part.
Hence, just as the society is concerned with goals, values, belief systems, so also should be
the administration. Thus we notice a two way relationship; administration exists in a social
setting and the pattern of administration theoretically is determined by society. Through
administrative leadership the society may be influenced. Sociology is concerned with the
human behaviour in a group, the various types of groups and the ways in which they
influence human instincts and activity. Administration is a cooperative endeavour in
which, a large number of people are engaged in achieving certain objectives. The
'administrators themselves form a distinct group known as bureaucracy which, while .
maintaining its identity frequently interacts with its social environment. If the organisation
is big enough there will be small groups and even sub-groups within it. These small groups
and sub-groups have their own loyalties, sympathies, antipathies; ethics, outlook which
would influence the administrative apparatus. Sociology offers to Public Administration
information about groups, their behaviour, and the way they affect social life. It is,
therefore, not surprising that writers regarded as eminent in Public Administration
primarily belong to Sociology. Max Weber's essay on bureaucracy has influenced many
other writers in Public Administration. Some of the recent works in Sociology on status,
class, power, occupation, family, etc., provide useful information and a theqretical base for
'
the Sociology of Public Administration.
The classical theories of administration tell us about the importance of structures in
administration, considering 'human behaviour to be static, The contemporary theories,
regarding it as being dynamic, investigate why a particular decision is taken by an
administrator in a particular situation. In the course of such an investigation the study of
sqcial background of administrators will be found pecessary. The tools developed by
Sociology are made use of by the scholars of Public Administration in order to understand
the sociology ofadministrators.' A notable work in this,field is that by V. Subrahmaniam
on the social background of Indian Administrators. The interest in studies of the
representativeness of a country's bureaucracy'makes for the study of the relationship
between Sociology and Public ~dministration.If one looks at the administrative structures
engaged in the reconstruction of societies, Cspecially those of developing countries, one
will find that the bureaucracy is engaged in community action.
A good number of institutions/universitiesoffer a course in Social Administration as part

of the Postgraduate and other programmes. Premier institutes like the Tata Institute,of
Social Sciences are offering special training programmes to the officials of welfare
'
a gencies like Tribal Development, etc. The National Institute of Rilrq Developmedt
conducts'special training courses for the personnel of All India Services which are
intended to acquaint the administrators with the 'sociology of'rural India.
'
Check Your ProgrCss 4

Note : i) u s e the space below for your answer,
ii) Check your answetwith those given at the end of the unit.
1) "Social system influences administrative system" Comment.

Administration
'
......................................................................................................................................
.......................................................................................................................................
.........................!.................................................................... -.....*..................................
3.4.3 Relation with Ecmomics
"Economics is a science concerned with those aspects of social behaviour arid rhose
institutions which are involved in the use of scarce resources to produce and distribute'
goods and services in the satisfaction of human wants:' This definition of Economics may
be said to have been modified by the well-known economist, L. Robbins, who defines it .as'
"the science which studies human behaviour as atelatioKship between ends and scarce
means which have alternative use:'
These definitions suggest that economics is as much concerned with human behaviour as
any other Social Scienm. '
The major objectives of administration during 18th and a good part of 19th century were
maintenance of law'and order and collection of revenue. In the wake of Industrial
evolution there occurred a radical transformation of the concept of the State. This was
due to its being compelled to become more responsive to the needs of the masses,
especially the working classes than ever before. Industrial Acts fixing working hours and
minimum wages extended an enormous pressure on the administration. Goals like the
establishfnent of a socialist society led to the expansion of the role of administration in
development. Those industrie's which had been hitherto managed by the private sector had,
come under the direct administration of the govemment. The fast growing Public ~ e c i o r
(i.e. industries directly under the government) illustrates the relationship between
-Economics and Public Administration. Indeed, the expanding role of the Public Sector and
direct intervention of the govemment to regulate extreme swings in the economy place a
great burden on Public Administration.
Planning has been'chosen as the means!to realise the goal of Socialist society, If efficient
implementation of plans ensures goal attainment, the task of the administrators is to choose
methods for effective implementation of plans. The administrators today,have been
entrusted with the responsibility of managing railways, insurance companies and tackling
' issues concerning agriculture, banking, etc. They, therefore, have got to have an
understanding of.the'economic problems of the country.
The ancient classic ~rthashastra,'isnot only a treatise on the art of administration but
also a reference book on .Economics. In several other respects Arthashastra points out the
close relationship between Public ~drninistrabnand Economics.
'
3.4.4 Relation with History

According to E,H.Cart, 'history is a cpntinuous process of interaction (between the
historian and his facts) an unending dialogue between the present and the past'.
History prevides an insight into the past. The study of historical background of a country
enables us to understand its adminmative systems. Historians have rec9rded.not only
political events like battles and the deeds of rulers but also particulars of administration.,
*Forinstance, L.D. White in his books on the early history of American administration. .'
administrative history of Medieval England provided useful material for unilerstanding the
systems of administration of those times, History tells us how administrative problems
arose in the past and how they were solved.
Signjficantly, modem historians have been paying increasing attention of the pkvalent
administrative systems.'This augurs well for Social Sciences like Public Administration .
since it will provide' valuable information to them.
3.4.5 Relation with Law

Acmrdiq to Mali~xnki.Law is 'sanctioned norm'. According Gadhart, Law is any rule
being obligatory by the bulk of the cgmmunity. In other words, violation of
. . q n i d
Public Admidistration and

@her SoelPl S c l o ~ m
norms is usually followed by counteraction. A legal norm is marked by probability that it

will be enforced by specialised staff. The authority to enforce rules is vested in
administration. This explains the relationship between Law and Public Administration.
Public Administration has to function within the framework of the law of the country. In
other words, law sets the limits of administrative action, though it allows considerable
discretion to the administration. A subject common to these two disciplines is
re
laws (acts) which the administration has to
Administrative Law. ~ e ~ i s l a t u enacts
ihplement. 'The role of administration is not restricted to implementation only; it has a
h l e to play in law-making also. Civil servants have a say in the formulation, presentation
and enactment of laws.
In fact. Public Administration has been described by a writer as a machinery concerned
wi& the 'systematic and detailed execution of law'. The relationship between
administration and law appears to be so close that in some countries Public Administratidn
is studied as part of some courses in law. Some subjects like Delegated Legislation,
structure and functioning of Administrative Tribunals are studied by both the students of
Law and thqse of Public Administration.
The Indian form of Ombudsman (i.e., Lok Pal hnd Lok Ayukta) are studied by students of
Public Administration as institutions for the redressal of public grievances. The study of
such institutions show the increasing importance of the relationship between Law and
Public Administration.
3.5 ' LET US SUM UP

All social phenomena are found integrated in nature. No social event can underskood
completely without an understanding of its various dimensions. While krlowledge is
r
regarded as single entity, the need to study different aspects of it led to specialisation.
While the mushroom growth of specialisation led to a spun in research, the need'for an
integrated approach to social reality has not been met. heref fare, the study of various
disciplines vis-a-vis others has become necessary. Public Administration as a discipline is
only about 100 years old. It got sep-arated from Political Science a few decades ago. It has
close relations with other Social Sciences. It owes its emergence to Political Science, But
as it i~ finding it difficult to sustain itself as an independent discipline. it is being
increasingly felt that it must be strengthened with concepfs drawn from Political Science.
- Public \Administration is related to Sociology.also. Public ~dministratibncannot be
4ppreciated without:an understanding of social reality around it. Works of Sociologists like
Max Weber influenced the theory and practice of Public Administration. The fact: that the
modem administrator is known as a social engineer, confirms the close relationihip
between Sociology and Public Administration. With the advent of planning the
'relationship between Public Administration with Economics has grown stronger, 'Fhq
present day administrators ought to know the economic aspects of the polity for effective
imp1ementation.of policies. 'The focus of administration.in the Third World countries is on
reyoval of poverty. Matters connected with mobilkation of resources (taxes, exports,
impofis, etc.) have a great bearing on administration. History is yet another subject with
which Public Administration has a close relationship. Knowledge of the past enables us to '
understand the present. Public Administration and Law are also closely related. The role of
administration has been described as that of a machinery for systematic execution o f ' law.
There are some subiects common to Law and Public Administration.
The discussion in this unit clearly brings out the inter-related nature of the social
phenomenon and -its knowiedge.
,I!I
!I
t I
8
3.6 KEY WORDS
I
f
C&stitutional Law : The branch of law that governs the formation, reformation and
application of a constitution. \
Empirical : Based or acting on,observation and experiment; not on theory
, -,
I
'
Hypothesit: A proposition or supposition made from known facts as the basis fo*
reasonigg of investigation.
i
, I .
>
.,
)*
29
!dndustriaiRevolution : The transformation of society, occurri~lgfirst in Britain in the

second half of the 18th century and the first part of the 19th century, in which the bulk of
the working population changed from agriculture to industry
Normative : Establishing a customary behaviour.
Post.Colonial Societies : Societies which have attained independence from Colonial rule.
Pressure Croups : A group (united by common interest) which has sufficient influence
on Central Government to be able to put pressure on behalf of its interests.
The Nature olPublic

Administration
',

Dimock. Marshall Edward and Dimock, Gladys Ogden, 1975. Ptrhlic Administration;
Oxford & IBH Publishing Co.: New Deihi.
Sharrna, M.P. 1960, Public Administration Theory and Practice; Kitab Mahal :
Allahabad.
3.8
ANSWERS TO CHECK YOUR PROGRESS,

EXERCISES

1 ) See Section 3.2
I ) See Section 3.3
I ) See Sub-section 3.4.1
I ) See Sub-Section 3.4.2
UNIT 4 EVOLUTION OF PUBLIC

. Structure
4.0 Objectives
4.1 Invoduction
4.2 Why Study Evolutioh of the Subject?
4.3 Absolutist Traditions

4.4 Liberal Democratic Traditions
4.4.1 Politics Administration Dichotomy Approach

4.4.2 Structural Approach
4.4.3 Human Relations Approach
4.4.4 Behaviournl Approach
4.4.5 Development Approach
4.4.6 Public Policy Approach
4.4.7 Political Economy Approach
4.5 A Chart Indicating the Differences between Various Approaches

4.6 Marxian Traditions
4.7 Let Us Sum Up
4.8 Key Words
4.9 Some Useful Books
4.8 OBJECTIVES
This unit aims at explaining the evolution of Public Administration$ss:a significant area of
inquiry. After studying this unit you should be able to:
*.
'0
appreciate and summaribe thc importance of the study of the evqlution of Public
Administration
to distinguish between different traditions of academic inquiry in Public
Administration; and
identify and explain the different phases in the growth of the study of Public
Administration.
In this Unit we shall trace the historical evolution s f Public Adrriinistration as a field of
inquiry and also explain different traditions in the development of Public Administration.
Broadly, we have identified three traditions, viz. Absolutist, Liberal Democratic Bnd
Marxian, in the evolution of Public Administration. The clas~ificationis done for
ducative purposes rather than for the purpose of explaining their empirical implications.
The analytical frkne, we hope, will enable you to have a broad perspective on the
developments in Public Administration considered in' t~:rms of the impulses. ~deologkaior
otherwise behind them. This unit introduces you to diveilse traditions in thepractice
and theory of Public Adniinistration. Such a diversity hiis arisen mainly because of
differences in not only the history, culture and levels of development at various societies
but also the impulses shaping them at different times. Before discussing them in detail, let
Us briefly consider the importance of the study of the evc?lution of Public Administration,
4.2 WHY STUDY EVOLUTION OF T'HE SUBJECT?

\
Them have k x n few studies in the evolution of&ublic Adnrlinistration, although its
importance has been widely recognised. A
reason Li the errbnqous impression that

Administration
the past developments are of little consequence to the present ones with which we are most
actively concerned. But the question is whether the past can be separated fr0.m the present
without rendering our understanding of the present incomplete and inadequate.
I
Evolution refers to sgradual unfolding of development of things in the course of time.

when the past, present and future are considered in terms-of a continuum, the study of the
past or of history becomes all the more significant, The past not only foreshadows the
present but also serves as its matrix. History, in the wordsof E.H.Carr. is an unending
dialogue between the past and the present. J,n this sense, the study of history has a
contemporary relevance. Indeed, it is necessary for the understanding of the contemporary
status of the subject and the critical issues therein, the genesis of which may be found'in
tHe past. There is much truth in the saying that 'a phenomenon can be understood only in a
historical context' Again, the study of different phases and traditions in the evolution of
Public Administration may also help in applying the 'lessons' or the indicators of the past
to the consideration of the development of the subject in the present. Broadly, the study of
e~olutionfulfils both theoretical and pragmatic purposes. From the theoretical point of
view, it helps to locate the subject in a broader frame of reference and from the practical
point of view it facilitate$ the use of the knowledge of the past-to further-the qevelopment
of the subject in the pres<n%:'
..
,3.
Check Your ,Progress 1
Note : i) Use thespaceI%IGw'fiIryour answer.
ii) Check your answer yith those at the end of the unit.
-.
1) Describe the significance of study of evolution of,Public Administration.
In this section we shall discuss the absolutist tradition which antedates the other twoLiberal Democratic and Marxian. Absolutist tradition refers to administrative traditions of
absolute monarchical regimes, where all powers areiconcentrated in tha monarchy. The
earliest work concerning it is Kautilya's Arthasastra, the most important,work on Public
Administration in ancient India. We confine our discussion'to the Indian t~adition'mainly
for two reasons. Firstly,,sufficientinformation is not available on the absolutist
administrative traditions of other Asian societies. Secondly, the students of admidistration
should be acquainted with their own traditions in the field of Public Administration.
According to tradition, Kautilya, also known as Chanakya and Vishnugupta, was the Prime
Minister of Chandragupta ~aur~a,(32%298
B.C.); who founded the Maurya Dynasty of
Magadha (Bihar). Kautilya's treatise known as Arthasastra may be regarded as an anc~ent
Indian text-book of practical politics. It, according to s_bme,'ranksin importance with,
Manusmriti and Kamasastra and forms a triad with thpm in dealing with the thiee ' ,
imperativq of th8 social ~p@Iosophyof that time-Dharma, Kama, Artha. It, &Is mainly
with the Science Polity, which, according to Kautilya, is a combination of Science 9f
Wealth and Science of Government. I: Vittasastra (Economics) and Dandanjthi
(Statecraft)]. To Kautilya, finances provide the sinews of government and financial
conhiderations are paramount in the government's activities. Thus, his treatise adopts the
political economy approach to the.understanding of the problems of governance. H.V.R
Iyengar described Arthasastra "as an exceptionally able dissertation both on the aims of.
'Jhe State as well as on practical means by which these aims can be achieved". Arthasastra
is bpth an analytical and a'perspe~tivedocument revealing amazing perception and
mastery of detail. '
-I
1
kautilya's #rtha&stya mainly discusses'thrde aspects of the science of Public .

Administration, viz. the principle& Public Administrhtibn, the' machinery of Government
7
*.
and the management of personnel. The principles of administration are not explicitly dealt
with in Arthasastra. They are implied by the functions of the mu~arch,ministers. etc. ah
detailed in it. The machinery of Government as described in the Airthasastrla is mainly
related to the monarch. his relations with ministers, etc. The problems of higher level
personnel receive greater Attention than the lower level functionaries in Arthasastra.
Kautilya spelt out the importance of the science of Public Administration. According to
Kautilya, an administrator can adopt the art of Public Administration only if he is
conversant with the science of Public Adm,inistration. So it is necessary for the King, the
Crown Prince, the-High Priest and the ministers to be conversant with the science of
Administration. He emphasised the principles of authority, obedience! and discipline as
being central to the administration of the state. He considered principles like division of
work, hierarchy and. coordination important to the mechanism of internal organisation.
Further, Kautilya is, perhaps, the earliest known thinker to iwecognise the importance of
-..
statistics in administration.
Kautilya made a systerhatic study of the society and did not blindly accept the current
.views based on faith and tradition. Ancient Hindus held that the Vedas constitute the sole
source of law. But Kautilya laid down four distinct sources of law; namely, sacred
scriptures, t k rules laid down in Arthasastra, customs and edicts of kings. Each of these
he considers more authoritative thz$ the one preceding it. He explicitly states that when
the sacred law is in conflict with the corporal law the latter should prevail. Arthasastra is
secular in its tenor and puts politics in command over religion. According to Kautilya,
pligious considerations shoula not outweigh political considerations. The King according
to hi& should strive and mai'ntain the stability of the State and increase his power and
material resources by policy or subterfuge. TO this end he even proposed an elaborate
system of recruiting spies and training them. Some of these propositions of Kautilya are
termed Machiavellian. Here it is interesting to note the observations of H.V.R. Iyengar,
who said that "Kautilya was honest and stated frankly what today is hidden under dnttious
veil of secrecy'!.
Kautilya's 'Ideal State' was sorbething like a modem Welfare State under an all powerful
ruler.'I-Ie clearly required the State to provide for the maintenance of children, women, the
old, the infirm and the disabled. The State was to run agricultural farms, help the anisans,
and exploit the forest wealth and mineral resources for the benefit of the people at large.
Indeed, the basics of 'Welfarisq' can be traced in Kautilya's Arthasastra.
Kautilya advocated a strong centralised authority vested in the monarchy. As pointed out
b j ' ~ .Inamdar,
~.
"the principles governing the democratic Pu6lic Administration are in
many respects different from the principles underlying .a monarchical P~blicAdministration
described in Arthasastra, as the sources and the configurations of authority in the two
systems aie different". The administrative system as discussed in Arthasastra centres on
the king. His orders are unquestionable. His interests are supreme. He is the source of
authority for all institutions. The fading away of the monarchical form led to other
'traditions to gxplain and understand the administrative systems in democratic societies.
However, it ihould be noted that the traditions of Public Administration as established by
~ r t h a s a s t r aare significant
...- .. for its emphasis on the Scifn.c,e of Public ~dmi~istration
and
systematic analysis of the art of governance.
I'
'
Check.Y~ur,.Pragf.~w
2.1 .
ii)' Check your &swer wi* th'ose;at the end of thevii-it.
1) Explaid Kautilya's vbws on Public Administration.
'
Evolution g!f Public

Administratibn
'
-"

Administration
4.4 ~ I B E R A LDEMOCRATIC TRADITIONS
Traditionally, the origins of Public Administration as a separate area of inquiry are traced
to Woodrow Wilson's essay, The Study of Administration. published in 1887. His
essay marks the beginning of systematic investigation into the field of Public
Administration. Since then the study of the subject passed through va+us phases, each
phase characterised by a particular paradogmatic approach. Broadly, seven phases are
identified for understanding the evolution of the subject in the broad paradigm of liberal
c
+
democracy. Let us briefly discuss each one of them.
4
4.4.1 Politics-Administration Dichotomy Approach
Woodrow Wilson, the father of modem Public Administration, considered politics and
administration as separate processes and attempted io,conceptually distinguish between the
two areas of study. A similar attempt was made by Frank Godnow, another exponent of
the dichotomy approach who observed that "politics has to do with policies or expressions
of state while administration has to do yith the execution of these policies". This
distinction is made between policy making a"d policy execution. Policy making is
regarded as the realm of politics and execution as the realm of Public, Administration.
\
Further, politics and Public Administration ard,diflerentiatedon the basis of their

institutional locations. The location of politi'cs is identified with therlegislature and the'
higher eqhelons of government where major policy-de~isionswould be made arld the
larger questions of allocation of values decided upon, The location of administration on
the other hand is identified with the executive a m of government-the bureaucracy. The
processes of administration, it was argued, have a certain regularity and concreteness alxtut
them, which can be successfully investigated. Thus it is possible to develop a science of .
Administration.
l
i,
4.4.2 Structural Approa~h

This apprpach is marked by. the tendency to reinforce the idea of politics-adrjlinistration
dichotom3 and to evolve a value-free 'Science of Management".
'.
I
The 'Public' aspects of Public Administration was virtually dropped at &is s t a g and the
focus was almost wholly on economy and efficiency. The questions of 'value' were not
considered important to the new science of Administration. Politics as practised by the ,
politicians was considered irrelevant. Scientific Management for the efficient handling of
the 'business' of administratipn became the focus of interest. Principles of nrwagement
were worked out as readymade aids ta practitioners. The administrative practitioners and.
the business schools joined hands to emphasise the mechanistic a s p c t of managemtf'nt
unaffected by the predilections of politicians and the failings of human"beings, . .
I
The approach emphasised the s'tructure of the organisation. Structure is a device through
which human beings working in an organisation are assigned tasks and related tn one
'
another. It is believed that the effective [unctioning'of the organisation depends upon the
stivcture that a group af human beings build and operate. The structural approach was
criticised for the ambiguity of its principles, absence of scientific validity and its
mechanistic approach to human problems.
4.4.3 Human Relations Approach

:
The Hawthome experiments pioneered a movement which came to be known.& the
Human Relations Approach to management. Its impact on Public Administrat#m WB$ &It,#
much more widely in the postwar period than before, This approach to organisational
analysis drew attention to the formation and effect of work groups in the orgqisation, the.
\
force of informal organisation in the formal setup, the phenomena of leadership and
conflicts and cooperation among growps in the organisational Betting. In short, ikc human
relations apprpach brought oup the limitations of the machine concept of.organisation in 4
'Scientific Management' thought..By drawing attention to the social and psychologicd
factors of work situation, it underlined the importance of the "human side of th$
enterprise".
.
The k i a l psychologist ha3 extended the concern of human relationists by bringing in
additional knowltdge about the sensitivity to human compiinents. It is B i d at bai<ing.
about: (1) greater organisational productivity or effectiveness, and (2) greater hwme
'
..
Evolution of Public
happiness and increased self-realisation. Proniinent writers. advwating this approach

include Abraham Maslow, Douglas McGregor, Rensis Likert.gnd Chris Argyris.
Administration
The human relations approach has been criticised for its manipulative orientatiog. It is
alleged that the aim of the movement is to manipulate the man in organisation td qchieve
higher productivity. It is also criticised for ignoring the institutional and social system
variable in understanding the organisation.
4.4.4 Behavioural Approach

Herbert Simon's '~dministrativeBehavi6ur' is a critique of the older Public Administration.
More impodantly, it sets forth the rigorous,requirements of scientific analysis in Public
Administration. Simon's conclusion abodt some of the classical 'Principles', was that they
were unscientifically derived and were "no mote than proverbs". He rejected the
politics-administrati~ndichotomy: and at the same time brought in the perspective of
logi .id positivism for the study of policy-making and the relation of means and ends.
Reflecting the perspectives and methodology of behaviouralism in psychology and social
psychology, Administrative Behaviour pleaded for the enforcement of scientific rigour
in Public Administration. The substantive focus w s on "decision-making", and as Simon
inhisted, "If any "theory' is involved. i t is that decision-making is the heart of
\
administration, and that the vocabularj of administrative theory must be derived from the
logic and psychology of human choice".
Simon's approach provided an alternative detinition of Public Administratjon, and
widene'd the scope of the subject by relating it to Psychology, Sociology, Economics and
Political Science. In the development of the 'discipline' he identified two mutually
supportive streams of thought. One was engaged in the development of a pure science of
administration which called for a good grounding in social psychology; and the other in
the development of a broad range of values and in working out prescriptions for public
policy. 'The second approach was, in Simon's view, analytically far-ranging. It would
imply the assimilation of the whole of Political Science and Economics and Sociology as
well as Public Administration, Thus Public Administration, he feared, might lose its
ideptity in the second approach. But he favoured the co-existence of both the streams of
th&#t for the growth and development of+thediscipline. As lie said, "there.does not
appear to be any reason why these two dcClelopments in the field of Public ,Arlmrnistration
should not go side by side, for they in no way conflict or contradict. But the workers in this
field must keep clearly in mind in which area, at any given time, they propose to work".
4.4.5 Developinent Approach

, The ecolo$ical approach to the study of administration originated in the wake of the
emergence of the Third World and increasing realisation of irrelevanci of most of the
theories to the study of administration. To quote Robert Dahl, "The
I wetern organisation
study of Public Administration inevitably must become a much more broadly based
discipline, resting not on a narrowly defined knowledge of techniques and processes, but
rather extqlding'to the varying historical, sociological, econdmic and other'conditioning
factors,,,.": ' h i s suggestion has been taken up as a challenge and efforts have been,rnade
in the study of Public Administration in the developing countries in a bid to "establishing
propositioas about administrative behaviour which transcend national boundariesM.'Such
efforts have given rise to Comparative Public Administration and Development
Administration.
4.4.6 Public Policy Approach

The Social -Sciences' general concern for social engineering has resulted in the laying of
emphasis ?n public policy. The study of Public>Administrationhas also been influenced by
the public~policyperspective. The abandonment of politics-administration dichotomy
'
made the public policy approach agreeable to administrative analysis.
1
videi ice from the practical world of administration hqs brought out the criteria of a close
nexus between politics and administration. As governments seek to formulate and
implement more and more welfare programmes, the promotion of policy studies in pubtic
Administrationgathers momentum. At this stage, the study of Public Administration has
been gaining !in m i a l relevance no doubt; but its boundarips as a descripgve study are not
asclearly distinguishable now as ,they used to he in the olden days of politicsadministration dichotomy. The discipline, to many Public Administration analysts, has
gained in vigour and rigour, but it has suffered,a crisis of identity with diversificatiori and
'
strength.
'
34
.:,
be Nature of
Public
~dministration
4.4.7,PoIitical Economy Approach

he
Another development,in the study of Public Administration is brought about by the

adoption of the political ecphorny approach to the analysis of administrative problems.
This is associated witB the moving of Political Science closer to Economics in the interest
of greater theoretical coherence and better policy guidance. Economists like Anthony
Downs and Gordon Tullock have gone over the boundary by experimenting with the
application of economic methods and models to. political problems. Thus Public
Administration as a branch of Political Science and on its own has moved'towards a liaison
with Economics.
Q e liberal democratic tradition in the evolution of Public Administration as described

above shows that, starting, with an assertion of indepkndent identity, it has moved towards
the assimilation of ideas, methods and techniques of different Social Science disciplines.
Thus the scope of the discipline seems to be broadening while the question ot ~hidentity
remains unanswered. ,

Note :i) use the spabe below for your answer.
1) Explain different phases in the.evolution of Public'Administration'in Liberal
r-
Democratic Traditions.
.......................................................................................................................................
.
....,.;........;:..; .......................................................................................................
....*..
\-
;
L.
A ,
.I
4.51 A CHART INDICATING THE DIFFERENCES
BETWEEN VARIOUS APPROACHES
Politics-Administration
DichotomyApproach
Structural
Approach
Human Relations
Approach
Behavioural
Approach
(1) Politics and adrpinistration are

distinct,
( 1)
(I) Emphasis on
the human side
of the enterprise.
(2) ~diiticsis concerned with policy

_ making. administration with
execution ofblicy.
(2) The focus is oh

economy and
efficiency.
(2) Brings out the

limitation of the
machine concept of
organisation.
(1) Deals with the

"inside" hunian
being with a focus
on his values and
rationality.
(2) Decision-making
is considered to be
the heart of the
adminismion.
A value-free
Sciepce of Managernent.
, (3)The location of
politics is
legislature and'khe
Cabinet; the
location of
administration
the executive arm
of the' govewrnent.
-.
(yl) A yalue-free
Science of
Management.
(3) ?Public" aspec$,of

Public Admini+
tration was
dmppe'd.
(4) Emphasis on the

structure.
(3) Emphasis on the

social and psychological factors of
work situations.
(3) Widens the scope

of the subject by
relating it to Psychology. Sociology
etc.
(4) Deals with the

relationship
among the people
working in organisation.
Development Approach
Public Policy Approach.
Political Economy Approrcb
( I ) Emphasis on the study of

the developmental aspect
1 of the administration.
(2) Empl~asison historical, socioeconomic, political factors
wh~chconditi~ndevelopment.
(1) Emphasis on Public policy.
(1) Empharis ~1the applicatim

of economic methats arid
models of political problem.
(2) Emphasis on the h b l i c
Admiiistration's closer inter,
relationship and interaction,
with ~ L i t i c ~ ~ pokles.
o m c
(2TWith the fohulation and implemeqtatioq of *elfarc programmes, policy study

assumes greater significance.
4 6 MARXIAN TRADITIONS
The October Revolution of l9,I7 generated debate among the Marxists on the role of
bureaucracy in Russia. Butt the Marxist interest in the bureaucracy. organisation and
management became pronounced only in the decade following the Second World War and
developed in a number of directions.
We have to go back to Marx, to understand the classical Marxist view of bureaucracy.
Although Marx has not paid much attention to the concept of bureaucracy, hisviews dn
bureaucracy and its relation to the power structure of the society found in his major works
,
provide an important clue to the understanding of the later developments in the M xist
thought on bureaucracy. His ideas on bureaucracy figure mainly in his wok. 'The%*
Brurnaire of Louis Bonaparte.? I4is ideas about bureaucracy can be dnderstood &hen
considered within the general framework of his theory of class conflict. the crisis bf .
. capitalism. and the emergence of communisrfi. In the wider context of class struggle Marx
regards bureaucracy as an instrument of the dominant ruling ciass, promoting its particular
interests,'lts existence and development thus have a transient and parasitic character. From
this point of view bureaucracy and further bureaucratisation become unavoidable in a
society divided into classes. Marx envisaged that with the abolition of the classes, the State
and its bureaucracy would 'wither away'. The "withering away" of the bureaucracy would
mean its gradual absorption into the society as a whole. Thus instead of having an
oppressive structure, Marx visualised that in a Communist society, the functions of the
bureaucracy would be taken over by the members of the society themselves. The
administrative tasks shedding their exploitative character, would come to mean
administration df things and not of people. This philosophic stance of Marx has hqd a great
influence on his followers as well as on his critics.
The October Revolution,of 19 17 in Russia and the establishment of socialist government
in many countries of the world in subsequent years led. to experimentation with Marxian
ideas. There has been in the Socialist world a proliferation of bureaucracy and a growing .
, tendency to apply Western management techniques. Lenin viewed the strengthening of the
,centralise'd bureaucracy in Post-Revolutionary Russia as an indication of the immaturity of
socialism and the inadequate development of forces of production. Lenin like Marx
, considered it a transitional phenomenon. In contrast, the critics of the system have put
forward theories regarding the bureaucracy as a "New Class", i.e. a newly emerged class
-,
in Soviet Union and other socialist countries ruling in the name of proletariat.
' It is indisputable that Marxinrr siudies of bureaucracy,* its organisation and management
'
'
have added a new dimension of the study of Public Administration and'helped to develop
it. The attempts of Stewart Clegg and David Dunkerly, Nicos Mouzelis, Braveman, and
many others to build a radical organisation theory have led to some significant advances in
the study of Public Organisation. ~ndeed,the Marxian traditions hate placed the study of
Public Administration in the widg.r-perspective of social transformation.
Check Your Progress q

Note : i) Use the space beloy.foryour-.answer
.* .
ii) Check your answer with those given at the end'ofge unit.
L..,
1) Explain Marx's views'on bureaucracy.
Evolution of Public
Admlnlstration
The Nature of P~~hlic

Administration
*-
4.7 LET US SUM UP

The evolution of Public Administration was examined in the framework of absolutist,
liberal den~ocraticand Marxian nraditions. The Stale in the ancient times was dominated by
an abso1utir;t monarchical system for a long time. I<autilya's ArtIaasastra describes the
science of Administration in relation to the authoritarian monarchy. Sornc of the principles
of administration described in 'Arthasastra' have rekvance to the Present time probably
because of the continuation of authoritarian traditions in the modem state. The Industrial
Revolution of the late 18th and 19th Century resulted in the emergence of a liberal
democratic state in many parts of the world. The rnoder~iPublic Administration is a
by product of the liberal democratic state. Different phases in the evolution o f Public
Administration in a liberal democratic state reflect those of the social transformation in
these societies. The events of the October Revolution of 19 17 in Soviet Union resulted in
the study of Public Administration from a Marxian perspective. Thc proponents and critics
of Marxism and socialist practices have enriched the field of inquiry in Public
Administration. The diversity of human experience in respect of governance and the
ideological moorings of the people provide a battle grourld fur the ideas and practices in
4.8 KEPI WORDS

Corporal law : Law related to punishment.
Dichotomy : Division into two.
Edict : Order proclaimed by authority.
Paradigm : Example.
Proletariat : Class of industrial workers.
4 9 SOME USEFUL BOOKS

Bhattachaqa, Mohit, 1987. Public Adma'rri.strati~n;
The World Press Private 1,td.: Calsutva.
Golernbiewski, Robert T., 1977. Pidhlic Ad~ninistrafionos D e v ~ I o ~ ~Di.rt.ipliize;
in,~
(2 volumss) Marcel Dekker : New York.
Nicholas Henry, 1980. Pzcblic Administration and C"utvlicsAfibit s; Pre~~oict.
tIall Inc.,
Englewood cliffs: New Jersey.
Nigro, Aex A and Nigro, Lloyd G., 1980, Modern Flthltc Aiz'nlirai.~trarion;Harper and Row:
New York.
Rmd, Rstvindra D.,1989, Adazinistmtivr: Thir~kets;(Ed$)
Sterling
,
Publishers : New Delhi.
Sharkansky, Ira, 1978. Public Admittistmtion-Policy Mubciptg in Conventional Agencies;
Wand McNally College Publishing Company: Chicago.
----
4.418 ANSWERS TO CHECK YOUR PROCiWESS

EXERCPSES
-
Check Your fiagrcss 1

1) See Section 4.2
Check YOME
Progrw 2
1) See Section 4.3
P
Check Your FDpogrw 3

1) See Section 4.4

1) See Section 4.6
COMPARATIVE PUBLIC
Structure
,
5.0
5 I
5.2
5.3
5.4
Objectives
1ntrod;uction
What to Compare?
Levels of Analysis
The Range of Comparative Studies
5.4.1
54.2
5.4.3
5.4.4
5.4.5
5.5
Inter-institutional Analysis
Intra-national Analysis
Cross-national Analysis
Cross-cultural Analysis
Cross-temporal Analysis
Nature of Comparative Administrative Studies

5.5.1 Nonnat~veto E~npirical
5.5.2 Ideographic to Nomothetic
5.5.3 Non-ecological to Ecological
5.6 Scope of Comparative Public Administration

5.7 Significance of Comparative Public Administration
'5.8 Conceptual Approaches in Comparative Public Administration
5.8.11 Bureaucratic Approach

5.8.3 General Systems Approach
5.8.4 Ecological Approach
5.8.5 Structural Functional Approach
5.8.6 Development Approach
5.9
5.10
5.1 1.
5-19
Let Us Sum Up
Key Words
Some Useful Books
5.0 OBJECTIVES
After you have read this unit you should be able to:
9
explain the significanceof Comparative Public Administration
* explain the nature and range of comparative studies: and
describe the conceptual approaches in Comparative Public Administration.
I
521 INTRODUCTION
Dear student, comparisons of administfative'systems has had a long traditibn. But a focus
on this aspect of administrative studies is about forty years old. Only ttfter the Second
World War and with the emergence of new nations in Asia and Africa, a vigorous interest
in compar*ve studies of Public Administration has evolved. Comparative Public
Administration, in simple terms, refers to a comparative study of government
administrative systems functioning in differentcountries oE the world. The nature of
Comparative Administration has vast ramifications and ranges from the narrowest of studies
to the broadest of analysis. To understand the meaning of Comparative Public
Administration, it would be desirable to look at the types of comparative public
.
administration studies undertaken by scholars in the field. In this unit we shall examine the '
meaning, scope, and nature of Comparative Public Administration. We shall also discuss its
conceptual approaches.
5.2 WHAT TO COMPARE?
Administration
In comparative (public) administrative studies, the unit of analysis is an administrative

system. Therefore, the focus is either on the .whole of an adtllinistrative system or on its
various parts. Briefly, the subject matter of comparison would be one or dl of the
following phenomena:
i) Environment of the administrative system.
ii) The whole administrative system.
iii) The formal structure of the administrative system with a focus on the pattern of
hierarchy, division of wgrk, specialisation, authority-responsibility network,
decentralisation, delegation, control mechanisms, procedures, etc.
iv) The informal organisational patterns existing in an administrative set-up, including
the nature of human groups, the relationships among individuals, motivational
system, the status of morale, patterns of infomial communicatiori and the nature of
leadership.
The
roles of the individuals.
V)
vi) The interaction between the persoinality of individuals and the organisational system.
vii) The policy and decisional systems of the organisation that link its various parts.
viii) The communicational system, which also involves the feedback mechariism.
ix) The performance of an administrative system.
You would notice from the foregoing discussion that an administrative system is noj-a
simple entity. There are intricacies of its functioning which will be highlighted in any
comparative analysis.
5.3 LEVELS OF ANALYSIS

Comparative administrative studips can be conducted at three analytical levels: macro,
middle-range and micro. Macro studies focus on the comparisons of whole administrative
systems in their proper ecologicai contexts. For instance, a macro study would involve a
comparison of the administrative systems of India and Great Britain. it will conlprise
detailed analysis of all important aspects and parts of the administrative systen~sof the two
nations. It will be comprehensive in its scope. Though the studies of macro level are rare,
they are not impossible to be taken up. Generally, the relatisnsl~ipbetween an
administrative system and its external environmentme highlighted in the macro level
studies. The middle-range studies are on ckrtain important parts of an administrathe
system that are sufficiently large in size and scope of functioning. For insthce, a
comparison of the"structure of higher bureaucracy of two or more nations., s comparison of
agricultural administration in two or more countries or a comparison of' local government
in different,countries will form part of middle-range studies.
I
Micro studies relate to comparisons of an individual organisation with its counterparts in

other setting's. A micro study might relate to an analysis of a small part of an
administrative systein, such as the recrukment or training system in two pr more
administrative organisations:Micro studies are m0.m feasible to be undertaken and a,large
number of such studies have been conducted by scholars.of PublicA~ninisaation.In th;
contemporary Con~parativePublic Administration, all the three types of studies mexist.
'
Another relevant question that arises is what is the range of comparative administrative
studies? What type of sttidies arepnerally included in this realm? In fact, the scope of
Comparative Public Adminjstration~atudiesis so'wide that a variety or analysis farm part of
this branch of knowledge.
- .
5.4 THE R4NGE OF COMPARATIVE'STUDIES,

Let us now briefly outline the types of comparative adminish-ativesadies. Broadly there,
are five types of studies. They are:
Comparative Public
Administratian
5.4.1 Inter-imstltatiomnal Analysis

It involves a comparison of two or more administrative systems. For instance, a
comparison of the structure and working of the Home Ministry of the Government of India
with the Defence Ministry will be a case of inter-institutional analysis. Such comparisons z
could involve the whole of an administrative organisation or its various parts.
5.4.2 Intrpnational Analysis

'.When an analysis in a comparative perspective is taken up among various administrative
systems functioning within a country, it would be an intra-national analysis.' Comparison
of district administration in Bihar and Punjab would be an example of such an analysis.
5.4.3 Cioss-national Analysis

When two or more administrative systems (or their parts) are compared in the settings of
different nations, this would be cross-national analysis. For example, comparing the
recruitment of higher civil service of China, Thailand and Tanzania will form an examflle
of a cross-national analysis. '
5.4.4 Cross-cultural Analysis

,
A cross-national analysis of administrative system involves countries forming part or

different "cultures", this would be called a cross-cultural analysis. For instancf, comparing
the admisiistrativesystem of the USSR (a socialist state) with the U.S.(a capitalist system)
could be termed a cross-cultural analysis. Even a comparison between a developed country
(e.g. France) with a developing country (e.g. Algeria) or between a developing democratic
country (e.4. Philippines) and a developing Communist regime (e.g. Vietnam) will be
covered in a cross-cult&al comparison. Thus-the word "cultural" in the category "crossculiural" has a broad connotation and involves an aggregation of distinctive political,
economic and socio-cultural traits of a particular system and its environment.
Such a comparison involves diff2rent time-frames for analysis. For instance, a cornparisoa
between the administrative system prevailing during Ashoka's reign and during Akbar's
regime would be a cross-temporal analysis. Likewise, comparisons,between the
administrative systems of ancient Rome and modem Italy, or between the administrative
practices prevailing during thd period of Jawaharlal Nehru and Indira Gandhi would fall
under the rubric of cross-temporal analysis.
,
A cross-temporal analysis may be inter-institutional, intra-national, cross-nationai or crosscultural. For instance, a comparison of the administrative control mechanisms prevailing
during the times of Julius Caesar, Alexander, Harsha, Attaturk and Nasser will be crossnational as well as cross-cultural. Exactness in cross-temporal studies is not possible
because of differences in the nature of historical sources available for various periods. But
some broad conclusions on the basis of existing sources can be reached throu h sucll
studies. Nimrod Raphaeli has defined Comparative Public Administration a stu y of
Public Administration on a comparative basis. The Comparative Administration Group
referred to Comparative Public Administration as the theory of Public Administration which
belongs to diverse cultures in the'na!ional settings and the body of factual data by which it
can be expanded and tested. Robert Jockson has defined it as the phase of study which is
-coneemcd.with making rigorous'cross-cultural cornparhons of the structures and processes
involved in the activity of aPministering public affairs.
ti
--
d e c k Your Progress I\
NO& : i) Use the space below for your answgrs.
ii)'~heckyours answers with those given at the end of the unit.

1) What are the units of analysis in Comparhtive Public Administration'?
':
'IIre Nature (IT f'ubi~c

Adri~itristrrtion
.......................................................................................................................................
2) What is.cross cultural analysis'?
.................................................. .....................................................................................
.......................................................................................................................................
....................................................................................
...................................................
.
.......................................................................................................................................
.......................................................................................................................................
.......................................................................................................................................
3) Explain cross temporal analysis.
.......................................................................................................................................
0,
li
5.5 NATURE OF COMPARATIVE ADMINISTRATIVE
STUDIES
1:
Some scholars believe that conlparison is an inherent part of any social analysis and
whenever we examine any social problem or issue, we cannot do so without employing the
comparative approach. Famous social scientist, Durkheim, subscribed to this approach.
Further, Eisenstad believes that there is no distinction between comparative research and
general social research, for the methods of the two are similar. On the other hand, there are
other scholars who believe that comparative inquiry has special focus and techniques.
Before the Second World War, there were; several studies on comparative politics and
administration but such studies were primarily descriptive and normative. Fred Riggs, the
toremost scholar of Comparative Administration had observed that there were three trends
which were noticeable in the comparative study of Public Administration. These were :
.I) "normative" to "empirical", 2) "ideographic" to '$ornothetic" and 3) "non-ecological"
to "ecological". We shall~now-brieflyrefer to thcse trends.
5.5.1 Normative to Empirical

Traditional studies of Public Administration were very much influenced by the classical
approach. These studies emphasised upon 'good administration' which was based on
following cettain ideal principles. Efficiency and economy were considered to be the
primary goals of all administrative systems and there were certain principles of formal
organisation which helped-in the achievement of these goals, nlerefbre, a few models of
administration, primarily of the western democratic world, were considered to be useful for
all other administrative systems. As a number of developing countries emerged on the
scene and with the success of the comn~unistsystems in various p m of the world, it
became clear that a limited culture-bound normative approach to the study of Public
ldministration was not adequate. The behaviourd approach highlighted the value of
studying the facts and reality ir,a significant manner and therefore the comparative studieh
of Public Administration after the Second World War started assigning grater importance
to the study of administrative "reality" existing in diffe~ent.countries and cultures. These
patterns and behaviom of
studies were more interested in finding out facts about smcadministrative systems rather than in describing as to what was good for each system.
In &is context, it may be mentioned that two important trends have influenced the
character of some administrative studies in the past two decades or so. First, the cowept'of
'T)evelopment Administration" which focuses on the goal-orientation of administrative
I
,
I
system is basically a nonnative concept .Thougl~r l con\iders reality as the basis of such
goal4rientation, the emergence of Development Admtn~strationas a focus inquiry since the
early sixties, Comparative Public Administration (encompassing the field of Comparative
Development Administration) has evolved a synthesis between the normative and the
elements of balysis.
The second movement that bas influenced the nature of Comparative administrative ~tudies
is phe Flew Public Administration which stressed the idealistic.goal lo be achieved h! an
system and thus tried to bridge the gap between the "is" and "should"
aspects of Public Administration. In the late sixties, the New Public ~dministrationmarked
the "post-behavioural" trend and its impact on most administrative analysis has been
profand. .
Z
9.5.2 Ideographic to Nsmsthetic

The words "ideographic" and "nomothetic" have been used by Riggs in specific contexts.
An ideographic approach concentrates on unique cases, e.g. a historical event, study of
single agency, single country or even a single cultural area.
Nomothetic approach, on the other hand seeks to develop generalisations and theories
which are based on analysis of regularities of behaviour of .administrative systems. Thus
earlier studies of Comparative Public Administration which were ideographic in character
focused on the study of individual nations or institutions and their approach was primarily
descriptive. No serious attempt was made to compare various nations and systems.
Generally, within a volume on comparative governmental administraiion, there were
separate chagters on different nations, without any attempt to Imk at the similarities or
differences among such nations in terms of their administrative systems. These studies,
therefore, were 'comparative' only in name and did not help in the process of
theory-building or in developing generalisations concerning the functioning of
administrative system in different settings.
Nomothatic studies analyse various administrative systems in comparative context in a
manner that will help in the generation of hypothesis and theories. The qbjective of such
studis is to look at the similarities and differences of various administrative systems
existing in different nations and cultures and then draw certain generalisations relating to
administrrltive systems fuqctioning at various levels and in different settings.
It may be noted that the ernphas~son nornothetic compai-ativestudies is more noticeable in
the United States of America than in Europe or Asia. Presently, a large number of
comparative administrative studies are ideographic in character. Bven these studies, it
must Ik admitted, contribu'le to knowledge in Comparative Public Administration. Analysis
or theory-building has to be based on facts and description. And therefore, in the present
state of comparative administrative studies, a co-existence of ideographic and nomothetic
studies may have to be accepted.
5.5.3 Noa-ecological to Ecological

The traditiqpal studies of Comparative Public Administration were mainlv non-ecological,
These studies mentioned about the environmgnt of administrative system only in a casual
manner, There was no serious attempt to examine the relationship between the
administrative system and its environment, Thus, it had become very difficult to identify
the sources of differences among various administrative systems. Howeyer, studies
undertaken after the Second World War have been specifically looking at similarities and
differences among environmental settings prevailing-in different natioirs and cultures and
have been attempting to examine the impact of environment on the administrative system
an the onk hand ar .d the influence of the administrative system on the environment, on the
other. Tne well-kno*!n ecological approach relates to the study of interrelationship
between the system and its environment. This approach, popularised by Fred Riggs, has
been regarded as an important development in the study of Public Administratiad.
"
It may be noted that most of the ~omparativestudies of Public ~dministrationafter the

Second World War have been referring to the environment of the administrative sygtems,
but the @n emphasis is still on analysing the impact of the environment on Public
Administratior). The analysis relating to the influences of the administrative system on the
'environment is still inadequate. Nevertheless, a change in emphasis is noticeable and the
ecological onentation is gaining stronger footing in the contemporary comparative
- adrnidsLsp'ti.ve anajysis.
>
.?
I-
Compnrntive Public
Administration
he Nature of Pubik
Administration
At this stage it may be painted out that when Riggs presented the above three trends in
1962; he was conscious of the fact that thsre is bound to be a co-existence of older as well
as the newer emphasis in the comparative studies. Accordingly, today there are normative
as well as empirical, ideographic as well as nomythetic and non-ecologicd aq,wdl a!.
ecological approaches co-existing in the literatile on Comparative Administratiem '
Note : i) Use the space below for your ahswers.
'ii) Check your answers with those given at the end of kbe unit.
1) Distinguish betweep normative and empirical studies:
2) How edologiral studies are'different from non-ecological studies?
........................................................................................................................ ...+..,...
. . . . . . . . . . . . . .
.
...............................
.........................................................
i...............;-.:.:.b.;:..,.::i.A,
..,..-,: :
r..:
5.6 SCOPE OF COMPARATIVE PUBLIC
.ADMINISTRATION
' The scope of Public Administration has increased enormously during the twentieth century. '
The importance of Public Admiqistration has grown substantially with the success of the
~ussiahRevblution, increased role of state during and after the Second World War,
measures of welfare adopted in most of the countries and growth of large number of
'developing countries. Taday, Public Administration influences almost all aspe~gi~f human
life. Even in a capitalistic country like'the USA, the role of govemment has expanded in an
effective manner. The net result of this increased role of state or govemment has&eltn that
large number of specialised branches of Public Administration have come up'on the scene. I
Some of these branches aie economic administration, social administration, educational
administration, health administration, transport administration, space administration, etc.
Besides, there are areas such a s state administration, urban administration, rural
administration, financial administration and personnel administration which have *become
istegrd p&s 6f the vocabulary of govemment. Therefore, when we comp'are
administrative systems existing in various nations or cultures, we can compare either the
'
whole of the administhive systems or some important parts of such systqms. Today, we
find a number of studies on comparative educational administration, comparative health
administration, compaktive economic administration, comparadve social adqhinistration
and other related areas. Further, there are a very large number of,publicationa on
comparative urban administration and comparative rural administration. It be~omes\ckar
that t h e s m p of Comparative Public Administration is as vast as that of its mother
discipline, vk Public Administration. Anything that & ' a ~ t l v e can
' be
compared.
Whi* di~ussingthe scope of Cotnparative Public ~dministratian,not only the specia,laed

branches ,of administration have' to be taken into W W ~ Further
.
it also needs to'be , '
i
stressed once again that comparative studies can be conducted at macro, middle-range and
micro levels. These studies can be inter-institutional, cross-national, cross-cultural and
cross-temporal.
Here an interesting question arises: what do we include under the rubric of "nature" of
Comparative Administration and what do we put under the heading of "scope" of
comparative Administration? The best advice that can be given to students of Public.
Administration is that to attempt a neat distinction between the 'nature' and 'scope' of
comparative Public Administration may no! be a very useful effort. These two aspects are
overlapping and have common stress on the types, levels, and range of comparative
studies.
Now a brief reference to the'signiticance of Comparative Public Administration is in order.
5.7 SIGNIFICANCE OF COMPARATIVE PUBLIC

ADMINISTRATION
The importance of the study of Comparative Public Administration is we'll accepted today.
There are two factors that make comparative studies significant. The first factor relates to
the academic study of Public Administration. It is believed that through Comparative Public
Administration hypotheses, generaliaations, models and theories can be constructed which
can collectively help in the scientific study of Public Administration. The.old orthodoxy of
principles of administration is not considered valid anymore and therefore now it is
believkd that generalisations relating to administrative structures and behaviour emerging
out of comparative studies in diff~rentnations and cultures can help in formulating
theoretical constructs which can provide a scientific basis to the study of Public
Mministratian. It may be mentioned that way back in 1947, a very eminent political
scientist, Robert Dalh had observed that a science of Public Administration cannot be
conceived of without adopting a comparative approach. ,
The sludy ol' C'umparat~vePublic Administration also contrihatcs to P greater understanding

of the ~ndividualcharacteristics of administrative.systems functidning in different nations
and cultures. Besides, comparative studies also help in explaining factors, responsible for
cross-national and cross-cultural similarities as well as differences in the administrative
systems.
The second important function of Comparative Public ~dministrdtionrelates to its

relevance to the empirical world. Throu~ha study of ~ o m ~ a r a t iPublic
v i Administration,
administrators, policy makers and academicians can examine causes for the success or
failure of particular administrative structures and patterns in different ewironmental
settings. It is interesting to find out through comparative analysis as to which important
f environmental factors help in the promotion of adn~inistrativeeffectiveness and which
t
administrative structures function appropriately and successfully in what type of
i environmental settings, Lastly, an administrator or policy maker can, through comparative
studies o l I'ublic Administration, have greater insight into the prtwss and slratcpics of
' administrative reforms. He can look at the structures of administrative reforms adopted by
, various nations and examine those strategies and methods which can be helpful in his own
'.country. In other words, through ('omparative Puhlic Administralion, we learn about the
Finistrative practices followed in various nations and then we can endeavour to adopi
those practices which can fit in our own nations and systems.
The importance of Comparative Public Administration lies in its academic utility in terms
6fscientific and systematic study of Public Administration and in iqproying the knowledge
about other administrative systems so that 'appropriate administrative reforms and changes
can be brought about in different nations. .
'1
' 9
,
\Nde: i) U'se the space below for your answers.
'
1) What is the scope of Comparative Public ~dministration?
Comparative Public
Adminislration

Administration
2) How comparative studies are relevant for administrative reforms?
CONCEPTUAL APPROACHES IN COMPARATIVE

PUBLIC ADMINISTRATION
1c
I
a
There are a number of approaches, models and theories presently characterising the
subject-area of Compa~ivePublic Administration. Particularly after Second World War, a
number of approaches have emerged in comparative administrative analys&. Much of this
effort is based on an adaptation of the developments in comparative ant~opology,
comparative sociology and comparative politics. We will now study different approaches
in a nut-shell.
5.8.1 Bureaucratic Approach

-an.fie~most
influential of the approaches is Max Weber's ideal-type buryucrati model. This
of hierarchy,"specialisation,role-specificity, recruitment by
by seniority-cum-merit, career development, &thing, discipline,
personal and official means, etc. The emphasis in the rnode1.i~on
%
'
'I$e,re h e beea,a number of studies conducted in a comparative context employing the

bureaucfqtic mod4 of Weber. Notable scholars in this area include Michael Crozier (on
Fiance), %RoyLairdton the Soviet Union) and Monoe Berger (on Egypt). The
methodological limifation of an ideal-type model and specific context of a legal-rational
I authority system'$ses constraints in the application of Wdber's model to the eompr!tive
,
study of bureaucracies. Nvertheless, for an analysis of the bure,aucracies, of the deweloped
countries, the model is still considered eminently useful. Dwight Waldo views Weber's '
burwucratic model a's a "paradigm" of Public Administration. .
.
a
Particularly after Second World War, a number of apprdaches have emerged in- ,
comparative administrative analysis. Much of this effort is, based on an adaptation of the
developments in comparative anthropology, comparative sociology .and comparative ,
politics.

The behavioural approach emphasises '"acts", rigorous scientific methods of data
collection and analysis, quantification, experimentation, testing, verification and an
interdisciplinary orientation. It focuses on the analysis of human behaviour in.,
admin'istrative settings.
5.8.3 General Systems Approach
Comparative Public
Administration
Further, the general systems approach views an administrative system as a subsystenl of

the society. It looks at various parts of an administrative system (formal organisation.
informal organisation, roles, individuals) and examines the interlinkages among variou~
parts. Besides, the approach analyses the dynamic interactions between the administrative
system and its external environment.
5.8.4 Eeologieal ~pproaelh

One of the most pop* approaches in Comparative Public Administration is the ecological
approach which has been stressed considerably by Fred Riggs. This approach examines the
interactions between an administrative system and its external environment. Thus the
impact of the political system, economic system, social system and the cultural system, on
the structure and behaviour of the administrative syste& as well as the influence of the
administrative system on these environmental structures is highlighted in the ecological
approach.
5.8.5 Structural-Functional Approach

A related approach, drawn mainly from Anthropalogy and Srxiology, is the structuralfuncti~nalapproach. A structure, according to this approach, is a pattern of behaviour that
has become a standard feature of a social system. Further, a function denotes the impact of
a structure on another structure and the interrelationships among various structures.
Fred Riggs has successfully applied the ecological and structural-functional approaches in
his analysis of societies and their administrative systems. His typology of "agrariatransitia-industria" systems, developed in 1957, was superseded by the typology oS "fusedprismatic diffracted" societies that was constructed in 1959. For the,past thirty years or so,
Rigg's model of prismatic society and its administrative system known as "sala" has ruled
[he contemporary model-building scene in Comparative Public Administration. Despite
criticisms and certain inherent methodological limitations, the prismatic-sala model has
fascinated the students and practitioners of Public Administration in "developing"
countries. A prismatic society, according to Riggs, is characterised by a growing degree of
structural differentiation but not matched by an equal degree of integration (coordination).
This integration lag is reflected in almost all aspects of the functioning of a prismatic
society.
A prismatic society and its 'sala' are characterised by 'heterogeneity', formalism and
overlapping. Further,. overlapping has five dimensions: poly-communalism, polynormativism, bazaar-canteen model, authority versus control and nepotism. These features
relate to the social, cultural, economic, political andladministrative systems of the
prismatic society. The details of these characteristics are found in all important books on
5.8.6 ~ e v e l o ~ m e Approach
nt
A very well-known conceptual approach in Comparative Public Administration is of
'Development Administration' which has been elaborately dealt with in a separate unit.
This approach focuses on certain characteristics of a dynam~cadm~nrstrativesystem, e.g.
goal-orientation, change-orientation, progressiveness, innovativeness, participation and
responsiveness.
Besides, the abovei there are a number of other lessiknown approaches to comparative
administrative analysis. These include "information-energy' model of John Dorsey and
decision-making model of 'Martin Landau. Nevertheless, other models have not been able
to match the comprehensiveness and acceptability of Weber's bureaucragic model, Rigg's
prismatic model and of course, the construct of Development Administration.
It gppears that the experimentation phase in model-building in Comparative Public

Administration is not vlgorous anymore. However, the enthusiasm for understanding the
varieties of administrative patterns is alive in the scholarship of Public Administration.
That is why, one can hope formewer dimensions of Comparative Public Administration
emerging on the scene'in the'times to come
check Your ~rogr;iB"s

4
,
ii) Cheok your answer with those given at the end of the unit,'
'S
47
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\ The Nature of Puhlk
1 ) Explain the bureaucratic.approach.
AdmlnMraUon
..........................................................................-.......................................-..................
,
5.9
LET US SUM UP:
comparative appr&ch has became an integral part of the Social ~ c i & inquiry. No
i exercise of systematic Social Science researchcah be complete without a comparative
focus. In this unit, we have examined the meaning and nature of Comparative Public
Administragon and its scope and significance. We have also examined the different
approaches to the study of Comparative Public Administration.
4
5.1Q KEY WORDS

Bazaar-Canteen :The "economic scene" in a prismatic society.'
2 ,
Diffracted : A social system where all structures are very specific.
Formal : The official norm, the theory, what ought to be done, as expfessed in
Constitutions, laws, rules and regulaiions.
Functionally diffuse : A structure that performs a large number of functions.
Fused : A social system.where all structures are highly diffuse.
Heterogeniety : The simultaneous,presehce, side by side, of quite different kinds of
systems, practices and iiew pbints.
, Overlapping : The extent to which what is described as "administrative" behaviour is
actually determined by non-administrative criteria, i.e. by'political, W i d , religious or
I
other factors.
Poly-rommunal: A society that is composed sf several communities.
Poly-functional : A structurj!is poly-functional whose functions are more diffuse than
,
those of an association, but more specific than those of a traditional family.
Poly-normative : Refers to the characteristic myth sy&m of the "prismatic" society.
Prismatic : The mid-area on the continuum between the "fused" and the "diffracted"
models.
,
W a : The prismatic bureau.
Structure : A pattern of behaviour which has become a standard-featweof a social
system.
tI
I
,
,
,

4
,r .
*. ..
Arora, Ramesh K., 1985: Comparative Public A&nistrotion;.Associated publishing"

House: New Delhi.
.
Raphaeli, Nimrod, 1.%7. ~ e a d i n g in
s Corhparative Public Administration; Allyn iurd
Baconi: Boston.
--
Riggs, Eied, 1964. Administration in Developirrg Cowrtries: The theory of P r i s M c

Swiery; Houghton Mifflii: Boston.
Varqa, S.P.and Sharma S.K,,1983. Conipantiw Abministratian; IIPA : New Delhi..
.
'
Comparative Public
Administration

EXERCISES
I
I
chick your Progress 1

I ) See Section 5.2
3) See sub-Section 5.45

2) See sub-bection 5.5.3

1) See Section 5.6
2)SeeSection5.7
-
~ h & kYour Progress 4

1 X See Sub-section 5.8.1
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. $1
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UNIT 6 DEVELOPMENT
ADMINISTRATION
Structure
Objectives
t
Intrqduction
Elements of Developme~tAdministration
6.2.1 Change-Orientation
6.2.2
6.2.3
6.2.4
6.2.5
6.2.6
6.2.7
6.2.8
6.2.9
6.2.10
6.2.11
Goal-Orientation
Progressivism
Planning
lnnovativeness
Flexibility in Organisntional Procedures
High Degree of Motivation
Client-Orientation
Participation
Effective Inlegratlon
Coplng Ability
6.3 Development Administration and Administrative Development

6.4 Development Administration and Traditional Administration
6.5 Instruments of Development Administration
6.5.1
4.5.2
6.5.3
6.5.4
6.6
6.7
6.8
6.9
Adminlsmtive System
Poiir~calChgunihinion
Volunuvy AbS~latlon~
Peoples Orgwiscltlons
Let Us Sum Up
Key Words
Some Useful Books
6.0 OBJECTIVES
After you have read this unit you should be able to:
explain the meaning and elements of Development Administration
distinguish between Developmcn{ Administration and administrative development; and
and traditional administration.
explain the features .pf Development ~dminis~atjon
6.1 INTRODUCTION
There is a populqr notion that th,k idea of ,Developrnent~dministrationevolved with the

emergence of a number of developing countries after the Second World W J ~ This
.
is odly
partly me. The concept has wider implications and its :evolution is npt confined to the
situations in dqveloping nations. You would find references to this concept in. the early
issues of the Indian Journal of Public Administration in the mid 1950's. However its
systematic use started in the United States of America in the early 1960's. The experience .
gained in a large-scalk American public corporation, namely, Tennesse Valley Authority,
which was set up under the New Deal of Franklin Rmsevelt, was also termed as
'Development Administration'. However, later, a number of other administrative.
! experiences, particularly those relating to developipg countries, were grouped together
under the rubric.of Development Administration. The latter were qcerned with the .
probkrns relating to improvements in the administratwe capabilit~i?~
of developing nations
iso that they may utilist in a mote rational manner the foreign assistance received by them
for dcvelopnental purpases. Thus, a series of factors helped in the evolution of the concept
~f Development ~dhinistration.th this init you will study the significance of the elements
--
f he Nature of Public
of Development Administration and the distinction between Development Administration

and administrative development. You will also study the features of Development
Administration and traditional administration.
Administration
. - I
6.2 ELEMENTS OF DEVELOPMENT ADMIINHSTRATHON

bdward Weidner, way back in 1962, defined Development Administration as a "go;lloriented" and "change-oriented" administration.To Weidner Development Administration is
~oncernedwith maximising innovation for development. According to Rigs
Development Administration refers to organised efforts to carry out programmes or projccts
Initiated by those involved in serving developmental objectives. To Martin Landau
Development Administration has come to mean the engineering of social change. We sees it
ia a directional process which is intended to make things happen in a certain way over
Intervals of time.
A numbr of other scholars also defined and refined the concept. Over the years. its
meaning has expanded in accordance with the added implications attached to it. As a
.result, one would find it, difficult to precisely define the concept of deve!opnlent
administration. At best one can attempt to explain what it implies and include> iI\ pcr the
current usage of the term. In the following section, we would outline a few of the nio\t
important elements of Development Administration existing in the literature of I'ublic
Administration.
6.2.1 Change-Orientation
DevelopmentAdministration is change-oriented administration. Change involves the
movement'of a system or a structure from one point to another. The reverse of 'change'
could be status-quo or inertia. Thus, a development.administrative system would be
dynamic and not 'static'. There is an in-built philos~phyofDevelopment Administration
'that values change. This change is a strategy for increasing the coping ability nf an
Administrative system ig relation to its-external environment as well as a rnechanisn~to
activate its internal structures.
As'we have pointed out above. Development Administration, ;is defined by Wcidner, is ;d
'goal-oriented' administration. One rilight ask a s~nlplequestion: Is an gdministrcrtive
system not necessarily goal-oriente&? Do we not define administration as a collective
human activity that is designed to achieve certain specific goalsr? Yes, it is true that all
administrative systems a s such are goal-ofiented. Yet what distinguishes the general public
(Idministration from Devclopnlts~+Idmi~?$tration
is the dominanl fi IL us on
goal-achievement in a more systematic manner. In other word!,, Debclopmen1
Atlministration is that aspect of Public Administration which is dominantly goal-oriented.
. \ I Ithese
~ goals, as Weidner points out are progressive in nature, Thus Devcl~~pmeni
Ailministration is concerned with the achievement of progressive political, economic, social
and cultural goals.
i6.2.3 Progressivism
I
The element of 'progressiveness' of goals is an accepted feature of Development

Administration. \",'t;:is progressive for one society may not be so for another society.
IVevenheless, there appears to be a broad consensug on the nature of-progressiveness of
these goals in most of the countries, particularly those which are 'developing' societies.
'1n pblitical systems, progressivism would imply greater participation of the people in
.governmental affairs. 1n.a democratic system, participation could imply strengthening of
the pressqre groups, political parties, free voting in elections and greater respect for public
opinion in governmental affairs. On the other hand. $1 in totalitarian country, participatibn
would be more of a symbolic character. But in both'types of systems, increasing
participation would involve greater share of the common man in the fonnulatioh and
j implementation of government policies, plans, programmes md projects. It is a very
difficult goal to iichieve, particularly by an administrative system. Nevertheless, it is
expected of a development administrative system a create and promote such conditions
I that will facilitate greater participation of the'people ip the process of develoamnt,
In the economic sphere. a progressive approach would involve faster pace of economic
developw-nt and a more equitable distribution of income and wealth. It would involve an
approach of economic justice where opportunities to develop economically are equitably
distributed to all sections of society.
In the socio-cultural sphere, a progressive approach would involve universalisation of
promotion of health facilities for all sections of society, sociaPjustice based on
equity, secularism and adequate opportunities to all social groups to promote their
respective cultural distinctiveness.
. ~eveloprnentAdministration,thus, is, an administration designed to achieve progressive
political, economic and socio-cultural goals. You can observe this from Figure 1.
Figure 1 : PROGRESSIVE GOALS
6.2.4 Planning
Plannina is not a prerequisite to ~ e v k l o ~ ~ e n ~ ~ d m i n i s but
~ a itt iiso the
n , most helpful aid
to the whole process of goal-ori6nted change. An Indian scholar, Pai Panandiker looks at
Development Administration as ahministration of "planned change". yeidner, however
opines that planning may or may not be a necessary condition fpr Development
Administration. Nevertheless, it is true that planning is a strategy that facilitates maximum
possible utilisation of human and material resource. And in poor countries, where such
resources are scarce, planning gains a central importance. As a programme of action to
>chieve certain specified goals in a given period, planning helps in the maximum possible
utilisation of time and other resources that make the whole process of development
effective. Little wonder, almost all developing countries have adopted socio-economic
planning as a strategy of development, and even the developed socialist countries continue
to place great reliance on the mechanism of planned development. Further, capitalistic
developed nations such as Great Britain and France have some form of 'indicative'
planning.
6.2.5 Innovativeness
Development administration is not dogmatic and traditional in its approach to problemsolving. Instead, it stresses upon identification and adoption of new structures, method .
procedures, policies, plans, programmes and projects which would hklD achieve the
developmental objectives with tbe greatest possible facilitation. Experimentation and
adoptation are the hallmarks ~f~e~elo~mental~dministration.
In India, for instance.
organisations such as District Rural Development Agency (DRDA) and Command Area
Development Administration (CADA) and programmes such as Integrated Rural
Development Programme (IRDP) and Tribal Area Development Programme (TADP) are
. examples of such innovations. Likewise, use of computers, district planning, national
education policy etc. are other instances of an on-going creative approach to the
development process.
'
This creativity is not confined to the organisational level only. At the group and the
individual levels as well, creativity in administration is feasible and its overall contribution
to effectiveness of goal-oriented change can be'immense. A development administrative
system has the responsibility to create an organisational environment which would be
congenial to creativity and innovations.
6.2.6 Flexibility in Organisational Procedures

Generally, a bureaucratic administration is considered as a synonym of rule-oriented
admiriistration. While it is true that no bureaucracy or administration can function without
an adequate set of rules, it is also true that a totally " rule-oriented" administration can fall
in the tnlp of treating rules as ends rather than as means. Such a dogmatic approach can
make an administrative system straight-jacketed and inflexible and thus make it unfit for
Development Administration
-.
Administration
promoting development as a faster pace. Developmellt oriented administration requires an

optimum flexibility of operations which would allow an administrator the required
autonomy to apply rules with discretion to certain unique and significantly distinctive
administrative situations. Though accountability for any decision made shall remain with
the administrator, yet h i will be granted adequate leeway in using the set of rules to the
advantage of the organisation and to the best of his ability and judgement. Yes, the risk is
likely to remain of misuse of any discretionary powers, yet this little inevitable risk sllould
not become an obstruction in the process of making al'Development Admir~istration
optimally flexible in its functioning. Otherwise, the ideal notions of creaiivity and
innovation will remain only myths.
6.2.7 High Degree of Motivation

Motivated personnel are the backbone of any organisation designed to achieve certain
progressive goals. A development administrative system needs a set of highly motivated
personnel at top, middle and lower levels. Such personnel should be committed to the
progressive goals designed to be the achieved and should have a high degree of
enthusiasm to accomplish those goals. Their narrow vested interests,or comforts should
not deter them from acting in the highest interest of the organisation atad the society.
What factors can motivate the personnel functioning in development administrative
organisation? Essentially, the maxim of need-fulfilment will apply to any group of
individuals entrusted with the responsibilities of achieving ccr~dingoals. For the
developmental administrative personnel too, the bases of motivation will remain the same.
Notwithstanding this commonality, it may be stressed that in a development administrative
system, the personnel need to possess and demonstrate extra zeal, extra dedication,and
even perseverance to achieve lofty progressive goals of change. In case it is not possible to
create such a cadre of motivated people, there is a likelihood of routinisation of
administration resulting in only modest performance.
How to get a group of highly motivated people to guide and man development
administrative organisations is a difficult question. Yet, a rigorous exercise in building
individuals and groups in a planned manner through proper training cann:be attempted.
Behavioural training for attitudinal change can be effectively employed for creating a new
class of motivated individuals.
A development administrative system is a client-oriented or a beneficiary-oriented

administration. It aims at providing maximum benefits of its services and products to d ~ e
very people for whom the organisation is designed. In other words,Development
Administration is"peopfe-centred" administration which accords primacy to the needs of
its .beneficiariesand tries to tune its programmes, policies and actions to these needs.
Here it may be appropriate to refer to a very important aspect of motivation that is pre. eminent in any service-oriented or beneficiary-oriented administration. It is called
"extension" motivation, which means motivation to "help" people. Western motivation

theorists such as Maslow, Herzberg and McClellmd have not highlight& this particular
type of motivation, but Indian social psychologists have been successful in identifying and
highlighting this notable phenomenon.
The assumption of extension motivation is that there is a desire in eyery man to be of use
to others. There are varying intensities of extension motivation among people, depending
on their socialisation and orientations. It can be suggested without much risk of
contradiction that in a beneficiary-oriented administration, existence of functionaries with
a high degree of extension motivation will be a great asset in moving that organisation
towards its goal of responsiveness. No doubt, a development administrative organisation is
a "responsive" organisation. It is responsive to the needs, wishes and aspirations of .the
people that it purports to serve. Responsiveness is a trait that would do good to any
administrative system, but for a development administrative organisation, it is a
fundamental'prerequisite to its successful existence.
6.2.9 Participation
We have discussed earlier that progressive political goals in a society will involve
pdcipation of the people in governmenfal affairs. The notion of participation gains added
importance in the actual functioning of a development administrative system.
~velopmentAdministration involves the participation of the people or the beneficiaries in

the formulation and implementation of development programmeg. In identifying goals, .
prescribing objectives formulating plans, designing action strabgies, implementing .
projects and evaluating performance, the role of the beneficiaries is of utmost importance.
m a t is why the block level and district planning are gaining increasing importance in
pvelopmentAdminis&ation in India. Not only participation helps in making policies and
plans more realistic m d down-to-earth, it also mobilises people's cooperation and support
in implementing development programmes with minimum cost in terms of manpower,
time and money.
participation of the people in development programmes depends on three factors. These
are:
i) Ability PO participate which in turn depends on their level of formal and infonnal
education;
ii) Willingness to participate which in turn depends on the socio-psychological framework
of society, groups and individuals, aqd
iii) Opportunity provided 10 the people by the governmental organisations to participate.
Their absence may cause low participation.
Participation has an important concomitant in decentralisation. A development
administrative system effectively utilises the strategies of delegation and consultation and
thus makes the administration "gross-root" oriented. People's willing cooperation is sought
and mobilised by the governmental authorities and this cooperation and collaboration
becomes a potent instrument'for making the process of Development Administration
successful.
+
Bringing togcthec a host of groups and authorities for the achievement of common
developmental goals would require, a high degree'of integrative capacity in an
administrative organisation. Verily,DevelopmentAdministration is characterised by a high.
degree of coordination or integration. And in case the level of integration is low, the
developmen@ results are likely to be adversely.affected.
1n' a development administratiue situation, coordination is required to be affected at

various levels, among different organisations and units, among various positions and
ffinctionaries and among the resources available for the achievementsof goals. Lack of
coordination is' bound to result into wastage of resources and mitigation of effectiveness.
As is well known, any dedeloping society experiences a proliferation of structures to equip
itself to undertake specialised b k s . But what generally happns is that the level of
specialisation of functions and structures increases.'But this is not accompanied by a
required level of coordination. This gap%tween specialisation and coordination is termed
I
as "integration lag". Fred Riggs calls thtt society "Prismatic" where the level of
integration (coordination) is less than that of differentiation (specialisation). In a Prismatic
Society,
I < D (I stands for '~nte~ration

lag", ' D stands for Development).
6.2,11 Coping Ability

A development administrative system is an "open" system. It receives inputs regularly
from the environment and attempts to respond through its outputs, viz., decisions and
actions. NO doubt there is a continuing interaction between a system and its environment
and this miprocity of relationship is an important trait of Developmen Administration.
Every development administtative system functions in an environment which has its set of
substruchlres. For instance, there are the political, economic, social and cultural
(including technologicalj environments in which the~evelo~ment~dministration
has to
function. Obviously, the influences of these environments affect the nature of functioning
rad effectiveness oflSevelopment#dministration. The political environment places
ChandS for a change and provides direction of movement, the economic environment
thc agenda of action of the administrative system and puts constraints of resources
on it and the socio-cultural system creates the miIieu in which the development
cdmihislmtive system has to operate. This is clear in Figure-2.

AdmCistration
Figure 2 : ENVIRONMENT OF DEVELOPMENT ADMINISTRATION
DEVELOPMENT ADMINISTRATION
I
Cultural (Including Technological)
It does not imply that Development Administration is only a dependent variable and lacks
its own mechanism to infllience the environment. Essentially, the process ofDeveloprhent
Administration is interactional and therefore it would be a mistake on the part of theorists
to present it only as a uni-directional process.
One thing is clear in this context: Development Administration has to respond to the
demands and challenges arising from its environment. Sometimes these challenges are
moderate and modest and thus do not strain the development administrative system.
However, on occasion, the challenges are serious and test the coping ability of the
administrative system. A development administrative system, therefore, continuously tries
to enhance its coping capacity. This is done through a process of greater sensitivity and
responsiveness to the environment and the capacity to strengthen its administrative
structures, behaviour and processes. This is what is known as "Administrative
~ e v e l o ~ m e nabout
t " which we would discuss in the next section. At this stage it should be
adequate to mention that Development Administration is goal-oriented, change-oriented,
progressive, planned, innovative,flexible, motivational, client-oriented, participative, it is a
highly integrated administrative system with substantial coping ability.
6.3 DEVELOPMENT ADMINISTRATION AND

ADMINISTRATIVE DEVELOPMENT
'
In the literature onDevelopmentAdministration,two notions have been interwoven: first

the "administration development" and second, the "development of administrative
capacity". The former is termed as"&velopmentAdministration", and the latter
'~dministrative~evelopmcnt".
Both the phenomena are interdependent: any society
experiencing notable development in its political, economic, social and culturd systems is
likely to affect in a matching manner, its administrative system, and conversely a
well-orgmised and competent administrative system is likely to direct the process of
all-roundldevelopment of society in a competent manner. These twin processes are so
much interlinked that it is difficult to assert as to which would bb more prominent and
which would precede the other. Little wonder that Fred Riggs has found,in4'D~vefopment
Administration" and 'YidministrativeD~veloprnent"a "chicken and pgg" relationship.
Whatever be the sequence, it is undeniable that administrative devklopment is an essential

corollary toDevelopmqnt Administration. Administrative Development,implies the
enhancement of the capacity and capability of an administrative system to achieve the
prescribed progressive goals. The process depends on modemisation of administrative
structures and processes, induction of a spirit of innovation, cultivating a highly motivating
climate, increasing differentiation, effective integration, and positive attitudiaal and
behavioural changes among the administrators. The strategies of administrative reform are
a part of the process ofAdministrativel3evelopment.
6.4 DEVELOPMENT ADMINISTRATION AND

TRADITIONAL ADMINISTRATION
With the emergence of development phimistration, some scholar&have awmptd a

distinction between development and traditional administrations. The term tradition$
administration is used as a synonym for 'general' administration and even &venue and law
and order administration. The distinctions are generally made on the hllowing lines:
i)
56.
m e objectives of traditiond administration are simple while those of Development ,

Administration are multiple and variegated.
'
al
has a limited scope of operatmns, while Developmetlr
ii) ~ ~ d i t i o nadministration
~dministrationhas a much vaster scope of fbnctioning.
?
iii) , &velopmentAhministratiOn is more complex in its parts and procedures than

traditional administration.
iv) Development Administration is larger in size than traditional administration.
V) hvelopmepf Administration is much more innovative and creative than traditional
administration.
vi) Development Administration is dynamic in its functioning, while traditional
administration stresses upon stability.
vii) Rule-orientation is valued in traditional administration, while flexibility is considered
a virtue inDevelopment administration.
viii)Participatory style of administration is a characteristic of Development Administration
while traditional administration is bureaucratic and authority-oriented.
ix) Development Administration is administration of planned change, while traditional
administration does not rely as much on planning.
x) Colonial bureaucracy is engaged dominantly in the performance of general
administrative functions, while the administrative system of an independent country is
primarily developmental in character.
xi) The administrative'systems in developing countries are basically developmental in
orientation, while those in developed countries focus on general administration.
It has become clear over the years that to attempt a neat distinction between development
and traditional administration i ~at, best, being over-simplistic. The nature of operations in
revenue, finance, police and pika-military administrations has become so complex,
consequently in these sectors of administration, not only the coqiplexity has increased
manifold and their objectives multiplied and intertwined but also the structures and
processes in these organisations have undergone notable changes. The techniques and
technologies in general administration have become modernised and sophisticate&
planning has become an integral part of their functioning; innovativeness and creativity in
their operations are being valued immensely; people's cooperation in taxation and law and
order administration is, being sought and mobilised; and flexibility is being introduced in
their procedures. No mow, the 'general' administration is 'traditional'; it has already
adopted the maxims of.modernisation with vigour. Thus, to attempt an absolute distinction
between general administration and Development Administration would be untenable and
unrealistic.
Further, to assert that t,he colonial administration is engagedemostlyin performing
traditional administrative functions of law and order and revenue administration wguld be
an over-simplification. It is well known that even the colonial bureaucracies, such as the
Indian, were engaged in promoting so-called 'developmental' activities (railways, roads,
tele-communication, education, health, etc.). Even a Planning and Development
Department was 914t up in the Government of India before Independence. Conversely, in
the independent countries, the focus is not on Development Administration alone. The
crises of stability, nation building, internal security and national integrity have forced the
governments in developing countries to strengthen their law and order maintenance
systems. In a country Keset with problems of internal disharmony, communal riots and
violence, it is difficult to promote socio-economic development in agwhole-hearted
manner. Time, energy and resources are distributed between the developmental and the
non-developmental activities. In fact, both are interdependent and changes in one lead to
changes in the other. Both prosperity arid poverty can lead to discontentment and even
violence. It may be pointed.out that even the developed countries face qroblems of change,
and challenges from their dynamic environment, In order to meet the progressive goals of
development, their administrative systems have also to be goal-oriented, change-oriented,
innovative, responsive, motivational and integrated. That is why the New Public
Administration, a movement started twenty years ago, stressed on almost the same
premises that characterise Development Adniinistration.Thus to say that development
administration is a dominant feature only of developing countries wo~lldbe an .
over-generalidation. And when we look at the developed 'socialist' countries (such as the
U.S.S.R.); the distinction further loses its validity.
When viewed objectively, it would become clear that the differences between
&velopment and traditional administrgtion are differences of degrei rather than of kind.
The characteristics of Development Administration snumerated in this lesson'are also

associated with general administration, but their intensity is greater in the case of the
former.

Administration
There are scholars (including William Wood) who say that to distinguish between
development and traditional administrations would involve an undue undermining of the
latter and thus belittling the importance of the fundarnental.bases of a nation's existence,
security and financial resources. How can, it is argued, a process of development take
place without adequate resource base? The argument has validity.
i) Define Development Administration and explain its meaning.
ii) What is goal-orientation?
iii) How is participation important inDevelopmentAdministration?
6.5 INSTRUMENTS OF DEVELOPMENT
ADMINISTRATION
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.A
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58
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administrative system
,
political organisation
voluntary associa~ions,and
people's organisations.
f,
1, , . i
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You would agree that the problems of development are many and complexity of
developmental tasks are varied. It is very difficult to depend only on administrative system
to realise the developmental goals. There is need to employ other instruments also. We
would exaqine the four important instmlnents that can be employed to realise the goals of
development, They are :
'
6.5.1 Administrative System

Public Administration ,of any country is an indispensable instrument to implement
development policies and programmes. Administrative system performs specialised
services and undertake vast range of developmental and non-developmental activities. As

administrative systems have specialised skills and have rich experience there is a heavy
dependence on this instrument to real.ise development goals. But, because of the number of
the goals there is need to enlist other instruments also.
6.5.2 Political Organisation

Political parties mobilise people in support of developmental programmes. They resolve
social conflicts and pave the way for development. Therefore it is considered an important
instrument of Development Administration.
6.5.3 Voluntary Associations

In transitional societies there will always be gap between the people and the governmental
system. This should be filled to expedite the process of development. It is here that the
voluntary organisations can play a very crucial and significant role. Higher level of
motivation, flexibility in the organisation and approach, apolitical nature, commitment to
the cause;make them fit instruments to undertake developmental tasks.
6.5.4 Peoples Orrganisatisns

We have discussed earlier that development requires greater participation of people.
Participation can be at the level of decision-making, or implementation or in sharing
benefits or in evaluation. This requires skills as well as devoted work and calls for mass
movement. Peoples organisations contribute to quicken the process of development and
social transformation.'
We have to bear in mind that development strategy cannot depend only on one strategy for
national building and socio-economic progress. We have to use all the instruments or a
combination of different instruments.
Further, there are several administiative positions, such as those of District Collectors and
Chief Secretaries in India, which are'intricately involved in performing developmental as
well ,as traditional functions. To separate their functions would at best have only academic
relevance.
*
And, therefore, the most acceptable approach would be to look at Development

Administration as a type of administration which has its distinctive characteristics, but in an
:inseparable formfrom general administration.
Cheek Yaur,Progress 2
-*
i) '"Administrative development is an essential corollary to Development Administration"

- Discuss.
ii) How is Development Adininistration differentfrom traditional administration?
.....
..........................*.....1...,,,,,,..........,.,..,.....*.,,..*.......,.....,..,..,.,...,.,..,,....,,......,..,,....,,..,,,....
iii) What are the instruments of development administration?

Administration
6.6 LET US SUM UP

W e have studied in this unit the meaning and definitions df Development Administrationhd
its important elements. We have also discussed the distinction between Development
Administration and administration. Finally we have studied the differences between traditional
or non-developmental administration and Development Administration. In the next unit we
will examine the meaning and elements of New Public Administration.
6.7 KEY WORDS

Pressure group : An interest group which has sufficient influence on Central Government
to be able to put pressure on behalf of its interests.
Totalitarian : A state is totalitarian when the aims, activities and .metnbership of all
associations are subject to the control of the State.
7

Arora, Ramesh K., 1985. Comparative Public Administration; Associated Publishing
House: New Delhi.
Riggs,Fred (ed) 1970. Frontiers ofDeveloprnent ~diF;inistration:N.C. Duke University
Press : Durham.
'
Swerdlow, Irving, 1968. Development Administration: Concept and Problems: Syracuse

University Press : Syracuse.
Verma, S.P., and Sht.ma, S.K. (eds); 1983. Development Administration: IIPA : New Delhi.
Weidner, Edward, (ed,, 1970. Development Administration in Asia; N.C.Duke University
Press: Burham.

EXERCISES
i) See Section 6.2
ii) SCe Sub-section 6.2.2
iii) See Sub-section 6.2.9

i) See Section 6.3
ii) See Section 6.4
iii) See Section 6.5
UNIT 7 NEW PUBLIC ADMINISTRATION

Structure
, 7.0 Objectives
7.1 Introduction
7.2 New Trends in USA
7.2.1 Changing Environment of Social Unrest
7.2.2 Phlladclphia Conference

7.2.3 Minnowbrwk Conference
7.3 Features of New Pubfic Administration

7.3. C Change and Administrative Responsiveness
7.3.1 Rationality
7.3.3 Management-Worker Relations
7.3.4 Slructures
'
7.3.5 Education in Public Administration
7.4 Goals of New Public Administration

7.4.1 Relevance
7.4.2 Values
. 7.4.3 Social Equity
7.4.4,~ha;lge
7.5 Comments on New Public Administration

7.6 ~ eUSi Sum u p
7.7 Key Words
7.8 Some useful Books
7.0 OBJECTIVES
After you have read this unit you should be ahlc to :
'
explain the significance of New Public ~dminisrratit;n

explain the context of New Public Administration
discuss the features pf New Public Administration: i ~ n d
* explain the relevance of New Public Administr;~tion10 clc\cloping societies.
7.1 INTRODUCTION
In the earlier units we hlivc discussed the new approaches in Public Administration like
Comparative Administration and Develoflment Administration mainly in the context of
developments in the subject to meet the requirements of developing societies. Even in
developed societies like LISA, Canada and Britain, the administrative systems faced new
,challenges.The concept of New Public Administration is one r e s p n x to these challenges. In
this unit we shall examine the significance, features, and relevance of New Public
Administration.
J
7.2 NEW TRENDS
IN USA
In regard to the theory and practice of Public ~dministrationrethinking and suggestions

for reform took place among individual intallectuals its well as at common forums of the
scholars and administratoxs.,For instance, F.C. Mosner e d i t 4 a pdblication, entitled
"Governmental Reorganization: Cases and Commentaries (1%7)"..The book dealt With the
common theme of administrative reorganisation and reform to strengthen administrative
capability $nd responsibility. The discussions at #e various forums did not always result in
I'lieNature of Public
Administration
any consensus among the participants about any set formulae for administrative change.
However, several 'valuable view points did emerge, regarding introduction of changes in
the theory and practice of Public Administration in response to the rapidly changing
environment. This urge for change has resuIted in the organisation of several conferences
in America. Of.these conferences one organised at Philadelphia in 1967 and the second
organised a1 Minnowbrook in 1968 are the most important.
7.2.11 Changing Environment of Social Unrest

In the second half of the present century rapid environmental changes taking place in USA
enabled her to achieve greater prosperity and power. But at the same time more and more
social tensions and unrest among several sections of people began to take place. The social
dissatisfaction and protests were mostly confined to the minority groups, the unemployed
and certain highly sensitive youth groups. These became a matter of growing concern to
the elected officials, the a'dn~inistrators,the intellectuals and the public leaders. A gbod
deal of public debate and discussion began to take place as how to solve the challenging
societal and technological problems. Several changes in policies and institutions began to
be undertaken and some others were debated to strengthen political and administrative
capabilities for coping with the rapidly changing environments: economic, social, political,
technological and human.
7.2.2 Philadelphia Gonferemece

Major viewpoints expressed at this conference about the subject and practice of Public
Administration are sumrnarised below :
a) With the progressive transformation ot;the liqited function state into a welfare state, the
responsibilities and functions of its government have increased very considerably. This
implies growth in the dimensions and functions of the administration. Since this growth
is to be a continuous process, it would be erroneous to demarcate rigidly the boundaries
of the study of Public Administration. The scope of the subject should remain flexible to
facilitate its growth. Again, it being obvious that administrators are involved in po~idy
making process as advisers and facilitators besides being primarily concerned with
poticy implementation, the dichototny between policy and administration and therefore
between the study of government and study of Public Administration is meaningless.
b) Too much emphasis on perfection of hierarchy and internal processes in administrative
organisations results in rigidities in administrative performance which detract from its
relevance and efficacy in rapidly changing environments; organisational innovations
and management flexibi!ihy,!re therefore .ippropriate.
C) The subject and practice of Public ~dministration'shouldpay increased attention to the
social problems of urban squalor, unemployment, poverty, environmental pollution ilnd
degradation.
d) There are great socio-economic disparities between classes of people. Hence, social
equity should be given due attention. For promoting equity as an administrative value
alongwith the existing values of efficiency and accountability, as well as for improving
administrative responsiveness, people's participation in administrative decision-making
and activities should be institutionally provided in a reorganised administration. This
would alsq mean that the study of public Administration should also include social
equity a s s n e of the themes.
e) Education and training progran~mesin Public Administration should not only provide '
management abilities and technique skills but should also d,eepen the social sensitivity
or consciousness of students/trainees as well as of the public personnel at work in
various governmental agencies. Moreove~administrative ethics needs due emphasis in
education programmes so as to prevent or minimise the chances of malpractices and
corruption.
7.2.3 Minnowbrook Conference

A year later in 1968 comparatively young scholars and practitioners of Public
Administration met at Minnowbrook to critically review t6e relevance of the study and
practice d Public Administration in termsrof rapidly changing environment posing
challenging problems before the government and social system in the country. Several
viewpoints were expressedvigorously. Though these were not much dissimilar lo the ones
I
--
_,.
'
at the Philadelphia Conference or by some individual academics at times, it was

the passionate character of discussions which was the distinctive feature of the meet at
Minnowbrook. Moreover, this was followed later on by small group meets of the
to keep up the tempo of their viewpoints as well as to elucidate these for
publicity or dissemination. The essence of the various viewpoints articulated by
the young participants was the advocacy for a tionnative approach in place of the
value-free efficiency approach of the classical theory. This normative approach stresses
that the purpose of governmental administration should be reduction of economic, social
a& psychic suffering and the enhancement of life opportunities both for the employees of
t h i government as wdl as for citizens. RI other words, concerned sections of people should
be freed from deprivations, wants and social disabilities. For this purpose, it was suggested
that administrative organisations and administrative systems rtnould be continuously
adapted to the environmental changes and should also facilitate c:lienale or citizen
involvement in adrniriisarativc processes to improve admitaistrative effectiveness.
Note : i ) Use the space below for your answer.
ii) Check your answer with the answer given at the end of this unit.
i ) Ucscrihc the n~i~jui
Qiewpointsof Philadelphia Conference.
........................................................................................................................................
........................................................................................................................................
I
..........
.....................................................................
o...................,.............................................
.-;
",#.-. .
--.
.'6-...-.-".
7.3 FEATURES 6~NEW PUBLIC ADMINISTRATION

George Frederickson has summarised, in several of his writings, the main features of the
new approach to Public Administration passionately advocated at Minnowbrook
-conference and afterwards. According to him, social equity is the key concept stressed as
an additional administrative value by the advocates of the new approach. He even titled
one of his books as New Public Administration. According tb him the various features of
the New Public Administration are as stared below.
7.3.1. Change and Administrative Responsiveness

,The social, political, economic and technological environments are changing rapidly.
Administrative organisations should, tirerefore, develop clear criteria by which the
effectiveness and relevance of their decisions and actions can be judged in the changing
context. They should also set, up an appropriate device and procedure ta effect appropriate
change regularly within themselves so as to be responsive to the environment. In other
words. organisational and operational flexibility or adaptability to meet environmental
changes should be in-built in the administrative system and in each of its departments and
agencies.
Q
7.3.2 Rationality
In Puhlic Administration there is a g o d deal of emphasis on rationality as the main
criterion for administrative dmisions and actions. But this rationality really refers to the
&
New Public Administration

Administration
rationality of,bhe administrator and not as people would interpret it. The administrator
needs to consult the citizens as well not only about what'is proposed to be done but also
about what ought to be done and by whom.
7.3.3 Management- Worker Relations

It is true that human relations approach within an administrative organisation enhances
both morale and productivity (efficiency) among employees but these are not to be end in
themselves. The main objective should be the satisfaction of the citizens with the
performance and attitudes of the administrative employees whose morale and productivity
would have risen due to any human relations approach within an organisation.
7.3.4 Structures
There is 'a need Ear adopting a dynamic approach to organisational structure. ' Appropriate
decentralisation of authority and modification of l~ierarchiesof control and subordination.
for instance, need continuous review so that the structure becomes relevant to the changing
needs of environment. In other words, tllerc should hkalternativc structures to be choscrl
from the above inventory of org;misations rather than one standardised orgnnisational
structure based upon POSDCORB or other principles stressed by the advocates of the
traditional approach to Public Administration. Small decentralised and flexible hieri!rchies.
for instance, can be suitable for arlministraeive organisation's doncemid witl; programmes
of intimate concern to the people or some of their sections.
7.3.5 Education-in public Administration

The subject of Public Administration has been enriched by several streams of knowlcdgc
(concepts, ideas and insights). Heterogeneity is characteristic of this subject. The
management approach, the human relations approach, political approach and public
participative 01. choice approach continue to contribute to its growth. This is how it should
be. Since public affairs, in which the government is engaged, are highly varied and
complex, no single approach or theory or concept would be adequate to guide action.or
understand its rationale.
~ h e d kYour Progress 2
Note : i) Use the space below For your answer.
ii) Check your answer with those given at the end of this unit.
i) Explain the features of New Public Administration.
7.4 GOALS OF NEW PUBLIC ADMINISTRATION
New Public Administration literature has stressed four important goals - namely,
relevance, values, equity and change.
7.4.1 Relevslrlce
Public Administration has always emphasised efficiency and economy. fublic Administration
is criticised as having little to say about contemporary problems and issues. At the
Minnowbrsok Conference, the participants focuscd attention on the need for policy-oriented
Public Administration and emph~isedthat Public Administration must explicitly deal with
political. and normative implications of all atiministrative actions. Another aspect of relevance
that was voiced was Public Administration htlowledge. At the Minnowbrook Conference,
some of the following questions were raiscd:
a) What standards of decision do we usc to select?
b) Which questions ought to be studied and how to study them?

c) Who defines our questions and priorities for us?
d) To what extent are we aware of the social and moral implications of knowledge in Public
Administration?
.c) What are the uses of Public Administration as a social and political science?
rff Does Public Administration presently yield knowledge useful to certain institutions in
society (usually the dominant ones) and not to othersd

These are very&zXmbingquestions challenging the status quo in Public Administration.
'
7.4.2 Values
New Public Administration is explicitly normative. It rejects value concealing behaviouralism
as well as procedural neutrality of traditional Public Administration. The participants at the
Minnowbrook Conference, clearly espoused that value neutral Public Administration is
impossible. They emphasised that public officials have to advocate the interests of the
disadvantaged people.
Public Administration is indicated as an instrument of status guo, denying social justice to the
less privileged groups. The leaders of New Public Administration emphasise the principle of
social equity. Realisation of this principle should be the purpose of Public Administration.
Frederickson himself explains the concept of social equity much more boldly when says: "A
Public, Administration which fails to work for changes, which trier3_toredress the deprivation
of minorities, qill likely be eventually used to repress thosc ni~~lt)rities".
Client-fodus
. administration is a major goal of New Public Administration. Other goals are
debureaucratisatioh, democratic decision-making and decentralisation of administrative process
in the interest of more,effectiveand humane delivery of public services.
Achievement of social equity requires promotion of change by the public administrators.

Change is necessary to prevent Public Administration from coming under thc dominance ol'
powerful interest groups. New public administratqrs should regard change as a constant
fact of administrative life.
In conclusion, what'the New Public Administration movement focused was that the
administrator should be given less "generic" and more "public" than his predecessor, less
"descriptive" and more '?prescript.ive", less "institution oriented" and more "client-impact
.oriented", less "neutral" and more "normative", and 'it is hoped, no less scientific.
v
II
?
' Cheek Your Progress 3
Note: i) Use the spacehelow for your a*swer.
i) Explain the goals of New public Administration.
New Public Adrninistratjon
The Nalum ofhbllc

Admlnirtrallw,
----+z
7.5 COMMENTS ON NEW PUBLICADMINISTRATION
_I_C
According to Alan Campbell many of the issues bmught lo thc surface vigorously by
advocates of New Public Administration were not new. These have been raised by otller"
schoiars'from time to time. But these have been raised by proponents of New Public
Administration very forcefully and with a strong commitment to social ch~wge.Their
strong emphasis on citizen's participation in decision-making, on normative value of socid
equity, and human relations approach oriented largely to service to people is' once'again a
reminder a h u t the need for reorientation of theory and practice of Pu biic Adnlinistntion.
Dwight Waldo, in his book titled g6Etaterp~isa
uf Public Administsstion (6980)"has
New Public ~drniniseation.proiects
winled out
- three pcrspeceivcs cIearly--client
(citizen)oriented bureaucracy, representative bureaucracy and pcople's participation. .I'hc~t
public perspectives if woven into Public Administration appropriately wotlkl lerlcl ta
demwratise it even more than before.
I
Carter and Duffey, writing on New Public Adrn~inistrationin the Xnternatlunrtl Journal of
Public Adminishalion, (19841, have expressed doubt whether the objective af social
equity is actually getting recognised as a well-established adrninis~rativeobjective or value
in addition to the existing ones of efficiency, effectiveness and public accountability. The
great disparities of wealth and income continue in' USA to a\large extent. Due to recent
curtailment of government spending on social welfsc programme in USA the deprived
sections of the people still do not have adequate access to all the requisite economic and
social facilities for their substantial betterment.
'
We are of the view that since in USA the main emphasis has been on free competition and
individual initiative, adoption of social equity as a policy and ddininistrative objective is
not an easy proposition. In course of time, perhaps the progress towards its adoption may
become more encouraging due to social pressures.
Recknr trends in the study and practice of Public.4dministration in several countries, both
developed (e.g. France, Sweden and Britain) and developing (e.g., lradia, Pakistan1 idso,
indicate similar revision and additions. The intensity and extent of the impaci of the trends
however, vary from one country to the other, depending upon their respective historical
heritages, national resources, character of political system, cultwall and demographic
patterns and role of the state in national development. The impact is very we& in some
countries at one extreme and very strong at the other due to their differing nationd
profiles. On the whole, these trends indicate: '
a) growing emphasis on social equity in puh!ic policies and administrative actions;
b) devising of instihtional arrangements ro facilitate increased public participation in
administrative processes (i.e. decision-making, operations, etc.) at local and grassmot
levels;
c) strengthening of political direction of administration as wall as of administrative

accountability to the politiqal authorities within the government;
d) adoption of innovative (new) types of organisations as well as of modm management
pra&tices,and techniques and technologies to raise the adminiswtivc capability ( i a
efficiency and effectiveness) to deal with highly diverse, complex end numcmus
governmental tasks.
el growth of unionism among the public personnel (government emplayees) of various

grades and W i n g of organisedarrangwents for government-employas consultatio~
md negoh:?tiow as well as for-arbitration of disputes.
Because of thssb t W s in administrative-Qstems?the scow of Ule swdy of& subject d
Public Admhistratlon hhs increased considerably. Moreover, the study h no longer content
with the dacription and loalysis of administrative phenomena, polides, organisations and
,
,
I
I
I
-. . - . . . . .
processes. I t is also becc~mingincreasingly nolmative as it now deals with qklestions of

social equity orientation. democratic orientation. ethical behaviom and citizen's
within continuously expanding ;administrative systems. Besides, it is also
beginning to he incre;~singlycomparative as it now examines and conceptualises the
administrative policies and drganisations and operations in various national environments
comprising severi~laspects - political, social, economic, demographic, physical and
kchnologicnl.
In short. the New Puhlic Admiriistration. both in practice and theory 'tends to be
_cy~nprc.liensivrGisckpi, descriptive-cum-normative in character and comparative besides
'multi-clisciplinary in substance.
;.*
t
k',l~e,ck-yourPrngress 4
Note : i ) Usc the space below for your ansvmb.
i i ) Check your answers with tliosc giver1 ;it the end of the unit.
i ) Explain Waldo's cornnients oti N e w Public Adtninistration.
~ i Explain
)
ncw trends in Public i\dmir~istration.
7.6 LET US SUM UP

'
In this unit, we have examined the significance and the contcxr of N e a Public Administration,
We have also examined the main features of' New Public Administration. The comments on
New Public Administration and the influence of this concept on ncw developments in Public
Administration are also discussed.
7.7 KEY WORDS

'
Administrative Accountability : A$countability yf the junior about their decisions and

actions to the seniors-within the bureaucracy, and accountability of the executive branch
of the 'government to the legislature.
Administrative Capability : Ability of the administrative arrn.of government to perform
or achieve its objectives.
Administrative Effectiveness : The degree or extent of objective/goal achievement by
an organisat ion
New ~ u h l i cAdministration
,idrninislr;ltivf Emciencv : The riltitrot'o~ti)~t

to input in

Administration
ikfl
~rganihalion.
Orgiraisational Equity : Fair tle;~lto all the employees, with particular artontion at lower
I ~ v c I \ of' ;In orpunr\ation.
tlclivcry of sprviccs and goods by the ndminihtration shou)d he
SociitI Equity :
directly rcl:~tctl 11~c~l\
of.
privileged people on iI priority bi~sih.
7.8 SOME USEFUL ROOKS

Avasthi & Maheshwari, 1985. Public Administration, Chapter-2 6% 3;l Lakshmi Narnin
Aggarwal .: Agra.
Bhattacharya, 1987. Public Administration, Structure, ~ o f x s and
s &ha viour, Chapter- 1: The
,World Press Pvt. Ltd. : Calcutta.
Marini Frank, 1971. Towards a New public Administration, the Minnowbrook prescriptive;
Scranton, pa : Chandler.
-

EXERCISES
i) See Sub-Scction 7.2.2
i) See Section 7.3
See Section 7.4
ji) See Section 7.4
' i)

i ) See Section 7.5
ii) See Section 7.2
UNIT 8 CLASSICAL APPROACHLUTHER GULICK AND

LYNDALL URWICK
A
structure
8.0
8.1
8.2
8.3
8.4
8.5
8.6
'8.7
8.8
8.9 .
8.10
,
,
"
.8.4.1 Work Division

8.4.2 Coordinatior~
8.4.3 Unify pf Cornmarid
8.4.4 Line and Staff
q,
8.4.5 The Snan of Control
..
'
Objectives
Introduction
Importance of Structure
.
From Fayol's Elements to POSDCORB
Principles of Organisation
Practical Value of Classical Theory

Criticism of Classical Theory
Let Us Sum Up
Key Words
Some Useful Books
'
8.0 OBJECTIVES
. _.
In this Unit we shall'discuss thacontribution of Luther Gulick and Lyndall Urwick to the
study of classical theory of administration. The study of this unit would enable you to:
0
describe the classical approach to administration and organisation, given by Gulick and
Urwick
ooint out the short-comings of the universal principlb, formulated by bulick and *
Urwick; and
'
in thc administrative theory.
evaluate the importance of classical
,
(
8.1 INTRODUCTkON
-
>
' 4
Systematic study and analysis of,organisation can be traced to the later part of 19th aid early
20th centuries. Taylor, Henry Fayol, Max Weber, Mooney and Reiley, Gulick and Urwick
aie4rominknt among the many who attempted the scientific study of organisation, Based on
his experiments, Taylor formulated his universal 'principles of scientific management' to
jimprove productivity and efficiency in organisations. Henry Fayol, a successful French
'hanager and industrialist, expressyd his ideas in 19 16 in his book "Generqaland lndus~ial
Manc~gernent".Max Weber a German Sociologist, focused on the concept of 'Bureaucracy'
James Mooney, an industrialist with long years of experience with business enterprises.
published 'Onwlar6dIndustry' in' 19 18 co-authoring with Alan Reiley. Luther Gulick and
Lyndall Urwiqk based on their own experience and dtudies and that *ofothers contributed
of administration and organisation.
extensively towards formulating general
They concentrated on certain aspects of Public Administration with rich experience of

se.wi1rlg the public offices, military and industrial organisations. Both were "indefatigable
publicists, propagandists, and promoters of the gospel of neutral principles directed at
raisirrg the level of organisational efficiency", Gulick was a member of the "Presidents'
Conhmittee on Administrative Management",
~ h k edited
y
"Papers pn the Science of Adntirti.~tr.atiw"(1937) which is considered~as
important work in the development of the science of adminipation. It summarised the
principles of administration an@proclaimed that Public Administration suided by efficiency
cou'lldbe&me a science.
f
Guilick's other wo,rks include: Adrninistrati\*e Reflrcttiortsfr.ont~ o r - l War.-11,
d
Mehopaliran
Problems and Arner.ic.an Ideas, mod an^ Ma,la,qemerrr for the Ciy of New York.
,
-.&
J
Public Organisations:
Urwi~k'spublished works include: "The Elements oj'A~lmin~strution",

"Munugernent of
Tomon-ow"."The Making ofsctentvic Munagenrenr" (3 Volumes), "The Patterns of
~ u n a ~ e r n eand
i f Lear/er.ship if? the X X Century 0l;pani.sation.s"
Tfie Paradigms
8.2 IMPORTANCE OF STRUCTURE

Although Gulick and Urwick were interested in dealing with administration as a whole, they
dealt mostly with the technical aspects of formal organisation. Urwick was heavily oriented
to forn~alismin organisation theory.
Gulick and Urwick formulated 'universal' principles of organisation. These formulations are
popularly called 'classical theory' of organisation. 'They are also called 'administrative
management' theory, 'mechanistic'. theory, etc. The classical theory is so called because it is
one of the earliest formulations based on systematic analysis of organisations; it is dominant
in the field of administrative theory; and finally because it is long established and generally
accepted in administrative literature. They sincerely believed that a science of administration
can be developed based on some principles and based on the experience of administrators.
Thus, the administration which was considered hitherto an art developed into n science.
In discussing organisations as social groups, Urwick says "the correct analogy must be
analogy with the living organism-the biological parallel.... For this reitson the mech;~nistic
parallel can be very helpful in discussing organisation. Another name for it is the
engineering approach".
It is significant to note that Gulick and Urwick, alongwith other classical theorists, attachctl
more importance to the structure of organisation than the'role of the people in the
organisation. In short, Urwick traces a very large proportion of the friction and confusion in
the society, wiih its manifest consequences in human suffering. to the fiiulty structural
arrangements in organisations. Urwick stressed the importance of design in organisation. fic
pointed out that it is impossible for humanity to advance the knowledge of organisations
unless this factor is isolated. He further considered lack of design as "illogical, cruel,
wastefi~land inefficient".
Umick in his book ,"Elements of Administration'' defines organisation as determining

activities necessary to any purpose and arranging them in groups assigned to individuals.
The whole arrangement must be undertaken in a "cold-blooded, detached spirit", like the
preparation of an engineering design, without any reference to the individuals in the
organisation. Thus, he,believed that effort must be made to fit people to the structure.
8.3 FROM FAUOE'S ELEMENTS TO

POSDCORB
Both Gulick and Urwick were heavily influenced by Taylor and Fayol. Gulick used Fayol,'~
five elements of administration viz., Planning, Organisation, Command, Coordination and
Control as a framework for his neutral principles. Gulick condensed the duties of an
administrator into a famous acronym POSDCORB. Each letter in the acronym stands for
one of the seven activities of the administrator. They are as follows:
Planning (P): working our the things that need to be done and the methods for doing
them to accomplish the purpose set for the enterprise;
Organising (0):
establishment of the formal structure of authority through which
work sub-divisions are arranged, defined and coordinated for the defined objective:
Staffing(S): the whole personnel function of bringing in and training the staff, arld
maintaining favourable conditions of work;
Directing (D): continuous task of making decisions and embodying them in specific
and general orders and instructions, and serving as the leader of the enterprise;
Coordinating (CO):The all important duty of inter-relating the various parts of thk
work;
Reporting (K): keeping the executive informed as to what is going on, which thus
includes keeping himself and'his subordinates informed through records, research,
- and inspection; and
'
Classical Appi-crach-.-1-tither
Gulilck and I.yndal8 Urwirk
Budgeting (B): all that goes with budgeting in the form of fiscal planning, accounting
and'gontrbl.
This list of activities is an improvement over Fayol's elements of administration. The term.
POSDCORB came into wide use, in the administrative processes. With its merits and
demerits, it served a number of wriie~swell in dealing with different aspects of
administration.
'I

Note: i) Use the space given below for your answers.
i)
Explain the significance of structure in organisations.
.........................................!.. ...................................................................................................
ii) what does the acronym 'POSDCORB' stand for?
8.4 PRINCIPLES Q@ORGANISATION

Urwick identified eight principles of administration applicable to all orgaoisatians. The
principles are:
i)
The "principle of Objective"-that all orgdnisatioris should be an expression of a

purpose;
ii) The "principle of Correspondence"-that authority and responsibility must be co-equal;
iii) The "principle of Respons;lbilityW-that the responsibility of higher authorities for the
.*work of subordinates is absolute;
iv) The "Scalar PrinapleV-that a pyramidical type of structure is built up in an
organisation;
v) The "principle of span of Control";
vi) The "principle of Specia$rsationW-limiting one's work to a single function;
vii) The "principle of Coordination"; and
viii) The "principle of Definitiion'*-clear prescription of every duty.
kfter stressing the sigfiificaric:e orstructure as a desiining process and identifying the
functions of the executive in Items of POSDCQRB, Gulick and Urwick concefitrated their
efforts on the discovery of principles of organisation based on which the structure may'be
- --.-designed.
Similarly Gulick expounded ten principles of organisation'. In expressing these prlnclples

G~.tlickwas very much influenced by Henry Fayol's 14 basic elements'of administration.
The principles'of Gulick are:
Public or-gttnisiltion~:
The lJaradigms
i)
ii)
iii)
iv)
V)
vi)
vii)
viii)
ix)
X)
Division of work or Specialisation;

Bases of departmental organisations;
Coordination through Hierarchy;
Dellberate Coordination;
Coordination through Committees; '
Decentralisation;
Unity of Command;
Staff and Line;
~ e l e ~ a t i oand
n;
Span of control.
You would now examine some of these Important principles briefly.
8.4.1 Work Division
According to Gulick "work division is the foundation of or;ganisatlon, indeed, the reason for
organisatlon". The other classical thinkers also made the principle of work division as the
central tenet of their theory. Work division is necessary because "men differ in nature,
capacity and skill, and gain greatly in dexterity by specialisation".
In assigning functions to groups of people, their first principle is homogeneity based on the
identity or simplicity of four factors:
The purpose they serve, (function).
I,
'The process they use,
The persons or things they deal with (clientele), and
The place where they work.
0
0
~ h e s e , a r popularly
e
known as Gulicks 4'P' bases of departmer,\talisation. However, in
subdividing the work or esdablishing the units of work, a chokte must be made as to which of
these principles-purpose, process, person(s) or place are relevant. Realising the limitations
ofyhe division of Gork, Gulick observed that "division of work and integrated organisation'
are-the bootstraps,by which mankind lifts itself in the process of civilisation".
I'
8.4.2 Coordination
+
'
If sub-division of work is inescapable, Gulick declared.'coordination becomes mandatory.

Based on his experience, Gulick says that coordination can be achieved'in two primary
1
ways:
By organisation, that is inter-relating the sub-dibisioni of work by allotting them to
persons who are appropriately placed in the Strukture of authority, so that the work may
becoordinated by orders reaching from the top to the bottom of the entire organisation.
' 0
\
'
I
--
~i
the dominance of an idea, that is, the development of intelligent singleness of purpose
in the,minds of those who are working together so that each worker will voluntarily fit his
task intb thg whqle with skill and enthusiasm.
a*
~ h e s two
e principles of cogrdination, he observes, are not.m~~tually
exclusive, but together
both are really effective. Size and time are the great limiting factors in the development of
coordination. Therefore, he pointed out, coordination. must be approached with different
emphasis in small and in large organisations, in,simple and irr complex situations, in stable
and in new or changing organisations. Thus,lGulick maintains that "coordination is not
something that develops by accident. It must be won by btell igent, vigorous, persistent and
organised effort".
,'
8.4.3 Unity of Command

..
.
I
I
1
* R ,
"
Gulick and Urwick believed that "well-managed administrative uniis in the Government are
almost without exception'headed by single administrators". They were against boards or
comn~issions.Leadership is vested in one rhan a8qinst a plural body. They reiterated Fayol's
maxim of unity of command, knowing that rigid adherence to this principle may lead to
absurdities. They were emphatic that "A man cannot serve twp masters".
I
'
1
Classical Approach-Lut her

Gulick and 1,yndall Urwick
A workman subjected ro order from more than one supervisor will be "confused, inefficient;
and irresponsible", a workman subjected to order from but one superior may be "methodical,
efficient, and responsible".
8.4.4 Line and Staff

A special mention should be made of the Gulick-Urwicks principle of staff assistance to the
executive and the relations between the "Line" and "staff officials". They borrowed these
principles from their experience in military administration. However, no management theory
has yet been clear about the meaning of the Line and Staff principle in civilian
organisations.
According to Gulick the staff experts have to "devote their time exclusively to the knowing,
thinking and planning functions". They must not be given any administrative authority or
responsibility but they should get the results by the "authority of ideas" Thus, they
emphasised the necessity of special staff to assist the higher executives. Public officials in
their every day work do not have time to read, think and meet their subordinates; hence they
need assistance in their central tasks of command, control and coordination. Such assistance
should be extended by general staff, coordinating the work of staff specialists. Thus, the
general staff and special staff relieve the top executive from the burdensome details of
administration; they free him to concentrate upon the most important tasks and enable him
to exercise a larger span of control.
8.4.5 The Span of Control

To Utwick, "nasupewisor can supervise directly the work of more than five or at the most,
six subordinates whose work interlocks". The limit of control is due to the limits of
knowledge, time and energy, and different, kinds of works and sizes of organisations. It
raises in part from the differences, in the capacities and work habits of individual executives
and in part from the non-comparable character of work. Thus, the element of diversification
of function, the element of time and the element of space govern the principle of span of
control. The failure to attach sufficient importance to these variables limits the scientific
validity of the principle. Gulick arid Urwick were influenced by Graicudas who furnished
mathematical support to the concept of a narrow Span of Control.
Gulick, suggested further research into the problem, but concluded that the clrief executive
of an organisation can deal with only a few immediate subordinates, The number is
determined not only by the nature of work, but also by the capacity of the exequtive, and the
number of immediate subordinates: the stability and geographical proximity of organisation.
Though, he was less categorical about the number of subordinates, he was nonetheless
confident about the'general validity of the principle.
Note. i) ' IJse the space given below for your answers.
. ii) Check :lour answers with those given at the end of the unit..
i) Expiain the Principles of organisation as discussed by Urwick and Gulick.
......"...... ...............................................................................................
"
.....
,.,.,.;,.*.....i...........
ii) kxplain Gulicks 4 'P' btses of depa~msntalisat~on.
'
Public Organisatinns:
The Paradigms
..............................................................................................................................................
ill) Discuss any two principles of organisation.
..............................................................................................................................................
.
.
............................................................................................................................................
.
8.5 PRACTICAL VALUE QF CLASSXCBL THEORY

According to Baker certain specific ideas of practical value have emerged from classical
theory. They are enumerated below:
*
*
8
The first was the identification of organisation or administration as a'distinct function to

be studied and practised. The practical achievement was to make people think and apply
themselves to the problem of management and organisation.
Secondly it introduced some clear thinking about authority, responsibility, delegation.
Thirdly it propounded the idea that administration is a separate activity which deserves
intellectual investigation.
Fourthly it played a significant role in rationalising and stimulating production in the
industriill organisation, to some extent..
ina all^, the very limitations of the theory instigated further investigations in
organisational behaviour. Thus, classicai theory despite its shortcomings made signifidant
contribution to the development of the organisation theories.
8.6 CRITICISM OF CLASSICAL THEORY

Herbert Simon attacked some of the accepted principles of administration of classical
organisation theory, particularly its principles of division of functions, unity of command
and span of control. Referring to the.4 'P's, he asserts that division of responsibility and
specialisation can be either by function, or by process, or by objective or by place. Classical
theory, he points ONhas not given any clue as to which basis is preferable in any particular
circumstance. For him the principle of unity of command is also ambiguous in terms of
sphere. Thus, Simon described the "Principles of Administration"as themere "Proverbs of
Administration", each paired with a mutually contradictory proverb--as Span 'of Control
should be narrow, but chains of command should be short,
Gulick's line and staff functions in large and complex organisations are simply out of touch
with realityS1The'spap of control' doctrine is even more confusing and misleading. The
responsibility for this confusion rests mainly with Graicuna mathematical formula of 'five
or niost probably four'. The basic fallacy is the authoritarian assumption that the top
executive needs to have some sort of relationship with every one below him in the
organisation.
The principles of administration,of ~ u l i c kand Urwick were severely criticised as they have
.not made clear as to what they meant by the universal validity of the 'principles'. Simon
considered that'"the pri'nciples of administration are at best criteria for describing and
diagnosing administrative situations". They suggest only working rules of conduct which
wide experience seems to have validated.
I0
It has been pointed out that all the classical theorists have displayed a pro-management
bins in their theories. They were concerned with the problems of manaemefit and not the
other organisational problems that concern the other levels of management and men.
I
'
The theory is criticised as atomistic, which looks a$ the individuals in isolation from the
fellowmen in the organisation. It is mechanistic as it fails to explain the dynanlics of
organisational behaviour. It is static and rational. It also does not take any note of noneconomic incentives.
6'lassical ~ p ~ r c l a c h - ~ t i t h e r
(iuiick and Lyndall Uswick
It is Inore concerned with the work than the hurnan being who does the work. It
underestimated the human element and human behavioz~r.The human being is considered a
mere cog in the organisation mactiine.

i) What is the significance of classical theory?
i
ii) What are the major criticisms against the classical theory'?
..............................................................................................................................................
--
'8.7 LET US SUM UP
-- --
Though the classical ideas were expounded in the .first two decades of this century, the
classical management thinking is still dorninint among many practising administrators
today. The most distinguishing feature of classical theory is its concern with the fot~nulatiol~
of principles of organisation. The classical theorists attempted to discover the true bases on
which division of work in organisations can be carried on and find effective methods of
coordinating the work for the sake of efficiency. They placed emphasis on the precise
definition of various activiticq and their inter-relationship and suggested the use of authority
through a system of checks and control over the people working in the organisations to get
things done.
Accordingly, classical theory of organisation is a formal structure of design and plan. The
theory advocates a body of principles of organisation in accordance with which organisation
plans are made out to fit into the requirements of selected purpose or function and then
capable men are selected to get the things done as per the preconceived plan. This approach
"bears the stamp of the engineer seeking scientific precision, logical structure, and the one
best way of performing each step, and of relating the parts to a unified whole", Thus, the
theory clearly manifests, four features-Division of work, hierarchy, impersonality and
efficiency.
------8.8 KEY WORDS

----
-.-,----.-1
I
-- -------
-- - - --
-.--------------
- --..------
Pormal organisation: Organisation in which emphasis is placed on design ar~dstructure

Proverbs O f Administration: Herbert Simon ridiculing the 'Principles of Administration'
Staff and Line: Planners and operators
-8.9 SOME USEFUL BOOKS
Avasthi:, A,.& MaheshwariS., 1984:Puhlic ~dministr-;tion:.lakshmi Narain Agarwal: Agra;

Baker, R.J.S., 1972. Arlmini.strurivc~'i'hcot.y and PuhlisAdministr-ation; Hutchinson:
London.
:,~h~
~ t r u p p l eVo1.l;
.
Gross. Betras. 1964: The Munq&ing ~ r ~ u n i . r u t i o n s ~dminirrrarive
'rh& Free Press of GlenCoe: London.
Gulick L, and Llrwick L. (eds.) 1937. Pupers on Science of Administration; The Institute of
Public Administration, Columbia University: New York. ' .
Prasad, ~avindra,.
D., (ed.)1989: ~dmiiistrutiveThinkers: Sterling Publishers: New .Dell;i.,
'
Rowat, C. Donald: (ed.), 1961. &sic Issues in P ~ h l i c A h ~ i n i s t ~ ~ aThe
t i b nMacmillan
;
Company: New York.-
Lf
,
-- . EXERCISES
.
, .
, .

i ) See Section-8.2
i i ) See Section-8.3

i ) See Section-8.4
., . i i ) See Sub-section-8.4. I
iii) See Sub-sections-8.4.1 *to 8.4.5
Check Vour Progress 3
i) See Section-8.5
i i ) See section-8.6
UNIT
SCIENTIFIC MANAGEMENT&
FeVVeTAYLOR
Structure
9.0
9.1
9.2
Objectives
Introduction
Early Works
9.2.1
0.2.2
9.2.3
9.2.4
A Piece-Rate System
Shop Management
Art of Cutting Metals
Defects' of Management
9.2.5. Tinie and Motion Study ,
4.3
9.4
9.4.1
9.4.2
9.4.3
9.4.4
9.5
9.6
9.7
9.8
9.9
9.10
9.1 1
9.12
9.13
<
~ a ~ l o rConclpt
's
of ~ a n a g t m e n t
~ r i n c i ~ lof
e sScientific Management
Developnient of a True ~ c i e n c e ' b f , ~ o r k

I
$,
Scientific Selection and Progressive Developnient'of the Workmen
Bringing together the Science of Work and Scientifically Selected and Trained men
I
Division of Work and Responsibility
Functional Foremanship
Mechanisms of Scientific Management
Mental Revolution
Criticism'
An Evaluation of Taylor's Contribution
Let Us Sum Up
Key Words
Some Useful Books,
.----
9.0
BBJECTPV]ES
--
L,
-- --- ---
-----!
In the previous unit ob classical approach you have studied the contributions of Luther
Gulick and Lyndall Urwick in synthesisin): the propositions of the classicists. In this unit '
we shill discuss the contributions of Taylor, another classicist'of scientific management,
Arter studying this unit you should be able to:
explain how the scientific methods and approaches were introduced in the management
of organisations
state Taylor's concept of management and explain his principles of scientific
management
describe the mechanisms to serve the princi~les of scientific management; and
critically evaluate Taylor's contributions to scientific management.
At the turn of the twentieth century, Frederick Winslow Taylor undertook researches in
management of industry in the USA. Although 1le was not the pioneer in the study,?of
management in a scientific way, none of his predecessors were engaged directly in the
analysis of the work methods. Taylor believed thatzthe principle "best management is a true
science," is applicable to all kinds of human activities. Taylor attempted to bring the
precision of science to the analysis and measurement of work, Ile wanted it to be universally
applicable to improve productivity by establishing a rationale for organising work. Taylor%
influence on management has been so profound that his methods are used in most countries.
Therefore, he is generally regarded as the father of scientific management. The fundamental
contribution of scientific management movement was theapplication of scientific method to
discover new knowledge. It is the method of controlled experimentation, with well defined
steps in proper sequence, under controlled situation.
During th; latter pan,of the 19th century a new industrial climate began to descend upon
American business gibing rise to the growth of a managerial class, The practices of
managernen1 began to change from a day-to-day pyoblcm solving approach to a more allinclus~ve,con.rprehensive, long-run approach to encounter multiple managerial problems
which were not faced previously. Pronlinent leaders like Henry Towne, Henry Metcalf and
Frederick Taylor tried to develop a unified system of management and Towne called this
new philosophy of management as the science of managemeit. Taylor's contribution to the
dcvelopnient of scientific mailagement was recorded in his papers, 'A Piece-Rate System'
(1845), 'Shop Managemer~l'(1903), 'The Art of Cutting Metals' (1906) and 'The Principles
i
of Scientific Management' (191 1 ).
In this unit we shrill examine the principles of manhgement developed by Taylor and
evaluate his contributions to the development of a science of management.
-
9.2 EARLY WORKS
Taylor's contribution to the development of scientific management was recorded in his

papers. Of these early ones are A Piece-Rate System, Shop Management, and The Art of
Cutting Metals.
Among his early works, Taylor also'discussed defects of management and Time :mi Motion
Study.
9.2.1 A Piece-Rate System

Taylor's first paper on Piece-Katc system was considered a?; an outstanding contributioq to
the principles of wage payment. He proposed anew system consisting of three parts:
(a) observation and analysis of work through time study to set the 'rate' or standard, (b) a
.
'differential rate' system af piece work, and ( c ) 'paying merl and not positions'.
i
9.2.2 Shop Markztgernent.

I
'
In his second paper ori Shop Mariagemcnt he discushed at length workshop organisation and
~narlagement.He focused attention, in this paper, on his philosophy of management as fiiven
below: '
7
'
i
'I
-"
The objective,of managenlent must be to pay high dages and nave low unit production
costs to achieve the increased industrial efficiency.
Management has to apply scientific' methods of researcl.1 and experiment to the
management problems.
Standardisation of working conditions and placing theworkers on the basis of scientific
criteria.
* Management must dive rormal training to workers and specific instructions to perform
the prescribed motions with standardised tools and materials.
e Friendly cooperation between workers and management on the basis of scientific system
of labour organisation.
'I
Taylor win;ed4todevelop a new and total concept of managenlent. He advocated that, the '
trsditinnal managers, should develop a new approach and change to a rnore comprehensive
arid broader view of their jobs incctrporating the elements of planning, organising and
corr'trolling.
k
9 . 2 . 3 ~ r +P
t Cutting Metals
Taylor expenenced bitter labour-management conflict particularly between foreman afid
workers over the quantity of output. He failed to resol\ie the problems by persuasion and
Curce. Realising that a new industrial schemk was ess'ential'to prevent encounttrs, he began
searching for a aien'ce ni'kork. In the process he conducted'a series of e,xperirnents for .: .
more t'hafltwo decades. He experimented with machine tools, speed , metals, materials, etc.
His sxperiinents at the Midvale*andBethleham Steel Company led to the discovery of high
speed Ptcel and revolutinnised the ftrt of cutting metals, l#s iaper on "The An pf'culting
Metqls" presented to ~Sh";.has considered as the most rema'rkable piece of research evkr
presented ak a conference. The paper was based on the longest and most exhausti'vc seriles of
about 30:900 experiments conducted over a period of 26'yearrs. at a cost of about $2,00,000.
.The achievements of tnetal cutting experirne~itswere cgnsidered more importan! than .
Taylor;s other contl-ibutions,because they initiated a major bresikthrough in the development
of American industry.
. r ,
'
'
9.24 Defects of Management
Scienlific M~l~lhgen~rntF.W. 'Faylor
While at Midvale Steel Company, Taylor made serious observations and study of operations
of many factories, and identified the following major defects in management:
@
marlagenlent had no clear understanding of worker-managernent responsibilities;

lack of effective standards of work;
restricted outbut because of 'natural soldering' and 'systematic soldering' of work by the
workers;
failure of management to design jobs properly and to offer proper incentives to workers
to overcome the soldering;
most decisions of the management.were unscientific as they were based on hunch,
intuition, past experience, and rule-of-thumb;
lack of proper studies about the division of work anlo& departments; and
placement of workers without consideration of their ability, aptitude and interests.
9.2.5 Time and Motion Study

In his other experiments he studied through molion and tiwe study and analysed how the
workers handled materials, machines and tools, arid developed a coordinated sysrera of shop
management. Taylor set out to detennine scientifically the ability of workers in dealing with
equipment and materials and this approach led to the true beginning of scientific
management.
In the development of his shop system Taylor wished to know thal unties optilnun~~
conditions, how long a rnan or a machine would or should take to perfom iI given fitsk, in a
specified process, using specified materials and methods. I-Ie used scientific fact-finding
methods to determine empirically the right ways to perform tasks with the help of stop
watch. '
Taylor also recognised the need for scientific methbd of selecting the right men for the right
jobs considering their initial qualifications and potential for further learning, Me wanteil.
effective supervision of a worker and his working conditions after piacing the worker in the
right place: Taylor wanted to lay down the foundation for sound personnel management i.e.
to match the worker's abilities to the job.
Check your Progress I

' .
ii) Check your answers with those given at the end of the unit,
i) What is Piece-Rate System'!
ii) What defects were identified by Taylor in rmditionnl rnanag~n~cnt'!
9 3 TAYLOR'S CONCEPT OF MANAGEMENT

Before we.tiiscuss Taylor's 'great principles of minnagement', it is desirable to knuttrhis
',
views on thk concept of management. Taylor pointed out that management is a true science
resting upon fixed laws, rules and principles. He argued that management comprised a
number of principles which are applicable to all organisations-both private and
government. The main object of management, according to him is to secure the maximum
prosperity for the employer, coupled with the maximum prosperity for each employee. His
philosophy of scientific management is that there is no inherent conflict in the interest of tbe
employers, workers and consumers. The primary concern of Taylor was that the results of
higher pro,ductivity should equally benefit all people i.e. workers, employers, and consumers
in the shape of higher wages to the workers, greater profits to the management and payment
of lower prices for the products by the consumers.
Public Organisat~ons:
'The Paradigms
Taylor observed that management neglected its functions and shifted its burden to the labour
while keeping for itself minor responsibilities. He advised that management should take the
responsibility of determining standards, planning work, organising, controlling and devising
incentive schemes.
.
-.---
--
9.4 PRINCIPLES OF SCIENTIFIC MANAGEMENT

Taylor advocated, in the interest of societal prosperity, close collaboration and deliberate
cooperation between the workmen and the management. His philosophy of management was
based on mutual interests and on four basic principles of scientific management:
the development of true science;
i)
ii) the scientific selection of the workmeii;
iii) .the scientific education and developn~entof workmen; and
iv) intimate and friendly cooperation between the management and the men.
We shall now examine these four principles in detail. -
9.4.1 Development of a True Science of Work

When science is viewed as an 'organised knowledge' every act of a workman can be
reduced to a science. .in the interests of the worker and management, it is necessary to know
as to what constitutes a fair day's work. It saves the worker from the unnecessary criticism,
of the boss, and enables the management to get the maxin~umwork from worker. This needs
a scientific investigation of a 'large daily task' to be done by qualified workers under
optimum conditions.
0
The investigation can take the form of collecting infohllation about worker's past and
present working methods. The results of investigation have to be classified, tabulated, and
reduced into rilles and laws to find out the ideal working methods or what is called 'one best
way of doing the job'. Such development of science of work enables the organisation to
produce more; enables the worker to receive higher wages and a much larger profit to the
company.
9,4.2'ScientificSelection and Progressive Development of the Workmen

I
To ensure effective performance of the work which is developed through scientific

investigation, there is also a need to select only those workers who possess the necessary
physical and intellectual qualities. This needs a deliberate study of the aptitude, nature and
performance of the worker and finding out what possibilities and limitations one has for,
future development. Taylor believed that every worker has potentialities for development.
He insisted that every worker must be systematically and thoroughly trained. Taylor felt that
it is the responsibility of the management to develop the worker offering him opportunities
for advancement to do the job to the fullest realisation of his natural capacities. It is
necessary to ensure that the employees accept the new methods, tools and conditions
willir~glyand enthusiastically. ,
16
9.4.3 Bringing together the Science of Work and Scientifically Selected

and Trained men '
To enable the worker to do his job and to ensure that he may not slip back to the earlier
methods of doing work, there must be somebody to inspire the workers. This Taylor felt is
the exclusive responsibility of the management. He believed that workers are always willing
to cobperate with the msnngcinent, but there is rnore opposition from the side of
management. Taylor maintained that this process of bringing together causes the mental
revolution.
Scientific ManagerncntF.W. Taylor

I
9.4.4 Division sf Work and Resprssasibi~ity

In the traditional management theory, the worker bore the entire responsibility for work
while management had lesser responsibilities. But Taylor's scientific insnagernent asssmes
equal responsibility between management and worker. The manager unlike in the past is
equally busy as the worker. This division of work creates understanding and mutual
dependence between them. There will also be constant and intimate cooperation between
' them. All this results in elimination of conflicts and strikes.
Howeuer, none of these four principles could be isolated and called scientific management.
It is a combination of all elements described above. We can slimmarise the philosophy of
these principles as under:
a) Science, not rule of thumb;
b) Harmony, not discord;
C) Cooperation, not individualism;
d) Maximum output, in place of restricted output; and
e) Development of efficiency and prosperity.
9.5 FUNCTIONAL FOREMANSHIP

Taylor doubted the efficacy af the 'linear' system or the military type of organisation in
which each worker is subordinate to only one boss. He replaced this system with what is
called 'functional foremanship in which the worker receives orders from eight narrowly
specialibed supervisors. He divided the work not only among workers, but also at the
supervisory level. Of the eight functional bosses, four will be resporisible i'or planning and
the remaining four for execution: 'The gang-boss, the repair-boss, the speed-boss and the
inspector are the four bosses for execution. The order la work and route clerk, the
instruction card clerk, the time and cost clerk, and the shop disciplinarian are the four
planning bosses. Taylor believed that in this functional type of organisation, the foreman can
be trained quickly and specialisation becomes very easy. The concept of division of work
between planning and execution was incorporated in line and staff concept, wit11 line being
the executing agency and staff being the planning agency. Taylor also specified nine
qualities which will make a good 'foreman'. They are: education, special or technical
knowledge, manual dexterity and strength, tact, energy, grit, honesty, judgement and good
health.
1
9.6 MECHANISMS OF SCIENTIFIC MANAGEMENT

Apart from functional foremanship, Taylor also developed some more mechanisms to serve
his principles of scientific management. They are:
0
'0
Time study;
Standardisation of all tools and implements used in thettrades and also of the acts or
movements of workmen for each class of work;
The desirability of a planning room or department;
The 'exception principle' in management;
The use of slide-rules and similar time saving implementb;
Instruction cards for the workman;
The task idea in management, accompanied by a large bonus for the successful
performance of the task;
The 'differential.rate';
~ n e m o n i csystems for classifying manufactured products as well as implements used in
manufacturing;
A routing system; and
Modem cost system.
Taylor defined scientific management negatively:
i) It is not an effi~iency~device;
ii) It is not a new scheme of paying men;
I
iii) it is not a new system of figuring cbst;

iv) It is not a time study or motion study: and
It is not divided foremanship or firnctional foremanship.
V)
Public Orgnnisations:
'Il'hc Paradigm5
Cbaeck Your Progress 2
Note:
i ) , Use the space given below for your answers.

L
i)
. what is Taylor's concept of management?
...............................................................................................................................................
"......................................................................................................
b................................
ii)
Discuss the principles of scientific management.
..
iii) ~ n ~ l ' i functional

in
forernanship:
iv) What mechrlnisms were identified by Taylor to serve his principles of scientific
management?
9.4,MENTAL REVOLUTION
Scientific management, in its essence, according to Taylor, primarily involves a complete
mental revolution on I-hepart of workers and managFment regarding their duties, towards
their work, towards their fellow workers, and towards all of their daily problems. It demands
'the realisation of the fact that their mutual interest is not antagonistic; and mutual prosperity
,
is possible oiily through mutual cooperation.
!
According to Taylor, in every organisation a conflict exists between workers and

mqnagernent due to improper divihion of output, toavoid this, it is essential to change the
mental attitude of bbth sides. Thus Taylor propagated the concept of 'mental revolution'.
*'
'
18%
Taylor was of the view that in an organisation both workers and employers should cooperate
with each other and work together tqwards increasing the productivity. The workers arid
rnanagernenf should concentrate only on increasing output an4 pothing else; they should
continue to d o so until the output increases to such an extent that it becomes unnecessary to
qqarrel o v ~ its
r division. Increased output would give better wages to worker and high profit
to management and this atmosphere of conflict will beieplaced by' peace and harmony.
9.8 CRITICISM
Scientific management. became something of a 'movement' and offered the hope of
resolving industrial problems. But there were mahy criticisms on Taylor's concept. The
criticisms primarily came rrom:
Trade Unions Bnd Organised Labour

Managers
Human.Relations Theorists and Behaviouralists.
The trade unions were against the modem methods of increasing output by the introduction
of the premium bonus system. The labour leaders considered ~ a ~ i o r i sasmnot only
destroying trade unionism but also destroying the principle of collective bargaining. They
thought that the system was il menace to the community at large as it-causes continuous
increase in unemployment.
Trade unions felt that Taylor was more interested in the mechanical aspects of work and no1
mlich concerned about the total work situation. A number of agitations by the labour
organisations and their representatioris to the American Congress, led the House in 1912 to
appoint a Special Committee of the House of Representatives to investigate into Taylorism.
Although the report of the.committee favoured neither the labour nor Taylor, the trade
unions in 1915 succeeded in getting an amendment to Army Appropriation Act, forbidding
the use of stop watches or the payment of premiums or bonuses in Army Arsenals.
Trade Union's opposition to Taylorism also led to an investigation conducted by Robert
Hoxie for the United States Commission on Industrial Relations. Professor Hoxie in his
report criticised Taylor's scientific management and Taylor's approaches as they were
concerned only with mechanical aspects and not with the human aspects of production. The
report also stated that the basic ideals of scientific management and labour unionism were
incompatible.
Taylorisrn was also attacked by the managers. Those who wanted quick promotions tb the
high managerial positions opposed Taylor's stand, which advocated training by experts. The
managers "did not appreciate his scornful comments on rule of thumb method. Those who
had fought their way to high managerial positions without the benefit of higher education
were sensitive to Taylor's stand that unless assisted by highly trained experts they were
unqualified to manage". It is very interesting to note that Taylor had to resign from both
Midvale Steel Works anp Bethleham Steel because of the friction with the company
managers.
Among others who criticised Taylor include Oliver Sheldon, a British Management thinker,
Mary Parker Pollett, an American business philosopher, Sam Lewisohn, Elton Mayo, Peter
Drucker and others. They chaeed that Taylor's scientific management was impersonal and
underemphasised the human factor. This criticism led to a series of ekperiments in industrial
sociology and social psvchology. The classic Hawthorne Experiments of Elton Mayo and
other research studies on humarr relations and group dynamics in industry rejected
Taylorism. (More on this in Unit 10.)
Elton Mayo through his classic Hawthorne investigations conclusively proved that it is not
the structural arrangements which are important for increasing productivity and efficiency in
the organisation, but it is the emotional attitude of the worker towards his work and his
colleagues. The Taylor's philosophy that men were generally.lazyand try to avoid work has
also been disputed. It is evident from Brown's analysis that "work is an essential part of
man's life, since it is that aspect of life which gives him status and binds him to the
society.... When they db not like it, the fault lies in the psychological and social conditions of
the job. rather than the worker".
Another criticiim of Taylor is that he did not properly understand the anatomy of the work.
His emphasis on the minute division of work and specialisation was severely criticised on
several grounds. Firstly, the work gets depersonalised'and the worker becomes a mere cog in
the machine. Relations between the worker and manager become. remote as a result the
worker loses the sense of participation in the work. More than anything, the worker finds no
outlet to exhibit his abilities and potentialities. Secondly, it may even lead to automation of
the workers which may have physiological and ne,urological consequences. As has aptly
been put by Peter Drucker the organisation becomes a piece of poor engineering judged by
Scientific MasagementF.W. Taylor
'
I'uhlic Organisatiuns:
/The Paradigms
the ittindards of hurrtan relations, its well as by tliose of productive efficiency and output.
Thirdly, Taylor's divisio~lof work into planning and executive divisions has severely been
L'riticised. It is argued thrtt in such situations it is tlifficult to develop proper team spirit, and
if plailning is totally divorced From cxecutiorl it is difficult to secure the participation of the
workers in the progress of-the firm. It has also been argued that Taylol: overlooked the fact
that the prirlciple of ilivisi~nand snb-division of work into minutest parts is subject to the
law of diminishing returns. Thus Taylor's philosophy was summarised in the following
words: "First, he confuses the principle of analysis with the principle of action.... Second,
planning anti doing are separate parts of the same job; they cannot be totilly divorced".
Behaviouralists charged that Taylor's methods of scientific management sacrifices the
initiative of the \vorker, his individuitl freedom and-the use of his intelligence and
responsibility. Herbert Simon and March have described the scientifid management as the
'physidlogical organisation theory'. Br:~veman,characterised Taylorism: (a) as abstracting
the craft skill from the worker and housing it in a system of control, and (b) using this
itnowledge s o gained to legitimist control of llie worker.
The second point about legitirnising the managerial control of the worker has been expanded
by Whiteaker. He asserted that i t is :~neffort by capitalist philosophy to'resolvc. the contrast
between represdrltative political democrncy 11nd the ;~pyointednon-responsible authority in
business and industry in rnc~dernindustrial hocieties.
8.9 AN EVALUATION OF TAYLOR'S CONTRIBUTION

Despite the 1imit:ktions - limitations concerning an adequate understancling of human
psychology, sociolopy and the anatomy of work -Taylor's work remains supretnely
,
important. By all accounts Tuylor must be regarded as a pioneer in the study of human
beings at work. Hewas the first person to initiate the quest for better performance at work.
We was also tlie first io apply quantitative techniques to tlie study of industrial management.
Modern scientific management, operations research, method study, time study, systems i
analysis, management by exceptions, etc., are all n part of Taylor's heritage.
Taylor's scientific management became something of 3 movement. In an age of growing
achievement in the physical sciences it offered the hope of resolving industrial problems
through the use of objective principles. For young and imaginative engineers, it provided an,
ethos and a mission in life. After the initial period of resistance. it conquered the citadels of
old fashioned industrial management in the United States and had a tremendous effect on
industrial practice. It spread to Germany. England, France, USSR, and other European
countries. Japanese Industry has used the techniques of scientific management extensively.
during the entire period of its growth to.imirove its unit cost production. Many of the
developing countries have been trying to use scientific management wifh varying effect.
Scientific nianagement was supported in Russia and Taylor's principles were included in the
curriculum s f education and training of the engineers. Ruthlessly exposing the essence
of the ~ a ~ l system
o;
as "the last word in re'ckless capital exploitation" Lenin explained "we
must introduce the T:bylor systems and scientific efficiency of labour throughout Russia by
combining the systelii with reduction in working time, with the application of the new
methods of piaoductionarnd work organisation undetri~nentalto the labour power in the
working population"'. Taylorisnl took shape as "Stakl~anovitemovement" in USSR.
F

I
~ ~ o t e i:) Use the space given below for your answers.,
%
i)
ii) Check your answers with those given at the end of the unll.
What are the major criticisms against ~ a ~ l o rScientific
's
Management?
Scientific Mnrei!graaeiat;---
i i ) Estimate the place of ~ a ~ lino administrative

r
literature.
9.10 LET US SUM UP
-----
F.W. 'Tiylor
--
'The corltributions of: Tayior to the philo~ophyand principles of Scientific Management have
been highlighted in this unit. We have discussed the four principles of scientific
management propounded by Taylor. Other contributions like functional foremanship. the
different mechanisms to serve his principles have also been highlighted in this unit. Taylor'?
contributions evoked severe criticisms from different quarters even during his times. We
have made,.therefore, a,critical evaluation of his contributions. One of the critlcisrns against
Taylor's principles is that it sacrificed hurnan element for the sake of ~nechanicislefficit:ncy.
Taking clue from these criticisms later scholars developed what is now popularly known as
'human relations approach' to the study of organisations. In the following elnit we would
study the contributions of Elton Mayo.
9.11 KEY WORDS

Functional Foremaa: Specialist supervisor
Hawtlnorne Exberiments: Elton Mayo's research studies which rejected Tdy~orisnl
Mental Revolution: Changing of mental, attjtudes of workers and rnanagcrnent towards
increasingsurplus to S W an~ extent that dlvlslon of olltpul between bllenl is not. nkcessary
Midvale Steel Company: Where Taylor obsenfecl the workers arlci conductetl cxpi.rinicr~~\
Motion and Time Study: Studying the workers handling the jobs
Piece-rate: Prirlciple of wage payment
Shop System: Where the work is done under the optimum contlitions
",-.
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9.12
SOME USEFUL BOOKS
....
--
.-
Prasad, Ravindra, D. et. al, .(Eds.), 1989. Administrative Ilainkers;Sterling Publisllers: New
Delhi.
Pugh, D.S. et. al, 1971. Writers on Organisations;Penguin Bwks: Lords.
Taylor F.W.,
1947. Scientific Management; Harper & Row: New York,
9.13 ~ p*;a~7nv
j
."
. "0 CHECK YOUR PROGRESS
EXERCISES
Check Your Progress.1
i) See Sub-section-9.2.1 .
ii) See Sub-section-9.2.2
i) See Section-9.3
ii) See Section-9.4
iii) See Section-9.5
iv) See Section-9.6
Check Yorir Progress 3
i) See Section-9.8
ii) See Section--9.9
1-
UNIT 10 HUMAN RELATIONS

APPROACH- ELTON
MAY^ ,
Structure
,
Objectives
introduction
Meaning and Efaergence
10.2.1 Economi Depression
10.2.2 Capital lntensive Industry
al
10.2.3 ~ e c h n o l o ~ i c Progress
10.2.4 , Reactior~to Taylorism
10.2.5 Class ~nta~onikrns
Early Experiments of Mayo

10.3.1 The First Enquiry
Hawthorne Studies
10.4. I The Great Illumination 1924-27
10.4.2 Human Attitudes and Sentiments
10.4.3 Social Organisation , '
Absenteeism in ~ndustries
Criticism
Let Us Sum Up
Key Words c
Some Useful Books
Aaswers to Check Your Progress Exercises
1
10.0 OBJECTIVES
After reading this unit, you should be able to:

@
explain the meaning and content of human relations approah

discuss the significance of Hawthorne Studies
describe the features of human relations approach; and
critically evaluate the human relations approach.,
'
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10.1 INTRODUCTION
1
II
- --
d-
In the earlier (Units 8 and 9) we have examined the approaches to organisation r~lnilrlyfrom
the structural point of view. The limitations of this approach led to a search for alternative
approaches to fully understand the working of organisations. The emergence of human
relations approach is the result of such a search. In this unit we will examine various
developr-r. x w t w - ' --fs and trials in this field. Since the contribution of Eltoll Mayo is
very important, we kill focus our attention on him and his studies in detail. Finally, we shall
evaluate the theory and thc contribution of Elton I\;layo.
!0.2 MEANING AND
EMERGENCE
--*I
INOW
let us start with the meaning of the concept of human relations. The term human
relations mostly refers to relations between workers and ekployen which are not regulated
by legal norms. These relations are concerned with moral and psychological rather than
legal factors. However, the term industrial relations which embraces h t h the abovementioned concepts should not be confused with human relations. The hzlman relations
concept is concerned with devising concrete metliods for ideological orientation of workers
in the factory,
Human relations approach lays emphasis on people and their
motivation^;
unlike classical
Public Organi9stions:
'rhu Paraciignlr
theorists who emphasised on structure and principles. It believes in analysing the multidimensional nature of human beings iind their interactions, to understand the working of
organisations. It also emphasises on the study of informal organisations to understand the
working of formal organisations.
Several socio-economic factors influenced the emergence of the theory alld practice of
human relatio~is.'The most irrlportant of them are:
@
@
@
Economic depression
Capital intensive industry
Tecl~nologicalprogress
Reacticui to 'raylorism
Class antagonisms
Let us briefly_discuss each of the five factors.
The theory look shape in tlie twenties and thirties of this century yhen there was a general
crisis in the capitalist countries. The United States of America ma9 be mentioned as the
most suitable example since it was hit by-the unprecedented economic crisis of 1929-32.
The problem became acute due to increased production as a result of mechanisation.
MechanisatZon reduced physical stress considerably but if had increased mental strain.
Employers found themselves compelled to focus their attention on the psycliological or
human factor in industry. The interest of the employees in their work began to determine the
prc~ductivitylevels to an increasing degree. Growing concentration and specialisatiotr of
production demanded better coordination in the work of all sections of an enterprise.
Researchers and exectitives established dlat the relations between members of production
tearns were irriporiant with regard to the attainment of this end.
10.2.2 Capital Intensive Industry
~ ' u r i this
n ~ period, industry was becoming more capital intensive. A breakdown of
e p ~ i b n ~ e nstrikes
t,
and high labour turnover used to cause the monopolies enormous losses.
It is thus not surprising that the giants of ~nonopolycapital started showing much more
intciest in ensuring that the workers showed a 'dedicated' attitude to their work and the
interests o f the col~~pany.
'
10.2.3 Technological Progress

4
Technological progress produced major changes in the workers as well. Their level of
education and professional skills rose considerably. Consequently the worker's sense of
,per.soni~ldignity had asserted itself and their material and cultural aspirations had changed
beyond recognition. Thus the workers started demanding more and more resolutely and
insistently that they be treated ps human beings.
10.2.4 Reaction to Taylorism

The humnrrfelations approach was also pitrrly a reaction lo the one sided nature of the
Taylor system. You are aware that Taylorisrn dominated the scene in the twenties and
thirties. It was criticised as n design to intensify exploitation by raisirtg productivity levels
through in~provedorganisation of production and the maximum utilisation of the wdrker's
physical capacities. Taylor openly srated that "each shop exists .... for the purpose of paying
dividends to its owners". He regarded the worker as a0 appendage to t l ~ cmachine blindly
carrying out a specific set of mechanical operations.
'
Although the Taylor system did result in a certain rise in productivity of labour, eventually
the system found itself at a dead end. In tlie thirties, apathy among the workers, depression.
tlcightened irritability nlia a complete loss of interest jn work etc.; became widespread.
These pheno~ncnincould nor but arouse une'asiness among en~ployerssince they led to a drop
in labour productivity, to absenteeism and high labour turnover. In addition, it led td a
deterioration in relatio~lsbetween the workers on the one hand and the owners and the
mSinatr;ementon the other.
.
'
'
24
'
The worsening of,cla?s antagonisms and the resolutecharacter of the Trade Uniorp
movement in the United Stales accelerated the introduction of the human re~atibhsapproach.
.
Human Relations AppraachElton Mayu
A few critics stated that the interest of the monopolists can be explained largely by the
growth of the labour movement and the expansion of the trade unions.
The emergence and evolution of the human relations approach must be viewed in the light of
the correlation of the class forces in an international context. Here niention must be made of
the influence of the October Revolution of the Soviet Union on the world. In order to retain
their dorninant.position capitalists have found it more and more essential to evolve their own
rrleasures in answer to the challenge of socialism.

What
is human relations approach ?
i)
..............................................................................................................................................
,
,.,
ii) Describe the factors which led to the emergence of human relations theory.
,I
I
The basic tenets of human relations doctrine were formulated by the American Sociologist,
Elton Mayo, in the late twenties and early thirties. His studies on Industrial Sociology and
Industrial Psychology are so profound that he has been considered one of the pioneers o f ~ b
human relations approach to the organisation. Mayo concentrated his attention on the '
behaviour of the workers and their productive capacity. He called this approach a clinical
method. He published a few scholarly articles and a few books on the basis of his research.
10.3.1 The First Enquiry

As we have discussed earlier, at the time of Mayo's research work, the industry in America
was undergoing a crisis. Therefore like his contemporaries Mayo focused his attention on
fatigue, accidents, production levels, rest periods, working conditions etc., of the industrial ;
worker in the factories. He started his first experiment in a teX51e mill near Philadelphia in
1923. In the circumstances prevailing at that time, the mill provided all the facilities to the
labour, was well'organised, and was considered to be a model'organisation, The company
president who had been a colonel in the US army gained respect from the employees since
several of them were under his command before and during the First World War in France.
The management was progressive and human but at the same time it faced some serious
problems in a particular section of the mill. The general tumover of the employees was
estimated at 5 per cent per year in all the branches except in mule-spinning section where
the tumoier was nearly 250 per cent. None was able to find out the reason for this large
turnovrr. All posclhle incentives were introduced to minimise this large tumover but did not
yield any good result. As a last resort the matter was referred to Harvard University.
'
This was the first major research study undertaken by Elton Mayo after joining Harvard and he
named it "The First Euijr;irj.". He studied the problems ot'the mule-spinning department
intensely from various angles and with the help of management started experiments. To
begin with, he introduced rest periods with every team of piecers. The results,were
encouraging. The scheme was extended to all the workers to eliminate the problems.of
fatigue. The workers evinced interest in the scheme and were pleased with the results. The
symptoms of uneasiness disappeared, the labour turnover almost came to an end, production
rose and the morale generally improvea.
Public Orgonisatians:
The Paradigms
This was the beginning for Mayo to proceed further. He suggested a number of new
scheirmes whereby the workers had to earn their rest periods and bonus by producing more
than a certain ptrcentape. Some more new schemes like stopping the spinning section
completely for ten rninutes brought a new change in the outlook of supervisors and
employees and all of the~nwere satisfied with this new work culture. The management had
placedthe control of rest periods squarely in the handsof workers which led to consultations
anlong the workers. A new awakening began whereby the assumptiot~of rabble hypothesis
which assumes "mankind as a hord of unorganided individuals by self-interest" has
gradually given place to group interest etc.
10.4 HAWTHORNE STUDIES

Let us go to the next phase of the experiments conducted by Elton Mayo. The Hawthorne
plant of the Western Electric company which employed 25,000 workers at the time became
3 centre of intense research activity. Beginning from 1924 it was conducted in different
places. At that time it was felt that there was a clear-cut cause and effect relationship
between the physical work, environment, and the wel1,being on the one hand and the
productivity of worker on the other. Therefore, the management assumed that given proper
ventilation, room temperature, lighting and other physical working conditions, and wage
incentives the worker could produce more. The National Research Council of the National
Academy of Sciences decided to examine rhe exact relationship between illumination ant1
the efficiency of the worker. The research began in 1924.
18.4.1The Great Illumination 1924-2'7
Two gpups of female workirs each consisting of six, were selected and located in lwo
separate rooms, performing the same tabks. The roorns were equally illurllinated t o cx:urninc
the level of production on the basis of varying levels of illumination. In the beginning. the
working conditions were stahilised. Then slowly the conditions of work were changed to
mark the effect of this change on the output. This research established that regardlesh of
level of iflumination, production In both the control and experimental group5 increased. this
made them to give up the illumination theory. Mayo, established that the test room girl4
became a social unit and because of the increased attention of research team in them they
developed a sense of partjcipat~onin the project.
From 1924 to 1927, various experiments were conducted in the Hawthorne plitril. In
1at.i
Mayo was involved in the experiments after some initial probings by a research f':liled 10
come to any definite cor)clusions.,Onthe basis of the results derived by the team, M a ~ o
felt
that mental attitude of the workers was perhaps responsible in the behaviour of workers.
Ceizain hypotheses were proposed to explain the failure of the original illurninntion project.
Butmallthe hypotheses were rejected.
Mayo felt that work satlsfaction deperlds to a large extent on the infontl:ll social pattern of
the working group. He thought that the supervisor could be trained to pldy a different role
which'would help him to take personal interest in the subordinates and dischurgc his,duties
better than earlier.
Mayo also noted that the worker should be made to come o_ur openly with thcir needs,
,interact freely and without fear with cornpany officials. Improving morale I \ lo be closely
aswirrted with the style of supervision. This link between supervision, morale and
productivity became the foundation stone of the human relations movement: This network of.
experiments had been hailed as the "Great Illumination" because it had thrown light on the
new areas of industrial relations.
10.4.2 Human Attitudes and Sentiments

In 1928, rhe ~ a k a r siu'dy
d
team conducted an indepth study in the same plaqt on human
attitudes and sentiinents. Thp workers were asked to exprey freely and frankly their likes
. and dislikes on the programmes and policies of the management, working conditions,
treatment by the management etc. AfJer some initial difficblties, it was realised $at there
was a change in the mental attitude of the workers although no reforms were introduced. It ,
appeared as if the workers were involved in the management and also felt that there was An
opportunity to "let off stegm" which made them feel better eventhough there was no
material change in the environmerrL\
Human Relations ApproacliElton Mayo
Wheri the data was analysed, ~t was found out that there was no correlation between the
nature of complaints ancl the facts. The research teani realised that there were two types of
complaints. They were nlarerial complaints and psychological complaints. The team felt that
[he preoccupation of the worker with personal problem!, many a time inhibited his
performance in the industry.
The study identified the followirig three aspects: First, the workers appreciated the method
of collecting information on the problems of the company from them. They thought they had
valuable comments to offer and felt happy because they were allowed to express freely.
Second, there was a change ir; the supervisors because their work was closely observed by
the research teirrn and subordinates were allowed to talk freely.
Third, the research tearn also realised that they had acquired new skills in understanding and
dealing with their fellow beings.
In 1931-32 Mayo and his team conducted the final phase of the research programme at
Western Electric Company. It was conducted mainly to observe a group of workers
perf'orming a task in a natural setting. Formal methods were discarded. Observation method
was followed by analysis of group behaviour. A number of employees corisisting of three
groups of workmeri whose work was inter-related were selected for tlic study. Theirjob was
to solder, fix the terminals a~rdfinish the wiring. Wages were paid on tht: basis of a group
incentive plan and each rnernbcr got his shhre on the basis of the total output of the group. It
was found that the workers had a clear cut standard of output which was lower than the
target fixed by the management. The workers according to their standard plan did riot ;illow
its members to increase or decrease the output. Although they were capable of producing
more, the output was held down to.maintain uniform rate of output. They were highly
integrrtted with their social structure and informal pressure was usecl to set right the erring
ihembers. A code of conduct was iilso maintained by the group.
Mayo and his tearn 1i)und out that the behaviour of'the group had nothing to do with the
management or general economic condition of the plant. The workers resented the
interference uf the supervisors and teclinologists who were supposed to increase efficiency,
as disturbance. The workers thought that the experts follow logic of efficiency with ii
constraint on their g r o ~ activity.
~p
Further, the supervisor as a separate category represented authority to discipline the workers.
The logic of efficiency did not go well with the logic of sentiments which had become the
cornerstone of the social system.
Thus, the study concluded that one should not ignore the human aspect of organis:ition.
Instead of overemphasising technical and economic aspects of the organisation; the
management should illso concentrate on human situations, motivation, communication with
the workers. 'The concept of authority, Mayo felt, should be based on social skills in
securing cooperation rather than expertise.
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..
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10.5 ABSENTEEISM IN INDUSTRIES

.
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.-
. ,.."--
---
The study undertaken by Mayo in 1943 miiy be considered as the final one. Mayo came
across a typical problem faced by an industrialixt during the Second World War. The war
situation created an all round dislocation in all walks of life. lrldustry was no exception. In
this particular situation the turnover of the labour wiis more than 70 per cent and
absenteeism was chronic. The management was perplexed at the situation and approached
Mayo to find out the reason and suggest remedies. Mayo began his work in 1943.
On the basis of thk previous experience, Mayo.and his team found out that in the industry
~ i t alarming
h
turnovel ulid absenteeism, there were neither informal groups rror naturitl
leaders to knit the workers into a team. They were unable to form a team bec:iuse of certain
personal eccentricities, as they were not given an opportunity to form an infonnal tenm.
Hence, there, was heavy turnover and absenteeism of the labour. Mayo suggesteci that to the
extent possible the management should encourage formation of informal groups and treat
the problervs of the workers with h:lrrran understanding. He stated that the worker should be
'
The Paradigms
treated as human beings but not as cogs in rhe machine. The labour should not develop a
feeling that they were subject to exploitation by the management.
Thus, Mayo suggested the formation of infomial groups So that the cooperation of the
employees could be developed in organisations. His studies also led to an increased
understanding of the human factor in work situations and a greater degree of communication
system between employers and employees.
After analysing the various studies of M ~ Y O
we, have reached the final stage in which Ge
have to look at his studies critically.
10.6 CRITICISM
-
--
Mayo and his research tindings were subject to bitter criticism. First of all, they were
criticised on the ground that the theory tried to substitute human relations-oriented
supervisors for union representation. He was criticised for not understanding the role of
unions in a free society. It was argued that Mayo never tried to integrate unions into his
thinking. Hence, Loren Baritz and others criticised 'Mayoists' as anti-union and promanagement. In fact in 194Y, United Auto Workers in America lashed out at the Mayoism
with bitter criticism and branded the Hawthorne researchers as 'cow sociologists'. Some
oritics pointed out that sweeping conclusions were drawn from a relatively few studies
which were, full of pitfalls.
Critics like Carey pointed out that the Hawthorne group selected in their first experiment
'cooperative' girls who were willing to participate in the research programme and this type
of research was "worthless", since a sample of five or six could not be taken as a reliable
sample to make generalisations. Carey also observed that the evidence obtained frorn the
experiments does not support any of the conclusions derived by the Hawthome
investigators. There exists a vast discrepancy between the evidence and the conclusions. On
the other hand, the data only supports, according to Carey, the old view of monetary
incentives, leadership and discipline as motivating factors for better performance. He also
criticised Hawthorne investigations for their lack of scientific base.
Peter F. Drucker, the well known management expert, criticised human relationists for their
lack of awareness of economic dimension. He felt that the Warvard group neglected the
nature of work and instead focused on interpersonal relations. Mayo was criticised for his
sentimental concentration on the members of an organisation to the neglect of its work and
purposes, and a general softness and lack of direction. Mayo also has been criticised as
encouraging a paternalistic domination of the private lives and even the private thoughts of
individuals by their employers. The critics argue that there was no place in Mayo's
philosophy for conflict, and he sought to achieve organisational harmony by subordinating
individual and group interests to the administrative elite.
Bendics and Fisher have argued that Mayo's failure as a social scientist arises in large
measure from his failure to define sharply the ethical presuppositions of his scientific work.
Without these pre-suppositions made clear, the knowledge and skill which Mayo finds so
undervalued in democratic societies desewe no higher rating'than they get. Daniel Sell was
one of the bitter critics of the human relations theory propounded by Mayo and his
colleagues. He said the methodology adopted by the Harvard group was defective. Others
pointed out that to think that a conflict-free state and worker-contentment would lead to
success of the company was not tenable'because some tensions and conflicts wkre inevitable
in every human situation. The goal should be to provide healthy outlets instead of indulging
in utopian ideals of conflict-freesociety. Therefore, the critics stated that the team displayed
a lack of total awareness of larger social and technologii.al systems.
J
f
$

i) Explain the First Enquiry.
i
I
r
i
\i
Human Relations Approach-
...............................................................................................................................................
......................................................,............................................................*..........................
.ii) Discuss the exgrimenti conducted at the Western Electric Company.
'
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iii) What are the major criticisms on the Human Relati9ns Theory?
10.7 LET US SUM UP

The contribution of Mayo to adm'tnistrative organisation has been a great innovation of the
modem times. For the first time, he made an attempt to understand the problems of the
industrial labour from an angle different from the traditional approach of scientific
management era. In addition to human relations in the organisation, Mayo critically
examined the employee-employer relations in a capitalist society, stability of the labour,
supervision, etc., of the industrial workers. Although the detailed analysis of work was
conducted by his associates in the Hawthorne Plant and elsewhere, he was the moving spirit
behind all these attempts at various stages. The Hawthorne studies soon became a historic
landmark in administrative thought. The studies as Drucker has put it, "are still the best, the
most advanced and the most complete works in the field of human relations. Indeed, it is
debatable, whether the many refinements added since by the labour af countless people in
industry, labour unions and academic life have clarified or observed the original insight".
The contribution of Mayo is immensely useful not only in the industrial sector but also in
the administrative system of a state, paqticularly in the case of bureaucracy. His work also
paved the way for adequate communication system between the lower rungs of the,
organisation and the higher levels'. His main emphasis was on the individual well being with
the help of social skills in any organisation. Mayo is regarded as one of the founding fathers
of human relations concept in the administrative thought. He was a behavioural scientist
long before the tekm became popular. Taken as a whole, the significance of Hawthorne
investigation was in tdiscovering' the informal organisation which it is now realisect exists in
all prganisations. The importance.of group affecting the behaviour of workers at work was
brilliantly ana1,ysed through these experiments.
110.8 KEY WORDS

Clinical Method: The method which focuses one's attention on the behaviour of the
worktrs and their productive cppacity
Elton Mayo
-
iBublicOrga~lisntions:.
The Paractigms
Great Illumination: Elton Mayo's network ot'experi~r~ents

which had throwrt light o n the
new areas ot' industrial ~.el;~tinns
Industrial Wll~es: Depression, irrilability. :I complere loss o f interest among the workers in
a highly ntechanised f;~ctories
Let-off Steam: Express one's complaints
Material Complaints: CompIaints relilting to rnonetnry matters
Psychological Complaints: Compl;lints regarding mental stress and strain
Robert Owen: Early Socialist who helievcd that social lift and worh arc rn~~tunlly
dependent
The First Enquiry: The first major research s t ~ ~ dundert~ikcn
y
by Elton Mayo in n textile
mill near Philadelphia in 1923

Baker, R.J.S., 1972. drln~it~i.s~ruti\~e
T/~eor:\i
and Plthlic Aclnrir~i.srr.ation..Hutchinson
University Library: London.
Progress Pi1bl ishers: MOSCOW.'
Gvishiani, G.. 1972. Ol-,qoni.sation& Manog-cnlc~t~t;
Prasad, Ravindra, D. (ed.). 1989. Allnlinistruiil~rT f ~ i n k ~ Sterling
rs;
Publishers: New be~tji.
1
I

EXERCISES
--

i) See Section - 10.2 .
ii) See Section - 10.3,
i) See Sub-sectinn - 10.3.1
ii) See Section - 10.6
iii) See Section -10.8
---
-.
SYSTEMS APPROACH --CHESTER BARNARD

Structure
1 1.0 Objectives
1 1 . 1 Introduction
1 1.2 Systems Approach
1 1.3 Organisation as a Cooperative System
1 1.4
1 1 .S
1 1.6
1 1.7
1 1.8
1 1.9
1 1.10
1 1. I I
1 1.12
Formal Organisation
Concept of Authority
Zone of Indifference
The Functions of the Executive
A Criti~alEvaluation
Let Us Sum Up
Key Words
Some Useful Books
--- -
81.0 OBJECTIVES
--
-------
--
--
After studying this unit you should be able to:

@
0
@
@.
define a system
describe the featuies of a cooperative system
explain the theory of authority
identify the zone of indifference
explain the function of the executive; and
assess thc contribution of Bprnard to administrative theory.
So far, in this Block you have studied the scientific managemenf, classical and human relations
approaches. In particular you have studied the ideas of thinkers whose contributions have
strengthened the disdpline of Public ~dministration.In this unit you will study the systems
approach; particularly the contributions of Chester Barnard. Barnard is primarily considered
as a behaviouralist as he laid emphasis on the psychological aspects of management. At the
same time he is considered as a systems,theor.ist. He viewed organisation as a social system.
Barnard, who had spent his life-tirne as a pra'ctitioner managing business 'systems', wrote
two books "The Functions of the Executive" (1938) and "Organisation and, Management"
(1948). In these books Barnard presented convincingly,his views on organisktiorl as a
cooperative system.
CI
11.2 SYSTEMS APPROACH

-
~,
A system is defined as a set of arrangement of things so related or connected as to form a

unity or organic whole. 'A system is composed of elements that are related and dependent
upon one another but that when in interaction, form a unitary whole'. By definition any
phenomenon can be analysed from a systems viewpoint. Systems approach is based on the
thesis that all part+of an organisation are inter-related, inter-connected and inter-dependent.
Systen~sapproach by itself is not new. This approach was first developed in natural and
physical bciences. Even in administrative and management literature, systems C0n~ptSwerc
used by Taylor and others during the early pan of this century. Whit is relatively new is the
emphasis given to this approach in social science literature where krrowledge integration is
keenly felt. For example, Talcott Parsons applied open systems approach to the study of
social structures. Similarly psychologists, economists, political scientists and administrative
analysts have been using the systems approach in the analysis of phenomenon. In
admirtistrirtiveanalysis the systems approach is being widely used in recent years. in this
unit you would study Bamard's conceptu;ilisation of organisations as cooperative systems.
Public brganisations:
The Paradigms
I
The contribution of Barnard to the understanding of organisation phenomenon is one of the

important landmarks in the evolution of administrative theory. The theory which was
developed and published in the late thirties continues to be debated and discussed. This
indicates both relevance of the theory and its intellectual and conceptual potential. Barnard's
theorycomes as both converging and culminating points of the theory of rationality on the '
one hand and the synthesis of formal and informal theory on the other. The purpose of his ,
theory, as stated by Barnard himself, is to provide a comprehensive theory of cdoperative
behaviour in formal organisations. This theory was attempted not based on pure academic or
theoretical exercise but on rich and varied experience Barnard had gained in various important
administrative positions he occupied. It is this combination that makes Barnard's
contribution quite important.
11.3 ORGANISATION
AS A COOPERATIVE SYSTEM
Bamard seeks to develop his theory around one central question viz., under what conditions
cooperative behaviour of man is possible? For him organisation is a cooperative system. 1Ie
haintains that 'cooperation originates in the need of an individual to accomplish purposes
which he individually cannot achieve'. With the result organisation becomes an enlistment
of other individuals cooperation. As many individuals are engaged in cooperative behaviour
it constantly changes and the complex biological, psychological and social factors are in
(constant interaction. The cooperative organisation for its survival must be "effective" in the
sense of achieving oiganisation purpose and "efficient" in satisfying individual motives.
Thus the individual and organisation become important. The executive should adopt the
organisation to the needs of individual and the general environment. It is these concerns of
"effectiveness" and "efficiency" that form the running thread of his theory of cooperative
behaviour.
Cooperative system needs to be understood in tehns of relationship between individual and
organisadon. To start with Barnard seeks to understand the properlies that an individual
possesses: these are (a) activities or behaviour arising from (b) psychological frlctors to
which one added (c) the limited p w e r of choice, which results in (d) purpose. It is thcse
four premises that ddermine Bamard's analysis. He advances an argument that there is a
tendency to exaggerate the power of personal choice. Further, action is also based on the
belief that individual has a choice: Bamard maintains that such a free choice does not exist.
The individuals failure to conform is mistakenly believed as opposition to the organisation.
In fact, it is not the opposition but a structural limitation where free choice of the individual
cannot be either accommodated or reconciled to the organisational goals. It is this process
which gives rise to training'and other incentives which are intended to facilitate the
reconciliation of individual behaviour and the organisational requirements.
Barnard seeks to understand human beings at two levels: One from inside the organisation
and two from outside the organisation. From inside they are treated as 'participants in
specific cooperative system'. Here they are regarded in their purely functional aspects. Their
efforts are depersonalised and they have to fit into the fomalised roles. From the second
angle a person outside any specific organisation has his ow? distinct qualities. These two
aspects, according to Barnard, are not alternative in ti,me but are simultaneously present.
These.two aspects are always present in cooperative systems. It is from such a position a
situation arises where the activities of the person are nearly a part of non-personal systems
of activities from one angle and from the second angle the individual is outside and opposed
to the cooperative system. 1t.k these opposing and conflicting aspects that require a serious
' examinition to understand the organisation phenomenon as a system of cooperation.
An examination of behaviour of the individuals should start with an enquiry as to how

indhiduals join a cooperative system or an organisation. The individual makes a choice on
the basis of (1) purposes, desires, impulses of the moment, and (2) the alternatives external
to the individual. Organised effort results from the modification of the action of the
individual through contl~olof or iiifluence upon one of these categories. The desires,
impulses, wants etc. are popularly cbaracterised as 'motives'. They form an important'
dimension of human behaviour. It is ip the process of expressing his motives that man comes to
1
know of them. The concepts of 'effectiveness' and 'efficiency' are rooted in the motivational
processes.
Systems ripproiirh-
Chester Rarnardt
'Barnard observes that when a specific desired end is attained through an action, that action is
said to be 'effective', when the action leads to unexpected or unanticipated consequences fhen
the action is described as 'inefficient'. However, if the unexpected consequences satisfy desires
or motives of.individuals not necessarily and directly pres;med by the'action, the action
becomes 'efficient' but not 'effective'. Thus the unanticipated consequences,may provide
the criterion in judging the action as 'effective' or 'efficient' or both. In oth& words an
ac;ion is effective if it accomplishes its specific aim. It becomes efficient when it satisfies the
motives of that aim, and without helping in attainment of the goal towards which the
activity is directed.
From the above debate it is evident that there are two philosophical propositions about the
human ~~ature:
(a) there are philosophies that explain human conduct as a presentation of
universal f~rces,'thatregard the individual as merely responsive, that deny freedom of
choice or of wili.that make of organisation and socialism the basic position, (b) there are
that grant freedom of choice and of will,that make of iridividuirl as an
independent entity, that depress the physical and social environment, to n,secondary and
additional condition. Barnard seeks not a recollciliation of these two opposite pc;s,itions but
wants to understand and explain how these two positio~lsget manifest in the 'cooperative
systems'. From the experience that the cooperative systems throw up, one can understand
ll
upon the context in which
how these two philosophies influence human ~ ~ t i 0depending
the cooperative systems operate.
.
Examining the phenomenon of cooperation, Barnard traces the causes for cooperation in
physical and physiological fiictors. Individuals enter cooperative actic-~nbecause as
individuals they are not capable of realising their goals. It is their physiological liinitations
ihat drive them into cooperative action. The oiher way to look at cooperative phenomenon is
that the nature puts such a constraint on a single individual that he cannot overcome it
except through cooperative action. For instance, there is a stone and man warits to liftit. But
he cannot do so. His inability can be looked from two points; one, he is too small to lift it; two,
. the stone is too big to be lifted. From one angle the limitation, is,physidogical and..ftom the
other angle it is physical. Either way cooperation becomes necessary once a man sets il
purpose of lifting the stone. Limitations always are related to the puipose or goal that one
aims at.
.
.
In the situations of the above kind the individual characteristics requite to be undcrstood.Biit
the individual faculties by themselves may not mean anything in a cooperative situation
where the faculties of individuals are pooled together. Therefore in all cooperative activity
the objective of action is removed from the individulil and replaced by the collective
objectives. Sincc the ends of cooperative action can be of different kind, each type of action
becomes a limiting cond~tionfor cooperation. Added to it the ob.jectives that man seek of are
never stable as the environment changes resulting in alteration of purposes calling for new
types of cooperative action. Thus the limitations in a cooperative action arise not only
because of the limitations of individuals but also due to the very structure of cooperative
i
of cooperative action depends upon its capacity to cope with
action. ~ h ueffectiveness
changing environment and purposes oC cooperative action.
L
The above discussion indicates that cooperation depends upon two inter-related and interdependent classes of processes: (a) those which relate to the system of cooperation as a
whole in relation to the environment; and (b) those which relate to the creation or
distribution of satisfaction among the individuals. The instability and failure of organisations
or cooperative processes arise from defects in each of these classes of processes separately
and from defects in their combinations.
---
--- -
111.4 FORMAL ORGANISATION

-- -----
It is the cooperative systems that give rise to formal organisations. Barnard defines
organisation as a "system of conscioi~slycoordinated personal activities or forces". The
organisations come into existence when ( I ) there arc; persons able to cornrnunicafe with each
other (2) who are willing to contribute action (3) to accomplish a common purpobe. The
elements of an organisatibn are (1) cor;..vunication; (2) wilringness; (3) common
purpose. Elaborating this point Barnard points out that vitality of organisation depends on
Public Organloatlons
The Paradigms
the willingness of the individuals to contribute forces to the cooperative system: ~ h , s

willingness requires the belief that the purpose can be cm-ied out. However willingness to
contribute disappears when effectiveness ceases. The continuance of willingness also
depends upon the satisfactions that are secured by individual contributors in the process of
c a v i n g out the purpqse. If the satisfactions do not exceed the sacrifices required,
willingness disappeardand the condition is one of organisation inefficiency. If the
satisfactions exceed the sacrifices, willingness persists, and the condition is one of efficiency
of organisation.
Based on the above assumption Bamard observes that initial existence of an organisation
depends upon a combination of communication, willingness and purpose which are suitable
to the external environment. Its survival depends upon the maintenance of an equilibrium of
the system. The equilibrium has both internal and external dimensionsl The internal
equilibrium depends upon the proportion between these three elements. The external
equilibrium has two terms in it; first, the effectiveness of the organisation which comprises
the relevance of its purpose to the environmental situation; and second, its efficiency, which
comprises the interchange between the organisation and individuals. It is in maintaining the
equilibrium at two levels that a formal organisation persists and thrives.
For a deeper understanding of the cooperative systems and the processes, it is necessary to
understand the relationship between formal and informal organisation. Barnard maintains
that it is a part of human nature and a social process that men develop a network of
relationships on systematised interactions. This gives rise to the growth of conventions,
customs and institutions. They have tremendous influence on cooperative systems. Infact
Bamard ernphasises that every informal organisation-a result of social interactions-gives
rise to formal organisation and every formal organisation because of network of
interpersonal relationships gives rise to informal ofganisations. The informal organisation .
becomes necessary to the operation of formal organisations as a means of communication,
or cohesion, and of protecting the integrity of the individuals:
The formal organisations, however, have certain distinct elements which are crucial to the
understqndir~gof the cooperative systems and their capacity to make use of the structural
needs and individual aspirations. In the formal systems of organisation, division of labour
which is described as specialisation or fi~nctionalisationis integral to the organisation. These
two terms, when subject to further analysis, indicate that men specialise but work is
functionalised. In either event, there is division of labour which results in corresponding
division of work. The bases of specialisation of organisation are five: (a) the place where
work is done; (b) the time at which work is done; (c) the persons with whom work is done;
(d) the things upon which work is done; and (e) the method or process by which work is
done. The process of cooperation requires all the five requirements. The efficiency of
organisation largely rests on how these requirements are met.
+
YI
For the purpose of cooperative effort in a formal organisation the question of incentives is
also important, The net satisfaction which induces a rnan to contribute his efforts to an
organisation results from the positive advantages as against the disadvantages. The
incentives are of two kinds; material and non-material. The material incentives include the
conditions of stilary and chances of promotion etc. There are also the nonmaterial
incentives which include the hiernrchy of positions, with gradation of honouis and privileges
and maintenance or pride of organisation, community sense and so on. Both the types of
incentives, Barnard rnainta~ns,are essential. He further emphasises that no organisation can
exist without a combination of these two types of incentives. *
<
Ch'eck YoGr Pxogress 1

Note: i); Use the space below for your answers: "'
i) Define a system.
Systems ApproechChester Harnarct
ii) Why do individuals enter into cooperative action?
iii) Describe the elements of formal organisation.
.............................................................................................................................................
iv) Explain the bases of specialisation in fbrni:il organisations.
II.S-CONCEP'.!' OF AUTHORITY-
.--
.Another irnportalit element for cooperative efforl in a general organisation, which is believed
to be7most crucial, is the element of "authority". Rarnard defines authority as "the character
of-a communication (order) in :I formal organisation by virtue of which it is accepted by a
cbntributor or 'member' of the hrgarilsation as governing the action he contributes". This
, indicates that for Barnard authority consists of two aspects; first, the subjective aspect, the
personal aspect, the accepting of communication as authoritative and second, the objective
aspect-the character In the con~municationby virtue of which it is accepted.
Barnard further'argues that if a directive communication is accepted by one to whom it is

addressed, its iluthority for him is confinned or established. If is admitted as the basis of
action. Disobedience of such a cotnmunication is a denial of its authority for him. Therefore
onder the definition the decision as to whether an order has authority or not lies with the
persons to whom it is addressed and does not reside in "persons of authority", or those who
,i~;ue these orders. H; adds that organisations fail because the authority fails which means
thky cannot secure sufficient contribution of personal efforts tobe effective or cannot induce
them on terms that are efficient. Further authority fails because the individuals in sufti~.ignt .
. numbers regard the burden involved in accepting necessary orders as changing the balance
of advantage against their interest and they withdraw or withhold the indispensable
contributions. It is for this reason Barnqd emphasises '"he necessity of the assent of the
individual to establish-authority f o r l i h is inescapable". A person can and will accept'!
co~munreati~nas"
authoritative only when four conditions simultaneously obtain: (a) h$ can
~ n ddoes understand the communication; (b) at the time of his decision he believes that it is
, Public Organisations:
not inconsistent with the purpose of the organisation; (c) at the time of his decision, he
believes it to be compatible with his personal interest as a whole; and (d) he is mentally and
physically able toconiply with it.
The Paradigms
T h ~ above
s
description leads to an important question as to how is it possible to secure such
an important and enduring cooperation as we observe if in principle and in fact the
determination of authority lies with the subordinate individuals. It is possible because the
decisioris of individuals occur under the following conditions: (a) orders that are deliberately
issued in enduring organisations usually comply with the four conditions mentioned above;
(b)there exists a "zone of indifference" in each individual w~thinwhich orders are
acceptable without conscious questioning of their authority; ( c ) the interests of the persons
who contribute to an organisation as a group result in the exercise of an influence on the
subject, or on the attitude of the individual, that maintains a certain stability of this "zone of
indifference".
----
--
11.6 ZONE OF .INDIFFERENCE
- -
We have diskussed in the previous section that the acceptance of authority in organisations
depends uponsthe zone of indifference. What then is the Zone of Indifference? If all the
orders for action reasonably practicable are arranged in the order of their acceptability to the
person affected, the range may consist of a number of orders which are clearly unacceptable,
that is, which certainly will not be obeyed. Another group may be somewhat neutral, that is,
either barely acceptable or barely unacceptable. A third group may be unquestionably
accep't3ble. This lasttgroup, Bamard says, lies within the "zone of indifference". The person
affected will accept orders'lying within this zone and is relatively indifferent as to what the
order is so far,as the qllestion of authority is concerned. The zone of indifference will be
wider,or narrower depending upon the degree to which the motives exceed the burdens and
sacrifices which determine the individuals adherence to the organisation.
If the inducements are not adequate, the range of orders that are likely to be accepted by the
the organisations would be limited. In o t h e ~words, you may say that the zone
would be short. The executive, therefore, should be conscious of the zone. He should issue
only those orders which wopld fatt within the zone and are acceptable. If the executive is not
conscious of this. Barnard says, that the.executive either does not know how to use his
authority o r he is abusing the authority. +.
' members of
I
I
'
0
11.7 THE FUNCTIONS OF THE EXECUTIVE

I
. .
From the above processe.i and considerations, the functions of the executiGe arise, The
essential executive functions, as stated by Barnard, are first, to provide the system of
communication; second, to promote the securing of essential efforts, and third, to formulate
and define the purposes.
The first function of maintenance of organisational communication has two phases. The first
is definition of organisational positions and the se6ond is maintaining a person~lelsystem.
The forfner requires organisational charts, specification of duties, divisicin of work, etc. The
latter includes recruiting men who liave appropriate qualifications, offer-ing incentives, etc.
These two phases-are complementary and depend on each other.
The second function of securing essential services from individuals a l s has
~ two main
aspects. The first is bringing perssl!s into cooperative relationship with the organisation and
the second is eliciting services and contributions from such people. These can be achieved,
according to Barnard, by maintaining morale, education and training, incentives, and
supervision and control.
The third executive,function is the fom~ulationof organisational objectives and purposes,
. These pudoses must be widely accepted by all the members of the orginisation.
36
The abbve three functions arise basically from the need for cooperation among various
h'uman beings as every organisation is basically a cooperative system, the cooperative effort
requires to be consciously coordinated, It is in this area of organisational process the
executive has td perform the role in realisir~gthe goals and purposes of a cooperative
system. '
11.8 A CRITICAL EVALUATION

Kenneth Andrew~who wrote introduction to the book 'Functions of Executive' observes
that Barnard was on his subjective experience. While it makes his analysis insightful, it also
works' as a constraint. The theory does not provide a clue as fo how this theory can be
extended to the various facets of organisations of different types. He further observes that
Barnard has not dealt about the institotions of top management.
Barnard emphasises on purpose as a central question but pays no attention to the choice of
the purpose in a changing world or to the processes of formulating goals and objectives for
the organisation. h fact what is important is the participation of individual in the conflict
and the way he seeks to integrate it. Also he had not paid adequate attention to the day-to:day
problems that arise In the organisation of human beings. The lack of attention to the goals
could be on account of the fact that the organisations that he held charge of had constant
goals, with the result he did not give full descriptive or prescriptive attention to the
processes of tbrmulation.
Barnard's theory while focuses its attention on cooperative effort, it does not adequately
deal with the creative development of our individual. Nor does it deal with the question as to
under what conditions individuals develop colnrnitment to the organisation and how such
commitment gets strengthened.
'
a
The definition of author~tyunderestimates the objective conditions and deals with the details
of subjective factors as acceptance of the individuals and not on the persons of authority
who exercise it. Authority, infact has an economic dimension. Economically the subjective
dependence depends on the market structure. In a society where the range of alternatives is
large. there individuals may enjoy relative freedom. But where the opportunities are
restricted, the individual has no freedom to reject authority. In other words in a capitalist
society while his interpretation'is valid, in feudal or. underdeveloped societies such freedom
does not exist.
The socialisation process, the family structure, the educational processes deterpine
individuals attitude towards authority. Infact it is these processes which shape the value
system. Barnard has not taken the larger context into account, to that extent his theory
suffers.
0

i) Use the space below for
answers.
i ) Define authority and explain its subjective and objective nsp;cts.
; Note:
ii)
"Authority lies with the persons to whom it is addressed and not with those who
issue ord&rsV.Explai,n,
Systems ApproachChester Barnard
The Paradigms
.............................................................................................................................................
iii) Describe the concept of 'Zone of Indifference'.
iv) What according to Bapard are the functions of the executive?
111.9 LET US SUM-UP
.".
i
In this unit you have studied the contribution of Chester Barnard. He laid emphasis on
organisations as cdoperatiye systems. This conveys,the very essence of group effort. He
expounded the nature of fohnal (structure) and infotmal organisation (relationships) and
their mutual inter-dependencies in a lucid way. ~e iaid emphasis on the acceptance of '
authority by others. Barnard has also explained the existence of a zone of indifference. If the
orders fall within this zone they are unquestionably accepted. All these penetrating insights
into the cornplex nature of organisation and its working would enable you to understand
> .
organisations better.
,
11.10 KEY WORDS

Authority: Legitimate exercisk of pow&
Communication: Inter-change of information between different levels of organisation
Converge: To approach from different directions iowards the same point
Prescriptive: Laying down' rules
7
-

Barnard. Chester 1, 1938. The Funcfifionsof rhr Executive; Harvard ~nivcrsit; press:
Cambridge.
Bhattacharya, Mohit. 1987. Public Administratidp; The world Press Private Limited: '
Calcutta.
r
Luthan S. Fred, 1 9f 7. Orga~isationalBehalsioldr.; McGraw-Hill Book Company: New York.
Prasad, Ravindra D.,et. al, (eds.), 1989. ~dm'inistt~ati\~c

Thinkers; Sterling Publishers: New
Delhi
Pugh, D.S., et. al, 1977. Writers on Orgqt~?i.sutio~?;
Penguin Books: Lords.
EXERCISES
i) See Section-1 1.2
ii) See Section-1 1.3
iii) See Section-1 1.4
iv) See section-11.4
i)
ii)
iii)
iv)
See Section-1 1.5

See Section-1 1.5
See Section-1 1.6
See Section. . 1 1.7
S$stemS Apprnach~ h ~ s t Barnard

er
BEHAVIOURAL APPROACH HERBERT SIMON

Structure
12.0
12.1
12.2
12.3
12.4
12.5
12.6
12.7
12.8
12.9
Objectives
Introduction
Classical Theory : Simon's Criticism
Place of Decision-making in Administration
Choice and Behaviour
Value and Fact in Decision-making
Hierarchy of Decisions'
Rationality
Programmed and Non-Programmed Decision
Decision-making and Administrative Process
12.9.1
12.9.2
12.9.3
12.9.4
Specialisation
Coordination
Expertise
Responsibility
12.10 Modes of Organisational Influence

12.10.1
12.10.2
12.10.3
12.10.4
12.10.5
Authority
Organisational Loyeltiea
Criterion of Efficiency
Advice und Information
Training
12.1 1 Critical Evaluation

12.12 Let Us Sum Up
12.'13 Key Words
.
12.0 OBJECTIVES
'
..~
_. . _ . . .
- .
. __.__.._.I_.. _._"
..

explain the importance of behaviouralism in Public Administration
explain Simon's criticism of classical theory
0 describe Simon's views on decision-making
0 discuss the meaning of rationality and its relation to behaviouralism; and
critically evaluate the behavioural approach'.
s
--__---_
_---
__
_^__I
_ _._I_
-__I
-_
_.
12.1 INTRODUCTION
We have discussed in unit 8 that the classical approach to the study of administration
emphasised the importance of the structure-the formal dimensioi~of organisation. The
human relations approach, on the other hand emphasises the informal dimension of the
organisation. While the formal and informal dimensions of organisation form an important
component of organisation phenomenon, the human behaviour-the'value disposition of the
functionaries-determine their attitudes and working style of the organisation. ?he human
relations and behavioural approaches broadly deal with the man in the organisation. While
the former deals with the relationships among the people working in an organisation, the
latter deals with the 'inside' human being with a focus on the place of his values and
rationality in the working of an organisation. An understanding of 'inside' the man is as
important as 'inside' the organisation. in this unit we shall focus mainly on the views of
,Herben Simon on behavioural approach ih PublicAdministration.
Herben Simon analysed the human behaviour in terms of its value preferences in decisionmaking process. It is this central concern that is significant to the understanding of
organisation and its working, Human behaviour being comppx and dynamic, as a student of
PublicAdrninistrationyou should understandand appreciate: these facets of organisation.
This would help you to widen the horium and dwpen your understanding of the discipline.
The Paradigms
12.2 CLASSICAL THEORY: SIMON'S CRITICISM

You have studied in unit 8 how Simon waged a frontal attiick on the structural approach. He
-criticised the pririciples of organisation and rlnqcribed them as mere proverbs. ~e poir~;:d
out that the principles are coniradictory a!!(? ; ., tnally inconsistent. He also noted, that they'
are not sciehtifically valid and do not :uvc clr~iversalrelevance. It is on these grounds Simon
question?;their thioretical basis to analyse or exl~lainthe orgranisationrtl phenonienon. Any
theoretical construct shouldpossess a frame of reference whicl>should have tmiversal
validity. It is this investigation tliat led to the growth of the-:itudyof administrative
behaviour with a focus on authority and decision-making. Unlike the principles which have
a contextual relevance, the decision-making, iiccording to Simon, is !i universal process and
can form the base for. wider orga~lisationalanalysis.
192.3 'PLACEOF DECISION-MAKING IN

ADMINISTRATION
To Simon, administration is the art of "getting the things done". He lay\ emphasis on the
processes and methods that ensure action. He says that in adnlinistrative analysis not
sufficient attention is paid to the choice which precedes action. Determination of 'what to
do' rather than 'doing actually' did not receive proper attention. Decision-making deals with
the process of choice which leads to action. Simon points out without an adequate
understanding of this dimension, which is rooted in the behaviour of man in the
organisation, the study of administration would remain large1y in:idecjuate.
In the behavioural approach, the question that is to be understood is the process that
precedes action. This is popularly known as decision-making process. The need for taking
decisions arises when there are several alternatives or courses of actiorl open to an
individual. But one has to choose only one alternative by a process of elimination.
Therefore, decision-making is defined as a process of reducing the alternarives to one.
Rationality of human being lies in selecting such an alternative which c;in produce
maximum positive results and mirlirnuni negative results. The efficiency of any group effort
does not depend only on organisation that ensures effective thing of ;I job. It also depentls
on the existence of principles which would ensure correct decision-making which in turn
determines the effectiveness of doing the job.
In an organisation people above the operative level are considered important as they arc
entrusted with more crucial functions of decision-making. They have a very important role
to play in realising the orgarlisational goals. They have greater role in influencing the
behaviour of t6e operative staff. For example, in a war the soldiers fight in the battle field.
They take many decisions at their own levels. But the overall strategy that is formulated by
the Generals, who are not engaged in the actual battle woulddcterminc the outcome of the
battle. Similarly in an automobile industry, the car is produced by the mechanics on the
assembly line and neither by the engineer nor the executive. Yet the latter occupied a crucial
place. Again, the fire is extinguished by a team of firemen and not by the fire chief. In
administration operative staff are important. The success of organisation depends on them.
The men above the operative level are equally important. They have an essential role to play
in achieving the orgarlisational goals. The supervising staff have greater influence upon the
outcome ofan organiiational effort, than the lower levels. These supervisory staff have
'
greater influence on the operative staff. They decide, plan and direct the operative staff.
In smaller organisations, the influence of the supervisory staff is direct, while the influence
is indirect in the big and complex organisations.Simon, therefore, says that effective
organisation involves setting up of operative staff and above it, a, super imposing staff
capabie of influencing the operative staff towardn a coordinated and effective behaviour.
He also says that the working of organisations depends on the manner in which decisions and
behaviour of employees are influenced. It is for these reasons that the behavioural approach
ernphasises that "insight into the structiire and function of an organisation can best be gained
by analysing the manner in which the decision and the behaviour of such employees are
influenced within and by the organisation".
Behuviourat Approach-
;heck Your Progress 1

ii) Check youranswers with those given at the end of the unit.
What
1s the focus of Simon's behavioural approach?
i)
I -
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i i ) On what grounds Simon criticised classical theory'?
iii)
Why is decision-making inlportant in administration?
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12.4 CHOICE AND
BEHAVIOUR.
Human behaviour involves conscious or unconscious selection of particular alternative

which is physically possible and organisationally effective. The selection of a choice refers
to preference of ;I course of action over other courses of action. In any mechanical action,
the choice and the action are directly related. You would noticc this in case of a typist. He
hits a particular key wilh a finger because a reflex has been established between the latter on
printed page and the particular key. Here the action is rational but no element of
consciousness is involved. It is, therefore, a conditioned reflex action. In other cases, the
selection will have to be a product of a complex chain of activities called planning or design
activities. This can he noticed in the construction of a bridge where an engineer designs and
the rest of the activities will have to be tailored to the design. Decision-making process
involves three important phases as activities:They are intelligence activity, design activity
and choice activity. Intelligence activity irlvolves finding occasions to take decisions. For
this the executive has to analyse and understand the organisational environment. He has
also to identify the conditions that need decision. The second phase is design activity. This
involves developmen1 of alternatives to do a particular jab. The executive should also
identify the merits and advantages as well as problems involved in each of the alternatives.
The final phase is the choice activity. In this the decision maker should choose or select one
of the alternatives or course of action, keeping in view the organisational goals.
112.5 VALUE AND FACT IN DECISION-MAKING

The ell'ectivencss of a course of action depends upon the capacity of that decision to attain
the goals that are set. The choosing of ;t corj-ect choice is related to the individual's
Herbert Simon
Public Organisationsi
The Paradigms
performance This deals with the question of values. The effectiveness depends upon the
infomation available at a given point of time. This is related to the question of facts. Value
is expression of a preference. It chn only be subjectively asserted as valid. Fact, on the other
hand is a statement of reality. It can be proved by observable means. Choice or decision
involves both facts and vaihes. They clarify the criteria in analysing the ethical and factual
elements involved in a decision.
Simon argues that the behaviour of members of an organisation is partly determined by the
purpose of the organisation. It is the purposiveness which brings integration in the pattern of
behaviour. Absence of purpose renders an organisation meaningless.
'
The purpose provides the direction and a frame of reference and determines the things that
are to be done and the things that should not be done. In the process, even a minute decision
governing specific action is necessarily an application of broader decisions related to
purpose and to method. Simon gives the example of a man walking. He describes the
process as follows: "A walk contracts his leg muscles in order to make a step; he takes a step
in order to proceed towards his destination; he is going to the destination, a small box, in
order to mail a letter, he is sending a letter in order to transmit certain information to another
person and so forth". Each decision involves the selection of a goal and behaviour relevant
to it; his goal is not an end in itself. It may lead to a distant goal and so on, until a
relatively final aim is reached. Simon maintains that in so far as decisions lead toward the
selection of final goals, they are called "value judgements". And if they involve the
implementation of such goals they are called "factual judge~nents".For instance in the
budgeting of a local body the council has to decide on what items the amount should be
allocated . This'depends on the priorities. The decisions whether to allocate more amount to
roads or parks, education or health are inter-linked with the 'value judgements'. Once the
priorities are decided, then the implementation mostly depends on 'factual judgements'. For
instance, the length of the road, the connecting points, the type of road, etc., are the
decisions related to factual judgements.
There do not exist value decisions and factual decisions. Values and facts are only the
premises and components which are inter-wined. Problems do not come to us as value
decisions or factual decisions.
12.6 THE HIERARCHY OF' DECISIONS

The concept of purposiveness involves the notion of a hierarchy of decisions--each step
downward in thehierarchy consistirig in the implementation of the goals set forth in the step
immediately above. Behaviour is purposive in so fa'r as it is guided by general goals or
objectives of the organisation. It is rational in so far as it selects alternatives which are
conducive to the achievement of the previously selected goals. Although, theoretically this
looks as a neat arrangement, operationally this is fraught with a number of difficulties. The
difficulties arise because no organisation pursues a single goal. The governmental agency
seeks to achieve many goals. It is the complexity that makes perfect integration extremely
difficult. However, certain amount of integration will have to be achieved in reality, without
which no purpose can be achieved.
The above discussion, you would notice, unfolds two important dimensions of behavioural
approach: (1) the policy making and the implementation; (2) the involvement of facts and
values in the decision-making. It highlights that the decisions at the lower levels involves
more of factual judgements. In the decision-ma kin^ process, choosing of ends~involves
selection of an alternative based on value judgemeht and in selection of means to achieve the
end, it b the factual judgement that are invqlved. Rakionality in the decisibn-making proc&
,
1argely.dependsupon the correct choice of Y t h the 'galue judgement' and 'factual
y udgement'.
.
I
12.7 RATIONALITY IN DECISION-MAKING
As you know decision-making is a very complex process involving a chain of unending

decisions. In the simpler situations analysing the sequence is easier and, therefore, a better
and rational decision-making is possible. In complex situations which involve a large
.network of decisions at different phases, the rationality in the decision-making is bound to
suffer. But Simon emphasises that all decision-making should be based on rational choices.
He defines rationality as one6'concernedwith the relation of a preferred behaviour
alternatives in terms of some system of values whereby the consequences of behaviour can
be evaluated". This requires that the decision maker should have; knowledge about all
available alternatives. The decision maker should also be able to anticipate the consequences
of each of the alternatives.
Simon explains that there are six different types of rationality viz., objective, subjective,
conscious, deliberate, organisational and personal. Simon rejects the concept of total
rationality as it is based on totally unrealistic assumptions. Toial rationality is based on the
belief that decision makers are omniscient and they have knowledge about all available
as well as their consequences. Secondly, the assumption is that the decision
maker has unlimited computational ability. Finally, it believes that the decision maker has
the capacity to put in order all the possible consequences. These assumptions, Simon says,
are fundamentally wrong. There are several limitations in the decision makers in terms of
skills, habits, values and conception of purpose as well as the extent of knowledge relevant
to.his job. Therefore Simorr says that organisations should not start with the concept of total
rationali~y.Instead, they should work on the basis of 'bounded rationality'.
I t is in this concept of' bounded rationality, Sirnon develops the concept of 'satisficing'. The
term satisficing is derived from the words satisfaction and sufficing. As total rationality is
inconceivable, the executive 'satisfices' with a good enough choice. The decision maker
tries :o arrive at either optirnal or fairly good solutions. Such solutions or decisions may or
may !lot lead to maximisation of organisational goals.
lehaviowal ApproachHerbert Simon
-.
1")
The Paradigms
What is meant hy the notion of hierarchy of'dec~\ioiv,?
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V)
Explain the concept of rationality.
......................................................................................................................................
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vi) What is bounded rationality'?
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12.$ PROGRAMMED AND PION-PROGRAMMED

DECISIONS
1
Simon makes a clear distinction kxtween prograrnn~edand non-programmed decisions. The

former are those which are repetitive and routine in nature. For such decisions definite
procedures can be worked out. Each decision need not be dealt with separately. In
programmed decisions, habits, skills and knowledge about the problern is imponant. In such
decisions, mathematical models and computer can help the decision makers to arrive at
rational decisions. Non-programmed decisions, in contrast, are new, novel and unstructured.
No cut-and-dried methods would be available and each question or issue has to be dealt with
separately. Training in skills relevant to the job and innovative ability bect~rnerelevant and
important to develop capacity to take proper and relevant decisions.
- _
_
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---__12.9 DECISION-MAKING AND ADMINISTRATIVE
.-
PROCESS
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I;
Bchavioural approach has certain unique characteristics wlricll require to be appreciated.

Administrative activity is a group i~ctivity.In organisations, decision-making is more
1
systematic unlike in tile case of an individual clr a family. Adrninistralive process as you
know, is a decisional process. This process, according to Simon ir~volvesthree important
I
steps, They are segregating tile elements in .the decision-making process, establishing
procedures to select and determine these elements and communication of these clernents to 1
the members of the organisation. The organisation tslkes away from the inclividual a part of I
his decisowal autonomy and substilutes it with organisational decision-makin$ process.
Organisalional decision-makirlg process specify the filnctions of individuals, allocate
authority imd also set limits to his choice.
The following are some of the practices that emerge from the structuring of behavioural
choice.
ciatis ti sat ion is a characteristic of organisations. In this particular practice tasks are allotted
to different levels in the organisation. The specialisation may take a fonn of vertical or
horizontal division of labour. Simon emphasises on vertical :<pecialisatian.He argues that
there is need for specialisation between operative and supervisory staff.
12.9.2 Coordination
~ r o u pbehaviour requires not orily the adoption of correct'decision,but also adoption of the
ame'decision by all members of the group. In the decision to coalstruct a house, several
j~ldividu;llsart. involved. It' each has his ow11 plan arid tliey do not communicaretheir plans,
ch;lnces of a good house construction are very hleak. 'l'hey worrld be able to achieve better
results if they adopt a dcsign,'and execute it.
12.9.3 Expertise
There is a need for specialised skill at thc Operative level. The work in the organisation rnust
be sub-divided so that all thc processes requiring o porticuiar skill can be perl'ornmed by
persons possessing those skills. Iaikewisc. to gain the advantage of expertise En decisionmaking, the responsibility for cleoision must be llocaretl that all decisions requiring a
particular skill can be rnade by persons possessing that skill. .
The adrninistralive organisation seeks to e~mfi~rce

conformity of the individual to nomls laid
down by the group. The discretion given to the subordiniire pcrsolincl is limited by policies
determined by top administrative hierarchy. Thus, autonomy in the decision-rnakirig is
restricted at v:rrrous levels.
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12.18.MODES OF QRGANISATIONABIJ BINFLBJENCE

-.--
~.. .
"
An adrnir~istrativeorganisation devises its own nlodes and niethods to influence the

decision-making process. In other wortls. the organisation seeks to rchtric! the behavioural
choice and reduces decision-rniikinp autonomy. This is done partly through structure and
partly through a systematic influence on individual's behaviour. The modes that are used to
influence the behaviour are, autllority, organisational loyalties, criterion of efficiency, iidvice
an8 information, and tniining.
12.10.1 Aulhority
- P
Chester Barriard devoted considerable atletition to the concept of authority. The
organisational culture. as pointed out earlier, builds the myth of iiuthoriiy in such a way that
subordinates carry out the order coming from above without questioning them. The sqperior
does not seek to convince the subordinate but expects acceptance of the orders readily.
Barnard, however, maintains that authority lies with the subordinate who is accepting it and
nor with !lie superior who is exercisitlg it. The myth4of authority is able to influence to a
large extent, the behaviour.
, )
12.10.2 Organisational Loyalties

In any organisation its mcmbers tend to identify themselves with that group. This is an
important characteris~icof human heliaviour. They take decisions keeping in view the
interests of the organisations with which they have identification. The organisation good
always dominates thc consciousness of the member. It is this conception of good that makes
him loyal and enable him to take decisions which would be in conformity with the good of
the orgadsation. Thus. the behavioural choice is narrowed down by the organisational
loyalties and facilitate homogeneity of behaviour rendering group work possible. Each
member of the organisation would also have a limited range of values which is essential to
ensure accountability. But the problem in organisational loyalty is that each individual takes
a narrow view of the organisation \nd ignores the broader organisational interests. Simon
Behaviuural ApproachHerbert Simon
'
Puhlic Organisations:
The Paradigms
opines that as one moves higher in the organisation,greater would be the neeo tor broaaer
outlook.
12.10.3 Criterion of Emcieney

The exercise of authority and the development of organisational loyalties are the important
means through which the individual's value-premises are influenced by the organisation.
But in every decision-making there are also factual judgements. They are intluenced by the
criticism of efficiency. The concept of efficiency involves shortest path, the cheapest means
in the attainment of the desired goals. The efficiency criterion is largely neutral as to what
goals are to be attained. The order "be efficient" is a major organisational influence over the
decisions of members of any administrative agency.
12.10.4 Advice and Information

The communication flow in an organisation is also important in shaping the decisionmaking process. Advice and information available to an individual is an important input in
making factual judgements. The organisation which is capable of facilitating effective
communication can not only condition the behavioural choice but ensure uniformity of
judgement and action.
12.10.5 Training
Training is a device which prepares members of an organisation to take satisfactory
decisions. It equips an individual in methods of using his discretion in conformity with the
design and thegoals of the organisation. This is also a device through which the information
and the necessary goals are transmitted to an individual so as to enable him to make right
type of choices in the organisation.
12.11 CRITICAL EVALUATION

In the foregoing discussion you have studied how behaviour influences administrative
organisation, it has its unique characteristics. The discussion indicates that for the'putpose of
organisational analysis. it is neither the structure nor the human r~lationsbut it is the
decision-making that should be the frame of reference. The discussion highlights how some
of the principles such as hiqrarchy, coordination, division of work, specialisation are
associated with the decision-making process. The discussion also shows what efforts go into
making of an organisation structure. The determinantsof the structure such as authority,
loyalty, efficiency and training are mainly intended to restrict the behavioural choice and
facilitates group effort. Ifevery individual in the organisation is permitted to behave the way
he wants to, then no group efforts would be possible. It is for this reason that the
organisational structure is built. Thus human behaviour and its inter-connection with the
structure and group effort form the substance of behavioural approach to the study of
organisation. lnspite of its valuable contributions, the behavioural approach has come under
considerable attack. It is criticised mainly on the following graunds:
i)
Tlrc conceptual framework is not adequate. While the behavioural approach criticiseci
the classical approach as inconsistent and internally contradictory, the behavioural
approach itself has lot offered an adequate framework ro explain the organisation
phenomenon. It confitled its a~lalysisto only"ipside" the man in a0 organisation. It has
not taken t k c~alcesocial setting in which an organisation operates, Ignoring the social,
historical, politicql. cconoulic, geographical and culturul factors is virtually delinking
the organisation.fionl ils widcr setring. This puts a major constriint on the explanation
of organisation phcnornenon.
ii) It is apolitical. Administrative system is a sub-system of a political system. It is the

politics and the political power that set the goals of an sdlcinistrative organisation. It is
largely influenced by the political process. The behavioural appmach, like classical
approach, took a political view giving an impression that organisations are autonomous
from the political environment. An approach wllicll Iiq s emphasis on 'value judgement
should not have ignored the political process which also determines the value premises
of the public organisations.
iij) 'Value free and neutral approach is not helpful. While the approach sought to analyse the
value judge men^, the concept of,rationality did not touch any ethical questions. For the
approach maintains that rationality lies in picking up appropriate means to achieve the
goals. A theory which ignored the larger questions sf what is desirable and what is
undesirable in the larger interests of the society, wo~lldnot be able to set pace to right
types of development, nor can it proviiie a correct perspective. A thief comniittiing theft
by highing up appropriate niealts would be within the rationalist frame, although what
he does may not fit into a socially desirable ethical framework. Such danger, involved
in ;he value free and neutral approach is not realised by the behavioural approach.
iv) The approach is general arid not of practical relevance. Another criticism against the
khavioural approacli has k e n that it offered orlly ii generinl explaniition to the
understanding of organihation at an abstract level. It hardly helps a practitioner as to
how the working of an org:?nisation can he improved. It tends to be highly general in
explanation. Therefore. it has no concrete suggestions to offer for either better working
of the organisation or to iniprove the decision-making process in an organisation.
The concepts of authority arid ratioi~alityseek to explain liun~anbehaviour from an
idealistic point of view. The material cortditions and concrete historical situation which
govern hulnan behaviour have not been taken into account. Organisation rnan is
compared with econo~nicman. 'The contrast between these two view points is very wide
a\id striking. The entire disc~lssior~
on economic man cieals with his material behaviour.
This factor does not figurein the discwsion on administrative man at all. The
productive processesand the general Piuman relations that determine the value judgements
31id cli~iceof behaviour is totally ignored in this approach.
\.)
~'ihcckYour 19rogress3
Sate: i) Llse thc space below for your answers. '
ii) Glitch your answers with those given at the end of the unit.
Distinguish between prograrnltleti and .non-progra~iimed'decisions.
i
-.
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. i i ) :\dmi~listrativeprocess is a decision-making process. Explain.

'
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i i i ) Discuss how authority and training are rnodes of organisatiwnal influence.
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Behavioural Appt-oach-
Herbert Simon
iv) CriticaIly evaluate Simon's bebavioural approach.
The Paradigms
12.12 LET US SUM UP
The behavioural approach marks a significant break-through in the gro'wth and evolution of
organisation theory. Its contribution to the study of organisation is quite substantial.
Behavioural approach has taken the organisation study beyond the principles and structures
which are of technical nature. It provided a new angle to look at organisations and offered a
new frame of reference, viz., the decision-making. It also brought in concepts of value and
facts and rationality into administrative discussions. The principles enunciated by the
classical thinkers are presented in a new light. The lengthy discussion on tlme determinants of
organisation-both the structural and behavioural-and the modes of organisation
influences add to the rich understanding of the administration. In fact, Sirnon's subsequent
devotion to the study of economic organisation is considered as a loss to the discipline of
public administrative organisation. Critics think that had he pursued the same line of
enquiry, the study of administration would have gained enormously. Finally, behavioural
approach, widened the conceptual framework and contributed richly tb the lively debate on
organisation in general and organisation behaviour in particular.
12.13 KEY WORDS

Bounded rationality:' According to Siwon, human behaviour is neither totally rational nor
totally non-rational. It has its limits
Horizontal division of labour: Where there is.divisionof labour at the same level
Vertical division of labqur: When there ii hierarchical division of labour based on skill
and knowledge required at different levels
Banerjee M. 1984. Organisation Behaviour., Allied Publishers (Private) ttd.: Yew Delhi.
Berelson, Barnard and Steiner, Gary A., 1964. Human Behuviour-: Brace and World; New
York.
Hicks Herbert G & Gullet C Ray, Organizations: Theory and Brhavioyr; McCjraw-I-Iill :
New York.
Prasad, Ravindra D. et. a1 (Eds.), 1989. Administrative Thinkers; Sterling Publishers: New
Delhi
Sirno11H & March James, 1957. Orpanisations; Jo11n Wiley and Sons: New York.
Simon, Herbert 1957. Admiriistrative Relzaviour; The Free Press: New York.
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12.15 ANS'676rERSTO CHECK YOUR PROGRESS

EXERCISES
----"
Check Your Progress P
i) .See Section-12.1
ii) See Section-12.2

Check Your Progres's 2
i) ,See Section--12.4
ii) See Section-1 2.5
iii) See Section-] 2.5
iv) See Section-12.6
V ) See Section-12.7
vi) See Section-12.7

i) See Section-1 2.8
ii) See Section-] 2.9
iv) See Section-1 2. I I
Behavioural ApproachHerbert, Simon
UNIT 13 SOCIAL PSYCHOLOGICAL

APPROACHDOUGLAS McGREGOR AND
ABRAHAM MASLOW
t
Structure
13.0
13.1
13.2
13.3
13.4
13.5
13.6
13.7
13.8
13.9
13.10
13. I i
13.12
13.13
Objectives
lntroduction
Maslow's Theory of Motivation
Need Hierarchy Theory
How the Need Hierarchy Works
conditions for Need Fulfilment
Need Hie~orchy:An Evaluation
McGregor's Theory 'X' : A Traditional t i e w df
Management
Theory 'Y': A New Theory of Management
Theory 'X' and Theory 'Y' : An Evaluation
Let us sum up
Key Words
Some Useful Books
Answers to Check your Progress Exercises
t\fltr rJi~diildin~
this unit you should be able to :
descfibe the social psychology approach
explain the assumptions behind Theory 'X' and Theory 'Y'
describe the need hierarchy theory; and
critically evaluate rhe contributions of Maslow and McGregor to the social psychology
'approach.
In the previous units.you have studied the classical, human relations, systems and behavioural
dppboaches to the study of Public Administration. In this unit you would study about the
social psychological approach.
Social psychologicai approach is a tool to understand the relationships between man and the
organisation. Since long time, the most intriguing questions are: Why people work in
organisations? What are the conditions that enhance the performance of people at work in
organisations? Answers to these and several interrelated questions can be analysed from a +
social-psychological point of view. The belief is that an analysis of human beings with
reference to their psychological factors provides answers to many questions relating to their
behaviour in organisations. This is mainly because, in organisations people work
.individually as well as in groups to accomplish tasks and purposes, Basically this approach
..
places ernpha$ison the &man side'of the organisation. A belief in man and his contribution
to organisationsis central to this approach. Several thinkersand writers have~ontributedto this
approach.'hmong them the contributions of Abraham Maslow and ~ o u ~ l a s ' ~ c 0 rare
e~or
phenomenal. In this unit, therefore, we would be studying their contributions. In particular
we will study McGregor's heo or^ 'X'and Theory 'Y'and Maslow's ',Hierarc@+jtbf
Needs'.
Chronologically Maslow's studies come fint an$ ~ c , b r e ~ o r1ater.Masluw's
's
contributions became popular only during sixties when Herzberg, McGregor and other
~ u b l i cOrganisations:
The Paradigms
social psychologists used his analysis in their motivation studies'. We will first study,
Maslow's 'Ned Hierarchy' and then McGregor's "Theory 'X'and Theory 'Y?"
13.2 MASLOW'S THEORY OF MOTIVATBTIBK

Maslow 'in his classic paper 'A Theory of Human Motivation' published in 1943 outlined an
overall theory of motivation. He a'nalysed the relationship between the human beings and
organisations from the stand point of 'human needs'. Human beings become members of
organisations to fulfil their needs. These needs arise in several areas. Fulfilment of these
needs motivate the human beings to a higher level of performance. Non-fulfilment of needs
will have adverse effect on the motivation of individuals to contribute t o the organisation to
realise the oiganisational objectives.
13.3 NEED HIERARCHY THEORY

Maslow arranged a person's motivational needs in a hierarchical manner. According to him
there are several needs of human beings which explain human behaviour in organisations.
These needs have a hierarchy. The needs are: physiological needs, security needs, social
needs, esteem needs and self actualisation needs. Physiological and security,needs are lower
order needs in the hierarchy. Self-actualisation need is the highest in the hierarchy. In
between comes the social and esteem needs. Maslow believed that unless the need at the
lower level is satisfied, it will not motivate a person. Let us see what is the meaning of each
of these needs.
I
.PhysidogicaI needs:
Basic things necessary for human survival are hunger, thirst, shelter, etc. The human being,
has to satisfy these needs first. After they are fulfilled he no longer strives hard to obtain
them. They no longer motivate him.
Security needs:
Job security or safety in the work place gives psychological security to human beings
Maslow stresses both physical and emotional safety. Human being is a safety seeking
mechanism. Once safety and security are ensured, they no longer inotivate the human being.
Social needs:
This represents the relationships between and among groups of people working in the
organisation. 'This need provides emotional security to people. This gives a sense of
belongingness and association. Every human being needs friendship'with others. If these
social needs are not met,the employee decomes resistant and hostile.
Esteem needs:
This represents higher level needs ofhuman beings. At this level human beings strive for
power, achievement and status. Esteem connotates both self esteem and esteem from others.
Self-actualisation:
This higher level rieed represents culmination of all other needs. The fulfilment c9f this need
gives a high degree of satisfaction to,the individual in work and life. 'This will further
improve a person's 'performance in an organisation. A self-actualised person has fulfilled all
his potential. This represents a person's motivation to transform perception of self into
' reality.
13.4 HOW THE NEED HIERARCHY WORKS
The need hierarchy has five levels: (See the diagram).
'
54
Each need, according to Maslow,,is a goal to a person at a point of time. If a person's basic
requirements, viz., physiological nGeds are not fulfilled, he concentrates all his energies to
achieve satisfaction in that area. Once he gets satisfaction in that need area, he moves to the
next oider 'need. This process continues in the daily life of all human beings. Non-:
achievement of a particular goal in a need area motivates a person to achieve it. Once it is
achieved, it no longer motivates or dnves,a person to work further in that area. This is one of
the main,foundati~nsof Maslow's theory of need hierarchy.
Diagram I : Showing Maslow's Need Hierarchy Framework
Social Psychological
Approach -.
Douglas McGregor and

Abraham Maslow
The lowest in the hierarchy are the physiological needs like hunger, thirst, shelter etc. Such
needs call for contributions from the organisation in the form of salary and other amenities
to the members of the organisation. Once a person's needs in physiological areas are
satisfied by the contributions from the organisation. he moves up in the hierarchy and the
next higher level needs become important to him. He strives hard to satisfy himself in that
need area. Fulfilment of physiological needs drives one to pursue satisfaction of his security
needs. Security need dominates and motivates his behaviaur. Once security needs are
satisfied, social needs come to the surface. Human beings are social beings and they value
affiliation and association. Social needs include fulfilment of psychological needs like
acceptance in the organisation. Social needs drives people to improve their interpersonal
relations. Once the need to affiliate is fulfilled, human mind searches for the autonomy and
prestige in organisation and freedom to work with and through people as described under
esteem need. The fulfilment of esteem needs gives self-confidence to people and prepares
them to take up leadership positions, guiding others and appraising the performance of
people. The highest and the final level in the need hierarchy is the self actualisation need.
This is described as achieving the meaning and purpose in life through personal and
professional growtk. This is expressed by achieving higher performance in a role, be it a
worker, or a supe'rvisoror a manager in an organisation. This is the spirit of excellence
, found in all societies and organisations. We have examples of high performers in all walks
of life all over the world. Self actualised people search for meaning and purpose in all their ,
endeavours and contribute their energies for the development of the organisation. According
to Maslow, this need arises only when all the needs lower to it, viz., physiological, security,
social and esteem, are fulfilled.
113.5 CONDITIONS FOR NEED3FULFILMENT

All orgianisation's culture, history, policie8, procedures.environmentand its ability to attract,
I
develop and retain people play an important role in the need fulfilment of its members. We
come across excellent organisations which believe in people. We also witness o~ganisations
which hardly think about human factor, ink.,about its members. Qrganisations, which
belieye in people and [heir ability to perform, provide for the fulfilment of the needs of their
m-nbers. Organisationswhich are not people orikted, make it difllcult for the members to fulfil ,
their needs. Such organisations, will face negative consequences of non-fulfilment of needs
of their members. This would iitleast be the case in the long run! Conversely, people without
a work ethic, self'control' and performance orientation become negative forces in an
o~ganisation.'They cannot' fulfil their higher order needs like esteem and self-actualisation.
Nwd fulfilment in an organisation requires self control, goal orienthtion and work ethic
i
fro111the organisat ion an well as t'roni. its members.
The Paradigms
Maslow clnrified thal the hierarchy is riot as rigicl as il is irnplied theoretically. His argunlent
is that the t~ierarciiyis a framework which helps in understanding the human motivation in
or.ganisutions. In other words the hierarchy need not necessarily operate in a fixed order and
there is scope for deviations.
113.6 NEED HIERARCHY:

AN
EVALUATION
--__
_
_
I
_
_
-.
Maslow's theory, in bpite of its in~porcancein underhtandinp human behaviour, is subjected

to criticism. Several empirical studies concluded that Maslow's model is open m question ds
an overall theory of wprk motivation. These studies f ~ u n dabsence of correlation between
&i"tisfaction of needs at one level and activahon of needs at the next higher level.
Modem managemen1 theory is influenced by Maslow's writings to a great extent. Some of
the later researchers like Heriberg developed on Lhlaslow'stheory and contributed to the
enrichment of the discipline. Though there :ire several limitations in Maslow's
conceptualisation, his theory is helpful in predicting human behnviour on a low or high
probability basis if not in absolute ternls.
Note; i ) Use the space below for your answers.
ii) Check your answers with those given at the end of the unit .
i) What is social psychological approach?
................................................................................
..............................................................................................................................................
.........................._1........1.........................
ii) Discuss the importance of Maslow's Need Hierarchy theofy.

'
iii) Explain
iny two needs of Maslow's Need Hierarchy.
iv) How does Need Hierarchy operate?

I
13.7 M C G R E G O ~ THEORY
~S
4X9: A TRADITIONAL
VIEW OF MANAGEMENT
~ & ~ l MEGregor
as
is a behaviouralist and social psychologist of repute. He is a strong
beli'ever in the potentialities of human beings in contributing to organisational performance.
His work, "The Human Side of Enterprise" (1 960) opened new vistas in organisation and
management theory by providing answers to some of the intriguing questions. Later he
published another book "The Professional Manager" (1964). His focus is on utilising human
potential in organisations and getting the best out of people by creating a conducive and
harmonious environment. He felt that the theoretical a&umptions about controlling men
determine the character of the enterprise. Accordirlg to McGregor, the failure to bring the
best out of human beings in organisitions can be attributed to our conventional view of
organisation and man. I-Ie call. this view as 'Theory X'. According to 'Theory X' oriented
thinking, managemtnt i$ viewed'as the master of an enterprise in directing economic activity
and allocation of resources. Management, io them, is getting work done through other
people and hence a manager needs to control the behaviour of other people in the
organisation. They feel that the organisation can suitably intervene in the process of
direction. controlling and motivating people to accomplish the purpose of the organisation.
Behind these views there are a few assumptions about human nature.and human behaviour.
These assumptions are so pervasive that one can see them in most of the literature on
organisation and rnafigedent. The assumptions are :
1 ) "The average human being has an inherent dislike of work and will avoid it if he can";
2) "Because of this human characteristic of dislike of wbrk, most people must be coerced,
controlled, directqd, threatened with punishment to get them put forth adequate effort
towards the achievement of organisational objectives", and
3) ."The average human being prefers to he directed, wishes avoid responsibility, has
relatively little ambition and wants security aboveall."
!
'Theory X' assumes human beings as lazy, lacking in ambition, resisting change, noncreative, capable of being deceived easily, etc. In such a case rlianagement has two strategies
to adopt, viz., hard and soft. Hard strategy implies the use of techniques like close
supervision, tight control, coercion and threat. Soft strategy, on the other hand, is more
permissive, meets the dkmands and attempts to harmonise the demands f~r~organisadon
and
that of employees. But both these strategies have problems. For example, if the management
is hard, it may lead to militant unionism, sabotage, and antagonism. On the other hand soft
management in its anxiety to purchase harmony may abdicate itself. McGregor notes that
this conventional management approach is inadequate as it creates more problems than it
solves. He emphasised the need to study the motivational factors to understand the
organisational behaviour. For, he believes, deprivation of needs has behavioural
consequences at all levels. Hostility and passivity among employees are not inherent in
human nature. They are only symptoms of deprivation of human needs. 'Theory X' explains
the consequences of management strategy and it does not explain human nature. The
assumptions on human nature under 'theory X' are unnecessarily limiting. Such assumptions
prevent the management from seeing possibilities in.other strategies. Even when we use
techniques like decentra1,isation and cnnsultative supervision, their implementation would be
based on inadequate assumptions of human nature. Finally McCregor emphasises that the
assumptions of 'Theory X' would not discover human potentialities in their entirity.
'Theory X' which represents classifical admi~iistrativetheory, as you know, lays stress on
Social Psychologlcel
Approach
Douglas McCregor and
Abraham Maslow
efficiency and economy. As the human being tries to avoid work, this inherent human
tendency should be counteracted by the management. Therefore, 'Theory X' emphz-ises on
directionandcontrol.
.
The Paradigms
'Theory X' only explains the management strategy. It does not explain as to which factors
motivate the employee. This also lays emphasis on manager and makes his job more .
difficult and complex. He cannot expect cooperation from his employees if he continually
distrusts them. Manager also has to spend a great part of his time on direction and control.
This leaves very little time for policy making and planning. McGregor felt that this
traditional view is helpful neither to achieve the goals nor to motivate the employees to
accomplish the goals.
You have studied in unit-10 how Elton Mayo has showrthat analysis of human factor and
infonnal organisation are important to fully undersland the organisations. In unit-12 you
have studied that according to Simon values of individuals influence the decision-making
process in administration. But unfortunately 'Theory X' assumptions do not explain human
behaviour in its totality. McGregor, therefore, proposed an alternative theory called
'Theory Y'
13.$ 'THEORY Yy:A NEW THEORY OF MANAGEMENT

-.
McGregor holds the opinion that 'Theory X' assumptions about organisation, management
and man are obstacles to performance,and productivity. They are inadequate to realise all
the human potentialities. Therefore, in place of 'Theory X' McGregor proposed a new
theory broadly known as 'Theory Y'. This new theory gives a new look to the relationships
between human being and management. According to this theory the management is
responsible for coordinating the activities in an organisation and for accomplishing its
purposes.
i
In &is new theory McGregor replaces direction and control by integration. The assumptions
about: human nature under 'Theory Y7are :
1)
2)
3)
4)
.
5.)
6)
The expenditure of physical and mental effort in work is as natural as play or rest. The
average human being does not inherently dislike work. Depending upon controllable
conditions, work may be a source of satisfaction (and will be voluntarily performed) or
a source of punishment (and will be avoided if possible).
External control and the threat of punishment are not the only means for bringing about
effort towards organisational objectivts. Man will exercise self-direction and selfcontrol in the service of objectives to which he is committed.
Commitment to objectives is a function of the rewards associated with their
achievement. The most significant of such rewards, e.g., thp; satisfaction of ego and
- self-actualisation needs, can be direct products of efforts directed towards
organisational objectives.
The average human being learns, under proper conditions, not only to accept but to
seek nsponsibility. Avoidance of responsibility, lack of ambition, and emphasis on
security a n generally consequences of experience, not inherent human characteristics.
The capacity to kxercise a relatively high. degree of imagination, ingenuity, and
creativity in the solutioniof organisational problems is widely, not narrowly, distributed
in the bopulation.
Under the conditions of modern industrial life, the intellectual potentialities of the
average human being are only partially utiliskd.
McGregor suggests that there is a need for a new management strategy which is more
dynamic than static. This strategy should provide for human growth and development. It
should discover the human resources who have substantial potentialities to contribute to the
organisations. 'Theory Y' underlines the importance of maintaining an organisation where
people feel confident and motivated. It ~emphasisesdeveloping and improving performance
orientation of the people working in the organisations. It involves lot of leadership skills on
the part of the managers to achieve these objectives. The cornerstone of McGregor7s
framework is self-restraint, self-direction, goal orientation and human v ~ l u e in
s the
organisajion.
McGregor says that 'Theory Y7is an invitation to innovation.'~heinnovative ideas
I/
1
I
f
Swlal Psychological
Approach
Douglas McGregor and
Abraham Maslow
consistent with 'Theory Y' assurnptions me delegation and decentralisaticpn of authority and
responsibility; making jobs more and mare appealing by job redesign; participative system
of involving more and more people in decision-milking process; and developing appropriate
performance appraisal systems.
McGregor's 'Thecry Y'eri~phasisesintegration. % him integration means, "creation of

.conditions such that, rlle mernbcr,~of orgmisation can achieve their own goals best by
iirecting their efforts towzrds the success of the enterprisei'. In this, both organisational
needs and individual needs are identified and integrated. It implies both management and
employees working together. This approach is also known as management by integration
and self control. The major steps involved in this process are :
Determining job requirements
The manager has to understand the purpose and productivity indicators of his job, so that he
can guide his associates towards the achievement of key resiilc areas.
Goal setting '

Once the manager knows the purpose of his job, he has to formulate goals with reference to
quantity, quality, and time. This is normally done in consultation with one's associates and
supervisors. Once there is an agreement on desi'red and committed goals, it will be easier tb
evaluate objectively at any point of time in the future. .
In between.period
In between the period of goal setting and its final evaluation in performance appraisal, a
manager has to use his self-control and direction to develop his associates. ?'his requires
leadership skills on the part of managers.
Self appraisal
A manager ha's to evaluate his own performance against the goals set and agreed. While
doing this analysis he has to measure each of the performance indicators as against the
agreed targets. This gives an objective picture of targets and achievements of the manager
with reference to quality, quantity and time. It also provides an opportuniiy to analyse the
set-backs and short-comings and helps in goal setting in the future. The importance of this
step is that it enhances the understanding between the organisation and the individual.
13.9 'THEORY X" AND 'THEORY Y' : AN EVALUATION

McGregorls 'X and 'Y'theories are based on diametrically opposed assumptions of human
nature. The latter theory holds that man is positive with potentiality to development. This has,
implications for management. McGregor observes that if eniployees are lazy, indifferent,
unwilling to take responsibility,stubborn, noncreative and noncooperative, the cause lies with
management's methods of control. Theories 'X'iind 'Y' should not be takeh as neat
categories of human relationships. They are only analytical tools through which behaviour
can be analysed, predicted and corrected. After McGregor, marly scholars have gone beyond
'Theory Y' in analysing the hurhan nature and its implications to ~rganisation.This,
however does not reduce the importance of ~ c ~ r e ~ ocontributions.
r's
i

~ o t c : i) Use the space below for your answers.
ii) Check your answers with those given at the end of the unit.,
i) What is theory 'X"?
i i ) What are the assurnptions of human iature under'.'Theory Y'?
, .
'
.
............................................................. ...................................................................................
'
Public Organisatiuns:
The Paradigms
-----
--
13J0 LET US SUM UP

-
---
a
-
To sum up Maslow and McGregor are believers in the human side of organisation.
Maslow's theory of need hierarchy has the distinction of demarcating between rhe selfinternalisation need and all other needs which satisfy sorne deficiency. McGregor's views
and the framework he propounded opened new vistas in management thought. The socialpsycholcgical theorists provided a new technology to understand the age old question of,
understanding human beings in organisations.
13.16 KEY WORDS

Decentralisation: Dispersal or distribution of authority throughout all levels cjf
management
Esteem : Think highly of
Hierarchy: Presence of number of tiers or levels, one above the other in the organisation
with authority flowing from higher to lower levels.
Motivate: Stimulate interest
Need: Want, requirement
Performance Appraisal: Assessment of how an employee is doing hislher job
Supervision: Act of overseeing or guiding the activities of subordinates by superiors
Strategy: Plan of action
1
*i
--
--.--
Chandan J.S., 1987. Management Theory & ~ r a c t i c eVikas

;
Publishing House Pvt. Ltd. :
Nt.w Delhi.
Dwivedi R.S., 1979. Human Relations and Organisational Behaviaur; Oxford & IBH
Publishing Co. : New Delhi.
Hersey Paul and Blanchard Kenneth, 1980. Management of Organisational Behu~iour:
Uiilising Nrrman Resources; Prentice Hall of India: New Delhi.
McGraw Hill Book Co.: New York.
Luthans Fred, 1977. O~~ga~isationalBehaviour;
Mathur B.S., 1977. Principles oj Management; National Publishing House: New Delhi.
McGregoiDo~glas,1971. The Human Side of Enterprises; Tata McGraw Hill: New Delhi.
Prasad Ravindra D,et. al., (Eds), 1989. Administrative Tl~inkers;Sterling Publishers: New
Delhi.
Vroom Victor H., 1980. Work and dfotivation; Wiley Eastern: New Delhi,

EXERCISES
--

i) See Section 13.1
ii) See ~ e c t i b n13.2
iii) See Section 13.3
iv) See Section 13.4
i) See Section 13.7
ii) See Section 13.8
.-.-
--
1 UNIT
14 ECOLOGICAL APPROACHFRED W. RIGGS
Structure
14.0
14.1
14.2
14.3
14.4
Objectives
Introduction ,
Meaning of Ecological Approach
Fred W. Riggs' Views
Ideal Models
13.4.1 Fused Model
14.4.2 Diffracted Model
14.4:3 Prisniatic Modcl
14.5 Prismatic Society :characteristics .

14.5.1 Hetcrugcneity
13.5.2 Formalism
14.5.3
'
Ovcrl:~pping
14.6 Sala Model

14.7 ~aznar-CanteenModel '
14.8 Theory of Prismatic Society: Reformulated
1.4.9 Criticism
14.10Letussurnup .
1.4.1 l Key Words
,
14.13 Answers to Check Your Progress Exercises .
In thts unit, we shall discuss the meaning ;md importalice of'ecological np'proiicli and the
views of Fred W. Riggs on tlie influence of cnvironmenial t'iictors o n r~cimiiiistrativesystem
with particular reference to transitioni~lor developing societies.
After going through this unit, you wo,uld be able to:
describe tlie me:lning and importance of ecologici~lnpprouch lo [lie ~lndersti~tidinp
01'
, administrative syste~rl. '
* explain tlic enviranmental influences-sociiil. economic and poli[icalim the
ndministrotive system wjth.pilrticulilr reference lo tl.i~nsitionnlsocieties', 'and
explain the views of Riggs on iidnii11istra[ivcsys~ctnoftr;cnsitional socie~icslikc It't~li;~.
14.1 INTRODUCTION
--- -In recent years modern Governments hiivc experienced a great chungc in rbcir funcrions und
rcsponsihi lilies. In the cl1;11ipc.dcoritext. tlie role ofQPublicAdrninistrationl~nshecome ill1 the
more crucial in fulfilling the goals of the government. Consequently, administrative
tllcories :\lid morlels liuve become all [lie 111orci~llp(~rti~llt
10 tlle ~~t~derst:~tldi~fg
01' it. The
ccologicnl.approach tc;'the stildy of adininistratioti has been suggested when Western
. orgtinisation theories hitve been found inadequate for the study of the problems of
administration in the Third World Countries,
'
Al'icr the 'Second Wodd W L ~m:rny

S
co~~ntries
in Asia, Africa and Latin Arnerjc.:~were
liberated from colonial rule. Thcy were filced with thd t ~ ~ of
s knation-building and socioccc)noniic transfor~iptiovto fitll'il their people's aspirations. The Wcs?ern scholars. who
acted as consulttiri~a1 0 niitny of these countries found thi~twestern orgiil~i~:~tin~~itl
morlcls
.
fai.led to explain tlle reulity'i~lThird World Societies. This realisation resulted in the
develbpment of new concepts 2nd approilches inclbdinp the ccologiciil the. In this itnil we
shan discuss the views of Fred W. Riggs on ecological approach to the study of Public
Administration. It would beAiielpfulto you if you readagain unit 5 on C6inparative Public
Administration before ieading this unit. In Unit 5 we have mamined biiefly the ecological
approach.
I
Public Organisntiuns:
The Paradigms
_~
.......
14.2 MEANING_
.
--
ECOLOGICAL APPROACH
-
..
'Administration does not fun&on in isolation from its environment. It influences it nnd is
influenced by it. The understanding of the dynamics.of this process of interaction between
the two is necessary for. the l~nderstandingof the adniinistrntion. The approach adopted is
known as the ecological approach. Ecology is a term borrowed from Biology. It is
concerned with the science dealing with the inter-relationship of organisms and their
enviionment. It is a study of the interplay of living organisms and their physical ant1 sdcial
environment. It is concerned with the question of how a balance involving organisnls and
environrnent is rtchieved for survival. In Biology, it is established that ;I particular plant
requires fir its growth a particular climate. soil, humidity, temperature, etc. A plant that can
grow well in a particular ciimate cannot do so under a different climate. Likewise the growth
o r develo p ment bf each society is conditioned by its own history, economic structure,,
values, political system, etc. The characteristics of its social systetn and its physical
,
environment shape the ideas and ins~itut,iosis.Just as a plant canraot grow in a different
environment; so also all institution cannot thrive in a dirferent social setting. Thus to
ullderstiind the ecology of PublicAdministratior~.i.e. the inaeractibn of administration and its
environnient,it is necessary to have an ilnderstanding of the society and the various* fi~ctors
affecting its functioning.
Check Yuur Progress 1

Note: i) Use the space below for your answer.
ii) Check your answer with those givep at the end of the unit.
i), What do you understand by Ecological Approach?
...........................
.....
.................................................................
---
.-
- .--
-- .
. ---
14.3 FRED W. RIGGS'

VIEWS
-- - ----. --
-.-
- --- -
- - --.
- ---
The ecological approach to the study ~FBublicAdministrationwas initiated by J.M. Caus,

Robert A. Dahl arid Robert A. Merton long before Fred W. Riggs. But it was Riggs who
made a significant contribution to this approach: Fred W. Riggs, a distinguished American
scholar and consultant to many developing countries, developed the ecolopical concept
based on his studies in Thailand, Philipprnes and India. In his study of the administrative
systems of developing societies Riggs nnalysed the relittionship between the administration
and the economic, social. technological, political and comrnunicntion factors from a wide
perspective. He has explained with il1ustratio:is how environmentnl tonditiotis influent:
administrative systems on the basis of his 5tudies in Thailand and Philippines.
Riggs raised the basic quesrions about the relevarice of Western organisation theories to the ,
developing countries. He pointed out that each~societyhas certain unique characteristics
which influence .the working OF its sub-systems. He found that most of the Webtern theories
look "inside" rhe system. The "outside" refers to the general socio-economic environment.
As you are aware the socio-economic environment in Western developed countries 1s not the
same as that in the Third World Countries. That is why, as observed by Riggs, the theories
o r models developed for the former seem inapplicable to the latter. The findings of Riggs,
therefore. are considered a significant contributiori to the understanding of administrative
systemsalnthe Third World Countria, Sdsed on them he has broadened the analytical
frame for the examination of the administrative systems in Third World Countries.
-
----
14.4
---- FDEAL MODELS
---A-
-- --
-_
----
- --
-v-- - -
The concept of ecological approach adopts a systen~sapproach to the understanding of the

refer< to the method of treating the phenomena as an
phenomena. The systems app~~oach
I
I
Ecological Approach:
Fred W. Riggs
integrated whole consisting of interdependent parts. In spite of concentrating.on one aspect

of the society, the ecological approach takes the wholistic view of the organisation. This is
fhe reason why Riggs has categorised the broad systems at the macro level and attempted to
apply those categories to the m~cro-sub-systemssuch as administration. He took the global
systems as a frame of reference for his catcgorisation and develop~dthree ideal models viz.,
Fused, Prismatic and Diffracted to explain the change in the transitional societies. The
ideal models of Riggs are hypothetical assumptions aimed at analysing pre-historic,
developing and developed societies.
The process of trimsition of a ray through a prism is taken symbolically to explain the
process of transformat~onof a society. The starting point of the ray is taken as fused, the
process of vibration of the ray within the prism is called prismatic and finally the process
where by the ray coriles out ot'tlle prism to project a rainbow is called diffraction. Likewise,
various social systems in the early stages of the process of development would be fused;
prisrni~ticin the tri~nsitionulstnge :tnd finitlly diffracted'at the end, as explained by Riggs.
'
Riggs created titodels 1111 [lie basis of structural und functional :ipproaches. Accordingly, in a
,
f ~ ~ s socie~y
cd
d single structure ci~r.:;:!sout various functions. In contrast, in a diffracted
society separate structures are c ~ ~ ; L ItoLcilrry
" ~ out specific functions. But between these two
there exist u number of societies in which the characteristics of both fused and diffracted
societies are found side by side. Such societies are called prismatic societies. However,
Riggs aiipl~;tsisesthat no society can be exclusively called either fused.or diffracted, all
societies arc generally prismatic in nature. The clinracter of a society be it fused or diffracted
depends on the n:lture of its various structures and the functions carried out by them.
14.4.1 Fused Model

Riggs selected Imperiol China i ~ n dthe pre-r.evolutior-rarySiamese Thailand as examples of
his concept of fused sociery. These societies had no classification of functions and a single
structure carried out ;I number of I'unctir~ns.These societies heavily depended upon
agriculture. knowing no ~ndustrialisittionor modernisarion. Their economic system was
based on the law of exchange an8 barter system which was called a 'redisttibutive model' by Rig@.
The Roy;~lf:lmily played ;I very in-rparti~ntrole in the administration of the country. The
King ancl the officials nominated by him carried out all administrative; economic and other
activities by the~nselves.No sepnrilte structures existed to manage the economic and
;tdministriitive affairs. The relation between the government and the people were generally at
low ebb. People showed respect to the King by offering their services and presenting
material goods to him without expecting anything in return. The government was n i t
responsible and accountable to the people though the public had an obligation to obey the
dictates of the government.
The family played a prominent role in the Siamese Kingdom. It used to carry out a variety
of economic, political and social functions. Apart from providing the base to the social
structure, it stood at the apex of the administration. As a resu!t, the administration in these
societies strove to protect the special interests of the family and certain sects rather than aim
at universal happiness and development. Indeed, the administrative system was based on the
structure of the family and special sects and helped to preserve the system, Generally, these
societies tended to be static'with no developed communication systems. People would have
no demands and never raised any issue with the government. The King and his nominees
enjoyed absolute power which they generally used to protect their own personal interests.
These societies did not differentiate between formal and informal set-ups, governmental and
non2governmental activities.
Ascriptive values played a predominant role in the society, and the behaviour of the people
was highly traditional. Age-old customs, beliefs, faith and traditional ways of living enabled
the people to live together and control their behaviour.
14.4.2 Diffracted Model

These societies are based on universalistic principlesqdth no differentiation in treatment.
There 1s a high degree of specralisatlon and each structure carries out a spcicialised function.
Ascriptive,values cease ro exist, giving way to the attainment values in the society. The
society would be highly dynamic and diffracted, There exists in these societies open class
structures represented by various associations which play a prominent role ir( achieving
rational results in the society. All organisations and structures in the society are created and
based on scientific rationale,
*
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The econorni,. :;ystem is based on market rnech;mism. 7hc inl'lucncc ol'nli~rkcthas hoth
.
direct and illdirect effects on the other Facets of the society. Riggs called it 'mnrketise~l.
society'. Various associations discharge various functions. Communications and t e c h ~ ~ o l o g ~
are high[:, ycloped and governments give top priority to the innintcnanceof cordial puhlic
relauon:,. C:...;rnments would be responsive to the needk of the people and protect human
rights. People would bring pressure on the governmenr to get thtir things donc nnd control
its behaviour to a great extent. Government officers have no cocrcivc.and absolute powc1:s.
The public pays attention and gives respect to the laws of the nation o n their own. Thisi
facilitates the implementation of the laws and the discharge of its responsibilities by the .
government without any difficulty. There would be a general consensus arnong thc'peoplc
on all basic ispe'cts of social life.
'L'he Paradigms
s:t
14.4.3 Prismatic Model
Riggs focused on the prismatic model-the focal point of his models. According to Riggs.
the prismatid society is one which has achieved a certain level of differentiation; the
specialisation of roles necessary for dealing with modem technology, but has failed to
integrate these roles. The prismatic society shares the value-patterns of both fused and
' *fracted societies.
Check Your Progress L

ii) Check )/our answers with thpse given at the end of ihe unit.
i) How did Riggs develop his ideal modeis?
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i
Describe the features of a 'Fused ~odel'?;
ii)
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How doesthe diffracted model differ from the fused model? .
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-' iii)
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14.5
PRISMATIC SOCIETY ;CHARACTERISTICS
%
>
.The intermediate society between two extremes, i.e., fused and diffracted, is called prismatic
society. In his analysis Riggs used fused and diff~actedmodels as tools to explain the
,'prismatic phenomena of developing countries, According to ~ i g g sthe
, prismatic society h a '
three important characteristic features, viz., a) heterogeneity, b) formalism, and c)
;overlapping. .
I
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14.5.1 Heterogeneity
The existence of a high degree of heterogeneity is the main characteristic feature of a
~rismaticsociety. Heterogeneity refers to 'the simultaneous presence, side by side, of quite
different kinds of systems, practices and view-points'. Owing to the parallel co-existence of
diametrically opposite view-points and practices, the social change in a prismatic society
would be inconsistent, incomplete and unresponsive. The heterogeneity also influences the
administrative system.
There are in a prismatic society urban Teas with a 'sophisticated', ~ntellectualclass, western
style offices and modem gadgets of administration. There also exist a well developed
communications system, sky-scrapers, airconditioners, the existence of specialised agencies
to discharge various social, political, economic and technical services. On the other hand, in
the rural areas, people lead a highly traditional life with no facilities for modem living like
telephones, refrigerators, etc. The village 'elders' combine various political, administrative,
social, economic and religious roles. Heterogeniety exists in a prismatic society in all wales
of life presenting a paradoxical picture, In the field of education, society pays a great
emphasis on the western type of education while upholding traditional G u N ~ u ~Hospitals
~s.
with all modem facilities giving allopathic treatment co-exist with Ayurvedic, Unani,
Homeopathic and Naturopathic centres. Such a co-existence of contrasting systems pulling
the society in different directions makes it difficult to make generalisations.
In the prismatic societies political and administrative offices enjoy enormous influence,
poker and prestige and help in making money. Although equal opportunities exist for all,
only some people are privileged enough and hope to get the jobs in higher echelons. Those
who fail to get jobs would waste no time in forming 'pressure groups' against the
government and start agitations on some pretext or other. Though elected through
democratic processes, the government would not be in a position to control the people. The
; people in power tend to make all efforts to protect their interests and stick to power. Thus,
there cquld always be 'misunderstanding and misrepresentation of facts giving rise to
lensions and instability in the society.
The problem becomes much complicated in a poly-communal society where different

communiti .i try to pull the society in different directions in furtherance of their own
sectional icterests. This is evident in almost all the developing countries of Asia, Africa and
Latin America. Lack of integration thus forms the basic feature of a prisrnatiq society.
'
All these disparities. differentiations in almost all aspects of life not only influence the
working of the administrative system and condition its behiviour but also create a number of
problems for the administration. The ruling class would normally try to protect the interests
of 'haves' and ignore the interests of 'have nots', which, accarding to Riggs, would create
\
conditions conducive to the outbreak of a revolution in society.
14.5.2 Formalism
~ormalisrnrefers to 'the extent to which a discrepancy exists between the prescriptive and
the descriptive, between formal and-effective power, between t j e impression given by the
Constitution, laws and rygulatjbns, organisation charts and stat~sticsand the actual practices
and facts of government and society'. In.other'words, it means the degree of difference
between the formally prescribed and effectively practised norms and realities and the
existence of gap between the 'stated objectives' and 'real performance'. The greater the.
difference between the formal and the actual, the more will the formalism be in a system.
The fused and diffracted societies have relatively a high degree of realism in comparison
with a prismatic society where there is a high degree of formalism.
Though the liwi, rules and regulitions prescribe the style of functioning for the government ,
officials, there are wide deviations in their actual behaviour. The officers sometimes stick to
the rules and sorrietirnes overlook and even yiolate them.'~hisformalistic behaviour is
., caused .by the lack of pressure on the government towards the,proatamrne objectives, the
, weakness:bf the social power to influence'the bureaucratic performance and a great degree
; of permissiveness for arbitrary administration. Thus,;the behavioyr of the government
,
.: officials and bureaucrats would be highly.unpredictable, inconsistent and depends on the
1 situational variables, The reason for such a type of behaviour may be ascribed either to the
. natural inclination of the employees towards collecting easy nioney.or t'o the existence of
1
ances for maladministration. Thus, generally formalisp in administratiop paves the,way
.
r corruption in'.society. .
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Public Orpnisations:
The Paradigms
Formalism exists in all aspects of social life. Generally, the laws relating to social and
cultilral aspects of fife are not respected and adhered to. They exist only in the record rooms
of the government, and the government also is not serious about their implementation. To
quote a few instances in India, prohibition laws are respected more in breach than in .
observance thereof. The town planning regulations are more violated than observed. Such
hypocrisy in social life is, generally, found to be the rule rather than an exception in almost
all the developing countries.
While explaining the dimensions of formaliqm Kiggs also considered Constitutional
formalism. Constitutional formalism refers to the gap between the Constitutional provisions
and their actual implementation. This can be found in India. For instance, according to the
Constitutional practice, the Chief Ministers are to be eleccted bv the members of the majority
party in the State Assembly. The Council of Ministers are to be chosen by the Chief
Minister. But in practice, in most cases the central party leadership plays a decisive role in
their selection. The Constitution legally vests the governance in the hands of the elected
represenratives of the people but in practice the real governmental power and influence may
be wielded by some individuals or groups of people outside the Parliament.
The Constitution entrusts law making responsibility to legislators but in reality they spend
only a little time on law making. They may be engaged more in power politics than in the
discharging of their legislative responsibility. This helps the bureaucracy, in the prismatic
societies, to play a major role in law-making. The bureaucrats may even form groups or
align themselves with various politicql leaders owing to the presence of factions within the
ruling party or the Councii of Ministers. Thus formalism exists in all aspects of social life in
a prismatic society.
14.5.3 Overlapping
'Overlappipg' refers to 'the extent to which formally differentiated structures of a diffracted
society co-exist with undifferentiated structures of a fused type'. In administrative systems
administrative behaviour tends to be influenced by non-administrative criteria, i.e., by
political, social, religious or other considerations. In a fused society, traditional structures
perform almost all kinds of functions and the problem of overlapping does not arise, because
in such a society whatever is formal is also effective. However, in a prismztic society,
although 'new or modem' social structures are created, in essence the old or undifferentiated
structures continue to dominate the social system. Though formal recognition is given to
new nonns and values which are generally associated with a diffracted structure, in reality
they are paid only lip-sympathy and are overlooked widely in favour of traditional values
associated with undiffrac'ted societies. Thus, in a prismatic society, the Parliament, the!
Government offices, market, schools, etc., perform various administrative, political, and
economic functions. In reality, their behaviour is influenced by certain traditional
organisations like fam'ily, religion, caste, etc.
Check bur itogress 3
Note: i) Use the space below for your answer.
ii) Check your answer with tho~egiven at the endof the unit.
Does
the Indian social reality represent the characteristics of prismatic society?
i)
Explain with illustrations.
14.6 SALA MODEL

Prismatic society is characterised by various economic, social, political and administrative
sub-systems. Riggs called the administrative sub-svstem 'Sala Model'.
In a diffracted society its counterpart is called 'Bureau' or 'Office' and in a fused society
'Chamber'. Each of them has distinctive features of its own.
The Spanish word, 'Sala', has a variety of meanings like a government office, religious
conference, a room, a pavilion, etc. The word, 'Sala', is also g~nerallyused in East Asian
countries more or less with the same meaning. Sala has certain features of both the
diffracted 'bureau' and the fused 'chamber'. However, the 'bureau' features of Sala do not
well represent its basic character. The heterogeneous value system and the traditional and
modem methods of the prismatic society are reflected in its administrative rationality and
efficiency found in the Bureau is absent in Sala.
In a prismatic society, family welfare, nepotism and favouritism play a significant role in the
making of appointments to various adrnir~istratitepositions and in the performing of certain
administrative functions. In a diffriicted society, the considerations of kinship are kept out of
~ n administrative
e
behaviour and the exercise of,governmental power. In a fused society the
politico-administrative system has a patrimonial character, and therefore, attaches
importance to kinship or family. In a prismatic society, on the other hand, apart from the
super-imposition of new formal structures on family and kinship, it disregards the
universalisation of laws. Though patrimonialism is officially prescribed, in reality it is
widely practised and it is retlected in all administrative practices. The 'Sala' officer gives
priority to personal increase in power and wealth rather than social welfare. His behaviour
and performance are influenced by parochialism, and as a result, the rules and regulations
are not made uiliversally applicable. A few people get more benefits from the governmental
programmes than the others, resulting in the ignoring of the interests of a large number of
people.
Further, the poly-communalism also creates certain administrative problems. Theoretically
speaking, the government officers have to implement the laws impartially. But a government
official may be found to be more loyal to the members of his own community than to the
government. As a result, a dominant minority community may gain a high proportion of
representation in the matter of recruitment etc., thereby creating dissatisfaction among the
[urger numbers of peopre. To present such a situation asld to protect the interests of other
rinorities, the 'quota' or 'reservation' system may be adopted to provide some sort of
p qmrtional representation to all communities in the administration. However, such an
arrangement might lead to compartmentalisation and mutual hostility among various
communities, which might further aggravate the tensions prevailing among the different
communities working in various governmental agencies. This situation, howeer, is not
peculiar to developing countries alone. The 'Whiteman-Negro' relations in Southern
America, for instance, illustrates it.
Thougti family, community and caste play decisive roles in a prismatic society, there is a
simultaneous growth of new groups in the society. Riggs called them 'clects'. A 'Clect' is a
typical prismatic group, 'which makes use of modem, associational methods or organisation,
but retains diffuse and particularistic goals of a transitional type'. Thus the clect combines
the features of 'sect' of the fused society and 'club' of the diffracted society. 'Clects'
represent exclusively the people of a particular community or group, and government
officials belonging to that category serve only the members of their respective 'clects'
effectively by ignoring others. Sometimes the sala-orone of its agencies develop close
rcllations with particular clects or starts functioning like a clect.
As a result, the clect maintqins close links with a particular group and functions primarily in
interest, and pays lip-service to achievement and universalistic norms.
In a pnsrnatic society the traditional behaviour pattern coexists with 'new' sets of norms. As
a result of overlapping of the 'formal' and the 'effective' standard of conduct, the prismatic
society's social interactions are characterised by a lack of consensus on the norms of.
behaviour.
Sala officials may enter service by virtue of higher educational qualifications or through
success in competitive examinations but in respect of their promotion and career
Ecological Approach: -c
Fred W. Riggs
development, they depend largely on ascriptive ties, and also on the basis of seniorily or on
the influence of senior officers. These officers may claim to be guided by modern n o ~ m sin
their behaviour, while actually being indifferent or rejecting all inconvenrent norms in their
day-to-day functioning. The public also follows the example of Sala officials in respect of
observance of rules and regulations. But when their personal issues are involved they would
either try t o b r e ~ kthe rules or plead for exemption rn the~rfavour.
The Paradigms
While referring to overlapping In the powcr structure of a prisrnatic society. Riggs observes
that it consists of a 'highly centralwed and concentrated author~tystructure overlapping
control system that is highly localised and dispersed. There exists a separation of 'authority'.
(officially sanctioned or legitimate power) from 'control' (real, but unofficially permitted or
illegitimate power). In practice, the de jure 'authorrty' succumbs to the de facto 'controls'.
The authority of the Sala overlaps the society's control structures which are based on polycommunalism, clects and poly-nornativism. A number,of structures at times behave in a
peculiaifashion and many a time even act against the very purpose for which they have
been created. Sometimes, structures lacking primary orientation towards administration
carry out administrative functions along with other concrete structures responsible for it.
Such overlapping influences the relationship between politicians and administration.
Riggs has termed the prismatic society an 'unbalanced polity' in which bureaucrats
dominate the politico-administrative system, despite the political leaders' Constitutional
powers. As a result, the Saia officials play a more dominant role in decision-making
processes in a prismatic society than the officials in a diffracted society. Owing to such a
concentration of powers in the hands of bureaucrats, there would be lack of response to the
people's needs and wishes: In such a situation the strengthening of the EublicAdministration
in developing societies is likely to impede political development. He has further pointed our
that such a weak political system marked by leadership failure to control the bureaucracy
would lead the rendering of the legislature, political parties, voluntary associations and
public opinion ineffective.
.
'
The strength and weakness of any political leader in power varies with his ability to reward
and punish the administrators. A weak political leader may fail to recognise the services of
an efficient official and reward him suitably for achieving the organisational goals, and at '
the same time an inefficient qfficial may escape punishment for his failures. As a result, a
talented Sala official tends to spend most of his time for increasing his power and for the
promotion of personal interests and in the process inefficient officials may go scot free.
since the perforrriance of the government depends on the level of output of the Sala official,
Riggs says,.there is a close link between bureaucratic behaviour: and .administrative output;
the more powerful a bureaucrat is the less effective he is as an administrator. As a resuit, the
Sala is characterised by nepotism in recruitment; institutionalised corruption and
ineffi~ien~y'in
the administration of l&s on account of its being governed by the motives of
gahing-power for protecting its own interest.
cheek ~ { u r~rogr$s4
?
fiote: . j) ' Use.the space below for your answer.
- '. ' " b " ;
ii) Check your answer with those given at the end of Be unit.
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ij
Summarise the features of sala model of administrar~on:
'
Ecological Approach:
Fred W.Riggs
..
14.7 THE BAZAAR CANTEEN MODEL
Riggs called the economic hub-system of prismatic cconomy-'Bazaar Canteen Model'. In a

difl'racted society. the economic systcm operates depending on market factors of supply and
tlemand and economic considerations alone govern the market. In a fused society, religious,
social or familiar factors guide the economy, a kind of barter exchange system exists in such
uconomies ilnd question of price very rarely arises The prismatic society has the
characteristics of both market economy and traditional economy. Under such circumstances,
it is not possible to determine cornmon price for a commodity or service.
In the bazaar canteen model. .a small section of people enjoy all benefits with control over
economic institutions and exploit a large number of people. Bargaining, rebates and bribes
~ t are
c common features of this model. There is discrimination and favouritism at all levels,
price of the services is determined by the reliltionship between public official and people,
price varies from place to place, time to timc and person to person. The price of any
commodity or service depends on family contacts, kinship, individual relationship,
bargaining power and politics. Such a state of afFairs encourages b'lack marketing, hoarding,
. adulteratiort, inflation etc. 'Market factors' in prismatic society are developed without
,
proportionate increase in the capital, the busirtessmcn try td extend their influence to
political and administrative spheres to achieve their personill ends. Exploitation, poverty and
social injustice, therefore, become the major features of the bazaar canteen model.
14.8 THEORY OF PRISMATIC SOCIETY:
REFORMULATED
Riggs, realising the limitations :jf 'one dimensional qpproach' of his models reformulated'
them in his later work 'Prismatic Society Revisited( 1975). As mentioned'earlier, his models
of fused. prismatic and diffracted were built on the variations in the levels of differentiation.
'In his new formulations, Riggs h'as introduced the second dimension of levels of integhtion
among the societies that are characterised as differentiated and prismittic.
Riggs by introducing two dimensional approach of riifferentii~tionand integration arranged

the societies on the scale of integralion and mill-integration. The diffracted and prismatic
tnodels are further subdivided on the basis of degrees of integration. Accordingly,
diffracted societies are rcconceptualised as eo..diffracted, artho-diffracted and neo-diffracted.
Prismatic societies also are, reconceptualised as co-prismatic, artho-prismatic and neo- .
prismiitic.
.
The new formulation of two dimensional appro:tch means that a diffracted model refers to a.
society that is differentiated and intcgratcd and prismatic model refers to a society that is
differentiated but mal-integrated. The prefixes attached to both
. . models suggest different
relationships between differentiation and integration.
<
--
Riggs used the refbrmulated tnodcls to explait1 ~ h social

e
tensions in developed societies like
America. In his opinion thc social tensions in developed nations like urban crisis, racid
violence, student uprising are a result of mahdjustments in the differentiation and
integration. More stable and peaceful conditions in underdeveloped countries may be an
indication of less gap in thc differentiation and integration in prismatic societies. These
reformulations of Riggs are more uscful to understand the specificities of developing and
i
developed societies.
I
14.9 CRITICISM
"You would find many criticisms on the ecological approach of Riggs. Mainly the criticisms
are on the grounds of:
Difficulties in using the language:
Lack of charlge orientation;
Absence of quantitative indicators;
Negative orientation of the concepts; and
Ethnocentricism
I
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69
The Paradigms
We shall 'discuss these critici!;rns in some detail.
DiMiculties in using the language: Riggs liberiillj, coined new words to explain his
concepts,ln addition, he also gave different meanings to a number of words already in use.
There is no hann In coining new words when the existing vocabulary fails to cpnvey the
meaning and clarify the cdncepts. There is also nothing wrong if one interprets a term in his
.own way for the effective expression of his views. But a free use of new words, and of
,
words already hiving different meanings may create confusion instead of'clarifying the
concepts. Riggs in his enthusiasm to give a scientific character to his models, borrowed rnost
of his tcnninology from Physical Sciences. But the use of certain new words borrowed from
Physical Sciences .:r analyse aclminisrration cannot make it a science.
Lack of change orientation: Hahn-Been Lce doubts the utility of the prismatic and Sala
models in view of the developn~entadministration's focus on social change. Lee feels that
Riggs' models are not helpful to the analysis of the process of social change and
development. He considers Riggs' n~odels;is equilibrium models. Equilibrium models
would help in preserving the system but not in introducing any change in the system. Lee
thus i.oncludes that the models of Riggs are not useful when the objective of the
administration is to change the system r:lther than maintain it.
Absence of quantitative indicators: In applying Riggs's ~iiodels.toparticular societies, the
problem of nieasurement arises. In the absence of a measuring scale, the identification of
prismatic or diffracted societies becomcs very difficult. The reitder, following Riggs's
analysis, lnay tend to associate prismatic conditions with every situation he knows.
Similarly, when the fused and diffracted societies are imaginary, Daya Krishna says, all the
societies are to be classifietl as prismatic at various levels-low, rniddle or high. But when
scales to measure the levels of 'prismatisni: are lacking,such a classil:ication will have no
reievance. The filct is that Riggs's models are nlostly based orcertain assumptions. But in
the absence of ;my empirical evidence the validity of such assumptions is questionitble.
Negative Orientation of Concepts: Riggs did not give as much importance to the posittve
character of s prismatic society as to its negative character. He projected fom~alismas a
nbgative aspect and highlighted its bad effects only. But it is also true that sometimes the
people might stand to gain if the rules and regulations are not strictly followed. Fur instance,
administration may move fast if certain rules are not strictly observed. In countries like
India, if there is proper leadership, formalism becomes dysfunctional in most or in all
circumstances and represents a 'nor)-ecological' view point. To counter-balance the
Riggsian concept of negative fqrmalism, Valson has presented-a new concept of positive
formalism.
'.
It is undeniable that fonnalism is bound to be present in any situation where an attempt is

made to achieve a higher level of performance. This can be interpreted as the desire of the
people to reach a new higher level of performance. All institutions and individuals can
improve their performance when the goals set and when the norms fixed are of a higher
order. Instead of considering formahsm as a gap between good intentions and the struggle to
achieve it, it is described as a negative characteristic.
Ethnocentricism: The categorisation of the societies into fused, prismatic and diffracted
ones a based on the values inherent in a capitalht'system. The ctiaracteristics of the
diffracted model are entirely those of a capitalist system. Riggs's analysis clearly establishes
the superiority of the diffracted model over the other models. To that extent, this approach
suffers from ethnocentricism:
QI
Check Youp: Progress 5

i) &$the space below fopyour answer.
ii) ~ h & kyour answer with tfiase given at the end of the unit.
~ s '
approach is non-ecological"Discuss,
i) " ~ i ~ecological
ffote:
E:colr~gichlApprouch:Fred W. Rigis
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14.lp LET US SUM UP
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Classical organisationih theories nini,lly emphnsisc orp;~nis:~tionalstiuctures and principles.

and b'ehavioural theories concentrate on human behnviour in the organisation. But ecological
theories emphasise the interaction of adrninistrt~tionwith its environdent. Both in content
and in analysis, Riggs's ecological approach extends the horizons; and assumes an
integrated approach to the administrative system.'His approach and modcls help us in
examining the administrative process in developing countries. A l t h o ~ ~ in.
g l practice
~
his
administrative models are difficult to find, they help us in appreciating the realities. The Sala
model provides an opportunity to unalyse and understand the administrittive system in
developing countries. It also facilitates to further such studies that are based on empirical
and ecologic+ approaches.
14.11 KEY WORDS

Ascriptive values: Values derived by"birtI3, ..
Attainment values: Values derived by one's own efforts.
Barter exchange: It is a characteristic feature of traditional economy. In such an economy
there is an e'xchange of goods and services without the use of money.
Bureau: Bureau or office refers to administrative sub system ~na diffracted society.
Chamber: Refers to administrative sub-system in a fused society.
Differentiation: Existence of a situation in which every function has a corresponding
specialised structure for its performance.
Formal: The official norm, the theory, what ought to be dgne, as expressed in constitutions,
laws, rules and regulations.
Integration: A process to tie together, to coordinate the various kinds of specialised roles
in a society.
Market Exchange: It is the buying and selling of goods and services at mbney price
according to law of supply and demand.
Nepotism: Favouritis~nshown to relatives in conferring offices.
Poly-communalism: It is the nanie given by Riggs to plural society where we find the
simultaneous existence of several ethnic, religious and racial groups.
Puly-norrnativism: Displacement of traditional values by new ones, it leads to increase in
opposed values in a society.
Patrimanialism: Patrimonial political system comprise of specialised p~liticalelites such
as kings, suFhiefs and specialised officialdom, all offices are h a t e d in ruler's household.
Refracted: Refracted society ?s one where there is high level of structural differentiation
and functional specialisation.
Structure: Observable regular activities which make up the political system.
Arora, Ramesh K, 1972. Comparative Puhlic*Administratiotr: An Erological Approach;

Associate Publishing House: New Delhi.
Bhattacharya. Mohit, 1987. ~ u h l i ~ ~ ~ d m i n i . y f r u r i o nworld
; ' ~ h ePress Private Lfd: Calcutta.
Prasad, Ravindra D., et.al. (Eds,) 1989. Administrative Thinkers; Sterling Publishers: New
Delhi.
Riggs. Fred W., 1964. A.!;;;:,,;..;, ofion in Dcoelopin,q Courrtalr.~.
The ~ h e o rof
i prismatic
Society; Houghton Mifflin: Botson,
Asia Publishing House: Nev!
Riggs, Fred W., 196 1. The Ecology (clfPuhIic3Adn~inistru~inn;
*
" Delhi.
V m a , S.P. and Sharma. S.K. (Eds,) 1983. ~ ~ v e l o ~A~lminim~ation;
n~~th
IIPA: New Delhi.
Public ~r~anisations:
The. Paradigms
'
14.13 ANSWERS TO CHECK YOUR ~ R O C R E S S

i) See Section-14.2
'
~ h e c k . ~ o uProgress
r
2
i ) See Section-14.4
ii) See Sub-section-14.4.1
iii) See Sub-sections-14.41and 14.4.2.
)

i ) ' See Sub-sections-14.5.1, 1415.2 and 14.5.3
'i) See Section-14.6

i) See Section-14.9.
UNIT' 15 MEANING OF BUREAUCRACY

Structure
Objectives
Introduction
Origin of the Term
Meankg of Bureaucracy
15.3.1
15,3:2
15.3.3
15.3.4
15.3.5
15.3.6
15.3.7
15.3.8
1.5.3.9
Bureaucratic Policy
Burenucrars in Power
Office Holders
Bureaucracy as an Ideal Construct
Bureaucracy as Organisation
Bureaucarcy as Society
Bureaucracy and Rationality
Dictionary meaning of Bureaucracy
Critics' view of Bureaucracy
Types of Bureaucracy
15.4.1
15.4.2
15.4.3
15.4.4
Guardian Bureaucracy
Caste Bureaucracy
~atrona~h~ureaucrac~
Merit Bureaucracy
Maladies of Bureaucracy
Let Us Sum Up
Key Words
Some Useful Books
Answers to Check Your progress Exercises
15.0 OBJECTIVES
After studying this Unit,.you~houldbe able to :
explain the origin of the tern1 bureaucracy
describe different meanings with which bureauqacy is being used
point out different types o'f bureaucr&cy,,and
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explain the maladies of bureaucracy.
15.1 INTRODUCTION
As a student of Public Administration you must be familiar with the term 'bureaucracy'. It
is a term with strong emotional overtones and elusive implications. Bureaucracy is also a
much researched area by Public Administrationists, Political Scientists, Sociologists and
many others. As a result, there is no terminological accuracy about the concept of
bureaucracy. To some, it is efficiency and to others, it is inefficiency. To some it is a term
synonymous with civil service and to others it refers t6 a body of officials. It is this that
has made one scholar to comment that 'bureaucracy is a notorious word of our age'. It is,
therefore, necessary to know what is the origin of the term and what are its different
meanings. It would enable you to gain familiarity about the different meanings. In this
Unit you would study its meaning, types of bureaucracy and maladies of bureaucracy;
Bureaucracy
15.2 ORIGIN OF ' F ~ TERM

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The term bureaucracy is derived from the Latin term 'bureau'. Bureau means a writing
table or desk. In French 'La Bure' means a clojh used on tables of public authorities. From
table cloth, the table covered by cloth got the name 'bureau'. Later 'bureau' began to be '
used for the office room where table is kept. Thus by 18th century the term began to be
used to refer to a place where officials work. The suffix 'cracy' in Greek means 'rule'
Thus bureaucracy refers to rule of officials. During 18th and 19th centuries, the term was
used consistently. It meant power of officials in Public Administration. It'was also referred
to the authcrity or power which the government departments claim t~tkiemselves.
It was a Frenchman De'Cburnay'who first coined the term bureaueracy in the middle of the
'eighteenth century. He used the term to complain agalnst the bureaucracy. He said that 'we
have an illness in Frank which plays havoc with us, thisit ness is called bureaumania'.
This means de'Gournay used the term in a comp1;iining tone. This is evident
when he said that 'officials are not appointed to perform public interests, but'public
interest is established so that offices might exist . lY'rqs-de'Gbumayhas identified a new
group of rulers and methsds,of governing wherein the governing became an end in itself.
~ h e i were
e some who believe that the term originated in ~ e r m a n yand was later
popularised in France. This was mainly because German newspapers used the term whhe
reporting about the French Revolution. Eversince its originiit rapidly became part of the
international vocabulary of Political Science and Public Administration. In France, the
term was first popularised by the novelist Balzac. Later the French bureaukratie became
the German bureaukaratie, the Italian Burocrazia and the English bureaucracy. Twenty
five conceptualisations, however, took place at the hands of Mosca, Michels and Max
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Weber.
15.3 ' MEANING OF 8UREAUCRACU
The term 'bureaucracy' is being used with different meanings to signify diffcrent things.
This made Fred Riggs to comment that the term 'can now be used without much sense of
strain for about forty marginally differentiated senses, falling under ten headings'. It is,, '
therefore? necessary for us to
understand
what these different meanings are.
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After the term bureaucracy was coined by de'Gournay, it has attracted atterition from a
number of scholars from different disciplines. It has its admirers as well as opponents. Max
Weber, the Sociologist had almost "intemalised" this concept;' whereas writers like
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demise. There are also other writers who. took a balanked view of the concept.
Bur~aucracy,however, was originally conceived as a negative or perverse concept. It was
Mdx Weber, a German sociologiqt, who gave it a respectable ,and positive implicat,j,on. ,
Bureaucracy, in its simplest form, $an be seen as "officials in power" or "a class of
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officials" or "bureaucrats exercising their power to carry on their constitutional duties and
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. . obligations". The need,to use'it as an equivalent to the term "officials" or
"administrators", has forced the writers to pojnt out its negativ"eonnotatio~+s.,Peg~ps,
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other term is as appealing as bureaucracy to describe officials or officialdom. In what
follows, you would study the different ,meaningsof the term burkaucracy.
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15.3.1 Bureaucratic Policy
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Atdthe time of its genesis. when delGournpg coined it, burtaucrky was linked to a type
system in the way, terms like "aristocracy", "monarchy", and "democracy"
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were linked up with different political systems. J.S. Mill used the term bureaucracy to ,
denote the professional govemors~ofthe government in _a society. Harold Laski also used it
, in a similar sense. To him bureaucracy is rule of the officials in a system of government. 1
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Mded that the "rule is so complete, that it jeopardies the (liberties of ordinary
citizens". Heqnan Finer, a political scientist also described bureaucracy as rule by
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government officials. Lasswell and Kapfan viewed it as a government where the elite are ,
officials. However. in course of time. bureaucriicy in this form, has lost this connoption.
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Meaning of Bureaucracy
15.3.2 Bureaucrats in Power

A number of writers and scholars described the tenn bureaucrats to denote power
managers in a system of government. 1.S. Mill, for example, denoted bureaucracy as a
ruling class of officials. Mosca described bureaucracy as one class of ruling elites whose
, rule is absolute. Michels, has expanded the concept of bureaucracy to include salaried
professionals in government and non-governmental agencies such as political parties.
Writers like Ramsay Muir viewed bureaucracy as pdrmanent officials and professional
administrators. The growing power and influence of bureaucracy was also recognised by
' later writers.
15.3.3 Office Holders

Bureaucracy is also used synonymously with office-holders with or without power. J.S,
Mill, for example, hinted at the possibility of a non-dominant bureaucracy: It is used in an
administrative context 'to complain abour its inefficiency rather than its abuse of power.
Max Weber referred bureaucracy as a positive, non-dominant body, when he said, 'no
exercise of authority can be purely bureaucratic', That is how a simplistic notion of
bureaucracy developed and it is seen in the writings of ~ a y l oCole
r and Joseph
Lapalambora. The latter used the term to encompass all public servants.
15.34 Bureaucracy as an Ideal construct

Max Weber's conception of an ideal type bureaucracy is a theoretical form which in its
true form may. or may not be found in the real world. Idealist conceptions have at-least a
degree of difference from their real world entities, Max Weber, one of the earliest to
conceptuaiise, in his ideal type bureaucracy attributed the following features to the
bureaucracy: impersonality, hierarchy, specified duties, contracts, professional
qualifications, salary, full-time careers, separation of office from ownership; and
, centralised pow&. Eowe*, 9..tHe characteristics of the ideal bureaucracy are not
accepted by the followers of.Weber. For instance, Robert C. Stone described bureaucracy,
as a type of organisation characterised by "rationality in decision making, impersonality in
social relations, ratiorlalisation of tasks and'centralisation of authority". By this
description, Stone offered a second definition of bureaucracy.
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15.3.5 Bureaucracy as Organisation
Sociologists used 'organisation' in a micro and limited sense, synonymously with the tenn
'bureaucracy'. Thus, in their view, bureaucracy is an apparatus (as used irtPhysical
&kc-&,~he word organisation is mostly used by the sociologists and next by the business
administiation writers. They use it in a total or holistic sense. which covers the
organisation and its members as one,,and the same and are inseparable. Thus organisation
sind'bureaucracy have become synonymous terms as used by many writers including
Talcot Parsons, Hyneman, and Caplow. It is used to mean not just a class of office holders
but rather the organisation in which they work. Thus the term is used to denote both the
organisation as well as its members, In the same sense bureaucracy is identified with
government at macro levels, where the entire system of government is referred to as
bureaucracy.
15.3.6 Bureaucracy as Society
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Some writers have extended the scope of this term under refercnke to societies, hence the
usage of the term bureaucratic society.'Perhaps this is in tune with the expressions such.as
communism, capitalism and socialism, which denotes a kind of social system as well as a
political and .economic structure, The idea is that in a society where bureaucracy plays a
dominant role, it can be referred as a bureaucratic society. More.clearly in such a society,
sodial alationships are influenced by t h e bureaucratic behaviour. Mention of such
societies can be found in the writings of Karl Wittfogel and James Burnham. Wittfogel
argues that the ruling officialdom in pre-industrial societies dominate the peasant masters
and hence the term 'bureaucratic society' is appropriate to describe the social *
phenomenon. Burnham's view is that in a nuclear society managers as a class dominate the
polity and society. A look at the business war games, and corporate battles in today's
U.S.A., J a p p and other nations would explain the case. Presthus, on the other hand, holds
an $together different view from Wittfogel and Burnham, wheo ii comes to the ' .
interpretation of the term bureaucratic society. According to Presthus, a large organisation
is a symbol of the society in which it is an integral part, in terms of life styles of its
members. In countries like the USA we can see real life examples of large organisations
carrying on the essential features of the society at large. Based on this, Albrow, concludes
that it is not out of place to think of bureaucracy as a type of society. Perhaps we can see
such societies in other industrial nations as well.
15.3.7 Bureaucracy and Rationality

The Weberian concept of rational legal bureaucracy has led to an unending debate. There
is hardly any opposition to his idea oq legality linked to bureaucracy. What is questioned is
his concept of rationality of bureaucracy. Perhaps, in administration, rationality means
cost-effectiveness, productivity and purpose. Peter Blau, believes that bureaucracy as an
organisation maximises efficiency in administration. G.R. Francis and R.C. Stone endorsed
the same opinion when they said that bureaucracy maintains stability and efficiency in
organisiations that are large and complex. Peter Leonard also holds similar view when he
says that 'bureaucracy refers to rational and clear cut activities that are directed towards
fulfilling the purposes of the organisation. In other words, today's concern with
productivity of the government and officialdom, managerial and organisational
productivity have their origins inatheterm 'bureau-rationality'.
15.3.8 Dictionary Meaning of Bulreaucracy

Apart from Weber's ideal type definition and subsequent definitions by his followers, some
dictionary meanings of bureaucracy are .available. Webster's Third International
Cambridge Dictionary defines bureaucracy as 'systematic administration characterised by
specialisation of functions, objective qualifications for office, action according to fixed
rules and a hierarchy of authority. In the Encyclopaedia of Social Sciences, Laski
maintains that the term is used for a system of government the control of which is so
completely in the hands of officials that their power jeopardises the liberties of ordinary
citizens. Robert C. Stone in the Dictionary of Social Sciences uses bureaucracy as a type of
organisation characterised by rationality in decision-making, impersonality in social
relations, routinisation of tasks and concentration of authprity. Thus bureaucracy is
characterised in the dictionaries and encyclopaedias possessing both negative and positive
features.
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15.3.9 Critics' View of Bureaucracy

Critics of bureaucratic behaviour (i.e., negative behaviour) have attributed a number of
characteristic features to the term. One of Robert C. Stone's definition includes-red tape,
rigid rules and procedural emphasis, as fdatures of bureaucratic organisations. Reinhard
Benedix, has mentioned some of the negative characteristics of bureaucracy, such as
(1) failure to allocate clear cut responsibilities; (2) rigid rules and routines; (3) blundering
officials; (4) slow operation and buck-passing; (5) conflicting directives; ( 6 ) empire
building; and (7) concentration of control in the hands of a few. Webster's Dictionary
enlisted several negative characteristics of the term. They are (1) constant striving for'
invested functions and power; (2) lack of initiative and flexibility; (3) indifference to
human needs and public opinion; (4) tendency to refer decisions to the superiors; and
(5) block action through red tape. Though, social scientists in general have n& ustd the
somehow the negative connotations and
negative connotations ofthe. term
-. - frequently,
. meanings have become popular.
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Check Your Progress 1 .

Note : i).Use the space below for your answers.
ii) Check ybur answers: with those given at the end of the unit.
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Explain the origin of the term bureaucracy.
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Meaning of Bureaucracy
Explain the different meanings of the term bureaucracy.
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15.4 TYPES OF BLTREAUCRACY

Bureaucracy is shaped by environmental influences including social. cultural, economic
and political factors. ,At different points of time in hivorp. the bureaucracy has taken
difimnt shapes and forms based upon the socio-political influences. Broadly, the
bureaucracy is categorised into four types by Morstein Marx viz., Guardian Bureaucracy,
.Caste ~uriaucracy,Patronage Bureaucracy, and Merit Bureaucracy. We shall now
discuss each of these types briefly.
15.4.1 Guardian Bureaucracy

Plato's guardians have the capacity to personify in their ,actions, the essence of public
interest. They were considered the custodians of justice and welfare.of the community.
These guardians were'selected on thebilses pf their education. Such' bureaucracy existed in
China before 960 A.D. and in Russia between 640-1740 A.D. Chinese government which
conducted its business based-ppon Confucious'teeachinps of righteousness is supposed to be
a platonic blue print. Duty of officials'is to demonstrcite-exemplary life and they were
selected on the basis,of their scholastic achievements and trained in right conduct
according to classics. These guardians were expected to develop a moral fortitude and
they can exert influence upon the exercise of power subject to righteousness.
The guardian bureaucracy is apt to idealise absolute practices and thus become
traditionalistic and conservative, They are also likely to become aloof from the affairs of
the community and political problems of the day, THey become authoritarian %
unresponsive to public opinion.
15.4.2 Caste Bureaucracy

This bureaucracy is the result of class connections of those-in power. In this.recruitment is
made only from one class. This means persons belonging to higher classes or castes are
only drawn to the civil services. For example, in ancient'india, only Brahmins and
Kshatriyas.could become higher.officials. F.M. Marx notes that the caste bureaucracy
manifests id another form, i.e., linking the qualifications in the higher posts with
al'rangement's that amount to class preferences. In Enkland, for example, aristocratic
classes were preferred to the civil service positions, Appleby commenting on the Indian
Civil Service, observes that the personnel are arranged self-consciously in two firm classes
and two forms and too many special services with barriers between classes and services,
too high ..... There is too much and too constant consciousness of rank, class, title.and
service membership, too little consciousness of membership in the public services. Higher
the i~itellectualresourcys of the bureaucracy, greater the likelihood of class or caste
a s p . Sdcial hes will% drawn between service grbups. It could even bc bbserved that.
mobility of civil servants,'&ll not act as an antidote to caste mentality. Instead, the
climber is expected to cGnform to the mentality of the higher group. The civil services
during the early Ron~anEmpire, Japanese Civil Services under Majie Constitution, French
Civil Sewices in 1950's are a few examples of the caste bureaucracy.
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15.4.3 Patronage Bilreaucracy .
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This type of bureaucracy is also called spoils system. Patronage in this is seen as a means
of political control. Under this system, the proteges of the ministers or the elected
functionaries are nominated to the civil .service. The public jobs are distributed as personal
or political favours to their supporters. In Britain, before 19th century, the system sewed
the aristocracy to gain enhy into the civil services. In United States, which is the
traditiorhl home of patronage bureaucracy, it was considered that no one has any more
right to offici'al status than the others and that was how the patronage was distributed. But
the system of patronage bureaucracy was condemned as an anachronism for its lack of
competence, for its careless discipline, its concealed greediness, its irregular ways, its
partisanship and for its absence of spirit of service.
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15.4.4 Merit Bureaucracy

Merit bureaucracy is 3 responsegtothe maladies of other &,pes of bureaucracjes which we
have discussed ewlier. In this bureaucracy,,dtmeat is tiasedori qualifcatio~and is
govemed by objective,standards. ~ f t ient
r iy, statl.ls and stability are ensured. 1; modern
times. merit bureaucracy puts strong emphasis on political control over the administrative
system which was not the case in, other forms of bureaucracy. This,bureaucracy has ii
distinguished advantage over others due to its sense of ratioliqlity in administrative
behaviour;
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Bur= ~craky, have discussed etirlikt.;has both positive and negatiee connotations. The
cr!tics argue that bureaucracy is an ai!rnent of organisarion. It givesrise to certain
tendencies which may pervert its very performance. For example. hierarchy.discourages
'initiative, 1 t 2ivides organisation into layers and 'leads to red-tapism and inefficiency. It is'
often criticised as having adetrimental+'influenckupon the performance and behaviour of
the civil se,wants,. ~ h u s bureaucracy
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admiaistration and rational structure, also has ~ r t . a i nnegative features. some of
these crit'icisms are that it is unrespp*sive to popu-lardemands and desires, undue
%malism;.self-aggrandisement. ern:pire hiritding,-conservatism,etc. Other maladies
attributed are arrogance; self-satisfaction, obsession with rules and routine, rigidity,
and ignoring the human k~emt-intin administrative
.indiff&eice to,democratic processes
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Niit;': -'' ij.~se;tiiespace belbw-f&
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:Check your answers with thoie giJeh at the end of the uqit.
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What ,anethe maladies of bureaucracy 7
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In'this Unit we have discussed origin of the term bureaucracy and its varied weanings. It is
used to signify a polity, as an organisation, as a saciety, as office holders, as inefficiency,
as rational organisation, as an ideal construct and as an exercise of power by a body of
officials. We have distinguished between four types of bureaucracy viz., guardian,
patronage, caste and merit. We have also seen that bureaucracy suffers from many a
maladies like.unresponsiveness, inflexibility, obsession for precedents and emphasis on
rules'and regulations to the neglect of societal demands.
15.7 KEY WORDS

Elusive : Difficult to catch
Encompass : Surroufid or contain
Genesis : Origin or mode of formation or generation
Maladies :Ailments
Perverse : Deliberately deviating from what is regarded as nonnal
Protege :.A person to whom anotheris protector or patron
Self-aggrandisement: increasing one's power, rank or wealth
15.8 .SOME:USEFUL BOOKS
1 Albrow, in, 1970. Bureaucracy: ~ i c r n i l l iLondon.

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2 Avasthi, A. and Maheshwari, S.R., 1980. Public ~dministration;Laxmi ~ a r a y h
Aggarwal: Agsa.
3 Bhattacharya, Mohit, 1987. Public ~drninistration;World Press: ~alcuiia, .
4 Encyclopaedia of Social Sciences, Vol. 111. '
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International Encyclopaedia of Social Sciences, Vol. 11.

Marx, F.M., 1957, The Administrative State; University of Chicago Press: Chicago.
Weber, Max, 1947, The Theory of social and Economic Organisation; Free Press:
Glencoe.

EXERCISES
1 See Sec. 15.2
2 See Sec. 15.3
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Cheek Your Progress 2
1 See Sub-sec. 15.4.1
2 See Sub-sec. 15.4.3
3 See Sec. 15.5
UNIT 16 MAX WEBER
16.0
16.1
16.2
Objeotives
Introduction
Theory of Domination
16.2.1 Traditional Domination
16.2 2 Charismatic Domination
16.2.3 Legal Domination
16.3
Characteristics of Bureaucracy
16.3,l
16.3.2
16.3.3.
16.3.4
16.3.5
16.3.6
16.3.7
16.3.8
*Divisionof Labour
Hierarchy
Written Documents
Expertise
Career System
Money Salaries
Rules
Impersonality
16.3.9
Efficiency
16.4 Causes of Development of Bureaucracy

16.5 'Consequences of Bureaucracy
16.6 A Critical Evaluation
16.6.1
16.6.2
16.6.3
16.6.4
-16.6.5
An Authoritarian Theory
Dysfunctions of Bureaucracy
Domination of Bureaucracy
The Function of Contml
Bureaucratic Neutrality
16.6.6 Weber's Dilemma
16.7
16.8
1 5.9
5.10
Let Us Sum Up
Key Words
Some Useful Books
Answers to Check Your hogress Exercises
t6.O OBJECTIVES
In the previous Unit we have discussed the meaning of the term bureaucracy as well as its
types. You would have noticed that this term is used to signify different things to different
people. Max ~ e b e islone
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of the first and foremost social scientists who have
systematically analysed the concept of bureaucracy. In this Unit we would discuss his
confflbutions.
After studying this Unit ypu should be able to:

explain Weber's concept and types of domination
* explain the causes, characteristics and consequences ~Fbsmauuracy,and

make a critical evaluation of we&rts contributions.'
.16.1.INTRODUCTION
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Ma& Weber is considered to be one of the foremost social scientists of modern times. He
has made valuable contribution to several disciplines, particularly Sociology, Economics.
History and Political Science. He is specially known for his theories about the rise of
.capitalism in Western Europe, and bureaucracy.
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Max Weber's name, however, became synonymous with bureaucracy. Weber's influence
on the modem thinkers on administration is enormous. Most of ty studies on bureaucracy,
are considered "as either'differcnt +edons of Webrim model or attempts at
contradicting it". Weber's bureaucratic model, theories on legitimacy and domination
formed the basis for a number of further studies. In this Unit, therefore. we will study
Weber's contribution to the theory of bureaucracy.
16.2 THEORY OF DOMINATION

Weber's theory of bureaucracy is a part of his theory of domination. Domination means the
authoritarian power of command. In oher words, he raised the question as to how one
person exercises power over others. His answer was that the exercise of power becomes
acceptable if it is justified or legitimised, in some way. Legitimation in one way leads to
one type of domination; legitimation in another way leads to another type. He thus laid
down three types of domination: (i) traditional domination, (ii) charismatic domination and
(iii) legal domination. Bureaucracy falls in the thir4 category. However, we shall examine
other types of domination before coming to the thir&one: this will help us to make the
tk nature of bureaucrac~trrou@uomp~on
and contrast.
16.2.1 Traditional Domination

Traditional domination is based on the belief that what is customary is right. It is
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exemplified by the rule of kings in olden days. If it'was customary that only persons of a
certain high caste should.bk appointed to high positions, this principle was accepted as
just. In other words, the merit of an individual was given les's importance than the caste to
which he belonged. All employees had to be personally loyal to the king; if an employee
was competent but not loyal to the king, he would be removed. These principles of
administration were based u p a the general belief system in the socikty. Thus in India,
status in the society'as a whole, and not only within the administration, was determined on
the basis of caste. Since caste is based upon the accident of birth, and not upon individual
achievement, ihe competence of a person of high caste can be low. Hence the efficiency of
administration in a traditional society is likely to be low.
16.2.2 Charisnhatic Domination

Charismatic domination is found where people accept somebody as a leader due to a belief
that he has'superhuman or extraordinary qualities. Thus a person who is cons'idered to be a
prophet, mahatma, or guru may come to have a number of disciples or followers. The
leader. then; exercises power over his follbwers: they are willing to carry out his wishes
Since administration in such a systeq also is not based upon any rational principles, but
upon the fancies and caprices of the leader, it is likely to lack efficiency.
16.2.3 Legal Domination

Law is another name for a rational principli. Hence legal domidation is based upon belief
in the desirability of rational principles. The application of redson leads to efficiency.
hence a system of legal domination is the most efficient. Legal domination is'best
exemplified by bureaucracy. '
16.3 CHARACTERISTICS OFBUREAUCRACY

The term bureaucracy refers to the employees of a modem large-scale organisation, such'
as a government, a joint stock company or an armed force. While the objectives of
organisations may be different, their bureaucracies have certain common features. We
shall discuss these features, as mentioned by We,ber, one by one.
16.3.1 Division of Labour

The work of the organisation is divided among the employees in swh s way that r a r h '
employee has only a certain part of the work to perform. In this way he reptihtedl\ ,
performs a certain job and becories efficient at it. Since every employee ~ i m i l a r l ~
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, becomes efficient at his particular job, the productivity and efficiency oft the organisation
as a whole are high.
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In an office we find that when a case has to be dealt with. a certain employee has theduty
to find out precedents (earlier cases of the same kind). another has the duty ta examine the
rules, a third one has to take$ decisipn. and so on. Thus each case is dealt with by several
persons instead of being dealt with by one person only. Such fragmentation. or division, of
work makes for efficiency.
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16.3.2 Hierarchy
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In every bureaucracy there is a chain of command. or hierarchy, so that officials at lower

levels are supervised by those at higher levels. Officials at a higher level have a broader
mental horizon; they can take into account the problems at various,levels. Since orders of
superiors have to be followed by subordinates, difficulties are avoided. In other words,
hierarchy makes for vertical coordinition. Such coordination makes for efficiency.
16.3.3 Written Documents
'The.management of the modem office is based upon written documents, or Files, The
executive office is separated from the private affairs of the ruler. the entrepreneur and the
e!mployees. Since nothing concerning the office is private, every transaction. decision and
order is recorded. Files, punch cards or computer tapes, then, constitute the 'memory' ,of
the organisation, and help in efficient decision-making in the future.
16.3.4 Expertise
Employees are selected on the basis of technical qualifications. Recruitment is made
through a competitive examiilation, or (as in the case of doctors or engineers) is bnsed
upon examinations already passed. Officials are appointed, not elected, since election does
not test technical qualifications.
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16.3.5 Chreer System

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Employment of a member o'f a bureaucracy constitutes a career. The employee expects to

be promoted from. lower position to higher position.within the hierarchy of the
organisation. Promotion is based upon both merit and seniority. Promotion by seniority
ensures that the employee comes to consider the organisation as his own: this makes for
both; security for the employee and efficiency of the organisation. Promotion by merit also
ensures efficiency as employees with talents are promoted to higher levels.
16.3.6 Money Salaries

,
Employees are remunerated by fixed salaries in money. This is different from the payment
niade in kind in older1 days. In addition to the salary, there is ggnerdya prokisionifor.a'.
pension or a''grovidentJfundto take care of the employee when he grows old and retires
from service.
16.3.7 Rules
Management follows a set of rules, which are made known to all employees, and partly
also to clients. ~ u i e prevent
s
arbitrariness, since they are equally applicable to everyone.
They also make for efficiency, since they help to avoid mistakes.
>
16.3.8 Impersbnality
Officials are expected to carry out their duties without allowing themselves to be
by their personal likes and dislikes. Thus an employee may like one client and
dislike another; however, he must still treat them similarly, insofar as he acts on behalf of
the organisation.
' influenced
16.3.9 Efficiency
The bureabcratic organisation is the most efficient form of organisation, Just as a machine
is more productive than any other mode of production, so a bureaucracy is more efficient.
Both, the machine and the bureaucracy, have the advantage of technical supekiority. Their
efficiency derives from rationality. All the characteristics of bureaucracy mentioned above
,lead to rationality and hence efficiency.
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a.
Cheek Your Progress II

1 What is the difference between traditiclnril and charismatic domination?
Bureaucracy
What is legal domination?
Discuss the ch'aracterktics of
bureaucrat>+
Bureaucracy is a hodern phenomenon. It has been caused by seGernl factors which are
given below:
Money Economy
* Increase in Organisational Size

?' Nature of Administrative Tasks
'
Requirement of Efficiency
~ a r k e tcon om^
I
Rule of Law
@.
Goncenfation
of the hieans of Administration
Levelling of Social Differences
.
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* ' ~ e k a n e n t ' ~ h a r a & ofe r the Bureaucratic Machine

'
Noy we shall discuss these factors one by one.

I
Money Economy
Weber maintains that a developed money economy is necessary before a bureaucratic
administration can come into belng. A bureaucratic administration requires a stable system
of taxation; the latter in turn requires a money economy. No proper bureaucratic
'administration could develop in olden days due to the prqvalence of barter system and the
absence of a money economy.
I
8
Increase in Organimtional Size

The large size of the modem nation state, the joint stock company and the industrialised
factory gave rise to bureaucratic administration. A large size necessarily requires division
of labour. Technical efficiency requires expertise. Coordination requires hierarchy and
rules. Hence bureaucratic administration tends to grow up in every large-scale
organisation.
.-.
Nature of Administrative Tasks

The increasing complexity of civilisation and the consequent demands upon administration
also led to bureaucratisation. Thus the growing wealth of the influential strata and the
desire for the possession and consumption of goods and services of various kinds led to
the performance of new functions requ.iring new expertise and widespread networks. The
increased emphasis on law and order and the demand for functions of social welfare give
rise to new agencies and development of old ones. Modern means of transport and
communication, such as highways, railways, telegraph and telephone, facilitate the
functionhg of bureaucracies and help bureaucratisation.
Requirement of Efficiency
Capitalist market economy is based upon competition; and competition compels increasing
efficiency among all competitors.
Since efficiency requires bureaucratisation, modem capitalist enterprises are unequalled

models of strict bureaucratic ~rganisation.
,
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Market Economy
A mar~retfunctions without regard for persons. Hence a market economy necessarily leads
to impersonality, which in turn helps bureaucratisation.
Rule of Law
The emergence of thc conception of the rule of law in modern times has also led to
bureaucratisalion. The rule of' law means equality before the law, or lack of arbitrariness,
which is ensured by bureaucratisation to some extent.
However, it is notable that the bureaucracy is the'instrument of dictatorshipas well as
democracies. Also, "propertyless masses especially are not served by a formal 'equality
before the law'."
Concentration c;f the Means of Administration

The rise of the bureaucratic structure has been associated w ~ t hthe concentration of the
means of management in the hands of the master. Thus the bureaucratisation of the army
took place after the transfer of army service from the propertied to the propertyless.
Earlier, the soldier was himself the owner of his weapons, horses and dress. It was only
after the chief of the company became the owner of the material means of warfare that the
army took a bureaucratic form. The same applies to civil administration. Before the rise of
the nation state, feudal vassals and tax farmers owned the means of admivistration. In the
nation state these means came to be owned by the central authority resulting in
bureaucratisation. .
I
Levelling of Social Differences

Bureaucracy has mamly resulted from modem mass democracy, which has involved the
levelling of economic and social differences. Mass democracy makes a clean sweep of
feudal privileges in administration, and replaces these with equality before the law.
Permanent Character of the Bureaucratic Machine
Wgber points out that once it is fully established, bureaucracy is among those social
structures which are the hardest to destroy. It is a powerful instrument of the fir%order, and
Max WeNr
hence is used to fulfil societal objectives and the objectives of thye who happen to capture
power.
Bureaucracy
I
16.5 CONSEQUENCES OF BUREAUCRACY

?
Weber maintains that the permanent character of the bureaucratic machine makes
revolution technically more and more difficult. While the political master may be changed
in a coup d'etat, the bureaucracy continues to rule. In developed countries, party
organisations have also become bureaucratised.
Burbaucratisation has "very frequently benefited the interests of capitalism". Often
bureaucratisation has been carried out in direct'alliance with capitalist interests. .However,
bureaucratisation may also help the interests of shopkeepers and small farmers.
Bureaucratisation may also support a state socialist policy that strangles opportunities for
private profit.
A bureaucracy is like a precision instrument that can be used by anyone who comes to
control it.
t
Bureaucratisation inteiferes with democracy: while the former is ruled by appainted

officials, the latter is ruled by elected representatives of the people.
A bureaucracy comes to have power of its own. The political master is an amateur, while
officials are experts. Apart from expertise, the basis of bureaucratic power is secret
information. The bureaucracy even prevents the parliament from obtaining information
which is in its possession.
While on the one hand, concentration of power and wealth leads to bureaucratisation, on
Thus once the
the other hand, bureaucratisation itself em hasises;~entralisation.
bun@ucratic state comes ihta Peipg it be&tofinqce
and ~ o n t r obodies
l
of
local self-government. The central authority exercises control over local w i e s through
the central bureaucracy.
More and more experts are needed in bureaqcratic administration. They also enjoy a
distinct social esteem as compared with the governed. Hence more and more people want .
to get the qualifications necessary for entry into the bhreaucracy. The demand for degrees
leads to proliferation of examinations. The demand for degrees indicates, not a quest for
knowledge, but n hunger for bureaucratic jobs. However, since higher education is costly,
the rich are more likely to get hjgh level jobs than the talented ones. '
I
t
In the past, the end sought by education was the 'generalist' rather $an the 'specialist'.
Since' bureaucratisation leads to an increasing demand for specialists, expert and
specialisad knowledge tends t~ gain in importance.
'
According to ~ e b emore
r
and more bureaucratisation is likely in the future. This wodld be
sp both ih a market economy'and a centrally planned economy. The increasing divisiop of
labour and the use ofispecialskills would
lead to "dictatorship of the bureaucrats\?.~ahet
p
then *,dictatorship of the proletariat .
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Weber exp~ssgsthe fear that increasing bureaucratisation is likely to interfere with the
autonomy of the individual. More and mare people'are likely tb take up jobs in large-scale
.
organisations and thus get reduced to an abkomrita.
\
16.6 A CRITICAL EVALUATION

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'18
'r
Weber's theory of bureaucracy may,be said to be classical..It has ,come to be widely

accepted. In particular it has come to be adopted by bureaucrats in justification of their
hhaviour. However, it bas been subjected to much criticism also. We deal with sope of
the cribcisms'below:
16.6.1 An Authoritarian Theory
Weber flils to t i e into account the soeial systeA, or informal organikikion. which
qeamsotivdtion to producs?and CQOpeWteWith the mnagemqnt f o d i l l i n g the objectives

thp onganisation. @is criticism hhs been levelled mainly by the 'Huahan Relations'
school. Weber maintains that afficiedcy results from rationality deriving from features
such as hierarchy, division of labour, rules and impersonality. He fails to refer to the
creative urge andfellow feeling of human beings, which are also important factors in any
group enterprise. Weber's overemphasis on the formal aspect gives an authoritarian'tinge
to his theory. Now-a-days, much importance is attached to the self-actualisation of workers
and to their participation in decision-making. Both morale and productivity are likely to
rise with these new emphasis. Weber has ignored these factors.
16.6.2 Dysfunctions of Bureaucracy

Weber maintains that % bureaucratic organisation is more efficient than those of other
types. However, he fails to notice that it also suffers from certain hjtndicaps. Marx had
pointed out earlier that every exploitative relationship leads to alienation of both, the
exploited and the exploiter, resulting in the loss of their freedom, creativity, humanity and
morality. After Weber had enunciated his theory; he was criticised by Merton, Gouldner
and Selznick for overlooking what are called the dysfunctions of bureaucracy. In other
words, the very element3 which lead to efficiency in general produce inefficiqncy in
specific instances. Thuf,&cording to Merton he rigorous discipline of bureaucracy
"induces fear, conservkism, and technicism in the bureaucratic personality. According
to Gouldner, work rules increase knowledge about minimum acceptable behaviour, thus
.rkducing performance to the mifiimum level, According to Selznick, the demand for
control by the top hierarchy leads to increased delegation of authority to sub-units,
resulting in more emphasis on sub-unit goals than on the total organisational programme.
8
16.6.3 Domination of Bureaucracy

.
According to Weber, the efficiency~&f-lhveadcracy ie,$erived,mainly fro* the
: specialised knowledge of officials. Hence h&expect$d th9 the expert &odd supersede the
i
generalist at high.levels. However, hi~-~rediction

has not been fulfilled: the generalist
official continues to' dominate over specialists in almost all large-scale organisations.
16.6.4 The Function of Control
For Weber, all the employees of an organisation, including both managers and productive
wdrkers, constitute its bureaucracy. He talked of the division of labour and yet failed to
notice its most important aspect, namely the distinction between productive work and the
exercise of control over it. When we note that the function of administration consists
mainly in the exercise of control over specialists and productive workers, we also come to
understand the reason for the pre-eminent position of generalists in the organisation. In
short, then, Weber failed to distinguish bureaucrats proper from other employees.
16.6.5 Bureaucratic Neutrality?
'
Weber's theory suggests that the bureaucracy is a neutral instrument which can be used by
anyone who comes to gain control over it. However, experience has shown that the
bureaucracy tends to function in the interests of the ruling classes. Weber notes that the
bureaucracy comes to. have a lot of power of its own, and that recruitment to
bureaucracy is often made from among the rich, since it is only the rich who can afford the
necessary higher education. All this leads to the inference that the upper levels of the
bureaucracy belong to the upper classes and tend to function in their interest: the
bureaucracy cannot be said to be neutral.
On the one hand;JVeber maintains that the bureaucracy is an efficient instrument of

development, on the other hand he fears that increasing bureaucratisation will interfere
with individual autonomy,,He is unable to resolve the dilemma; nor is he able -,.
to ~ f f ear
.._
solution to thi'problems like1p to be caused by bu~aucratisatirm.--.
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--L..w
,3.
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CheCk X ~ u Progress2
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2,
i) Us13the .spade below for your answers.
4i) Check your answers with thosc given at the end of the unit.
' Note:
.I,
Bureaucracy
What are the causes for the growth of bureaucracy?
..........................................................................,........................................................... Ij
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How does growth of bureaucraq,,effectdemocracy $
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What are the dysfunctions of bureaucracy?
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In this Unit we have discussed Max Weber's conceptualisation of,bureaucracy. He

distinguishes between three types of ,domination. mey are traditional,.charismatic and
'
legal. Weber idenlifies bureaucracy with the third type of domination i.e., legal. We have
also discussed the characteristics of bureaucracy as explained by Weber. Finally we have
made a critical evaluation of Weber's contribution.
16.8 KEY WORDS

Arbitrary : Despotic or dictatorial
Automata : Machine
,
Caprice : Whirnsical or unaccountable change of mind or conduct
Entrepreneur : The owner or manager of a business enterprise who by risk and initiative,
attempts to make profits.
Feudalism : The legal and social system that evolved in Western Europe in the 8th and 9th
centuries in which vassals were protected and maintained by their lords, usually through
granting of property, and were required to serve under them in war.
Marketmoney Economy : Economy where exchange of goods and services takes place with
the use of money.
precedent : An example or instance used to justify later similar occurrences

1 Albrow, Martin, 1970, &realrc.racy; Macmillan: London.
2 Merton, Robert K., et al., (eds), 1952, Readings in Bureaucracy; Free Press: Glencoe.
3 Prasad, Ravindra D., et al., 1989, Administrative Thinkers; Sterling Publishers: New
Delhi.
4 Weber, Max, 1969, The Tl~eoryof Sociul and Econonzic Organisution, ed. Talcott Parsons;
Free Press: New York.

EXERCISES
1 See Sub-sections 16.2.1 and 16.2.2.
2 See Sub-section 16.2.3.
3 See Section 16.3.
a

1 See Section 16.4.
2 See Section 16.5.
UNIT 17 KARL MAR%

Structure
17.0
I .I
17.2
17.3
17.4
17.5
Objectives
Introduction
Rise of Bureaucracy
Role of Bureaucracy
Bureaucratic Power and Military Dictatorship
Characteristics of Bureaucracy
17.5.1
Division of Labour
Hierarchy
17.5.3 Training
17.5.4 Rules
'17.5.2
17.5.5
17;6
17.7
17.8
17.9
17.10
17.1 1
17.12
Alienation
Sharpening of Conflict between Capitalists and Workers

Administration ii Marx's Socialist Society
Critical Appraisal .
Let Us Sum Up
Key Words
Some Useful Books
I
17.0 ?BJECTIVES.
I
1
After going through this Unit you should be able to:
I--
uqderstand the significance of Marx's views on bureaucracy

2
explain the characteristics of bureaucracy identified by Karl Marx, and
* discuss the criticism of Marx's views on bureaucracy.

17.1 .INTRODUCTION
J
Karl Marx was a great social revolutionary as wtll as a social scientist. His influence
continues to be felt not only in s ~ i asciences,
l
philosophy and literature, but also through
revolutions in countries like Russia, China and Vietnam. His thought is being interpreted
and re-interpreted in different ways by several schools, such as the Frankfurt schooj, the
existentialists, the structuralists, Russian communists. Chinese communists, Trotskyists.
and so on. The combination of revolutionary thought and action.in Marx's work is of
special significance for underdeveloped countries where revolutionary movements are
growing.
,.
I
Marx was born in Germany in 181.8. He did his PhD. inAncient Greek philosophy. His
revolutionafy views prevented his appointment as a university Jeacher, and led to his exile
from country after country. He wrote voluminously but always remained poor, which
resulted in much suffering for his family. He participated in the revolutionary movement
in.France which led to the short-lived Paris Commune in 1870. He died in 1883,,leaving
most of his'works unfinished.
Marx's ideas on administratibn are spread over his numerous works. He has dealt with the
rise of bureaucracy, its role in developed and developing countries, its dysfunctions, its
destruction in the course of the socialist revolution, and its supersession in the new
non-exploitative society. In this Unit, we shall describe Marx's views on ~ u r e a u c r a cand
~
,
examine the criticism on his views.
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17.2 RISE OF BUREAUCRACY
harx points out that, bureaucracy,arose with capitalism a@ the nation state in vestern
Europe around the sixteenth century. The concentration of wealth and power in the hands
of merchant capitalists and absolute monarchs led to the need of an instrument for the
management of wealth and the etercise of power. This instrument was the bureaucracy.
With its help capitalists competed against other capitalists and monarch curbed feudal
lords.
In medieval soc'iety trade was 10cal,~thatis. within .the village or between nearby villages.
The invention of steamships made it possible to trade with distant places. The merchant
adventurers, who had to go to thele distant places, werkj however, insecure. Their security
could be ensured only through a state which exercised sway over a large area. This need of
far-flung trade gave rise to the nation state. It is notable that in earlier times there were
either city states or empires. Nation states arose for the first time around thesixteenth
century. However the king could not administer such a large area except through a large
number of officials. controlled from the centre. These officials constitute the bureaucracy.
Hence the bureaycracy is associated with capitalism and the nation state. This also
suggests that if'capitalism and the nation state could be superseded, bureaucracy would
also become obsolete.
17.3 ROLE OF BUREAUCRACY

Feudalism continued in part for about two centuries even after the coming into being of the
nation state. In Prance, the Revolution of 1789 did away with some of the relics of
feudalism; however, it was only the Revolution of 1830 that led to the transfer of
power from the landlords to the capitalists. Similar changes tobk place in other countries.'
,
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h e didsolution of feudalism and the ripe of capitalism m w t thd more arid more people
were now taking up jobs in factories owned by capitalists. Since handicrafts could not
compete with industry, artisans like weavers, shoemakers, blacksmiths, carpenters, and so
on, were thrown out of employment, and had to seek jobs in industry. The introduction of
newer and newer technology has always maintained some unemplqyment. Due to
'unemployment and poverty, workers in a capitalist society can be forced to pkrform
back-breaking labour, for long hours, at low wages. Marx has described in detail how even
childwn were exploited in the factories of England in the nineteenth century. While
working conditions in Western countrie!~improved due to the wealth Shey obtained from
the colonies, and also due to unionisation of labour, capitalist exploitation can now be seen
in underdeveloped countries like India.
According to Marx, all value is produced, by human labour. b o w e ~ w o r k e r receive

s
only
a poition of the value produced by them in the form af wages. The other portion, which is
retained by the capiklist, constitutes their exploitation. Hence exp16ita$on, which can be
measured in this way, is always present in capitalist relations of production,
The huge profits of capitalists are derived from the exploitation of a la& number of
workers. A capitalist cannot manage so many workers all alone. He has to employ
m.anagers for this purpose. 'These managers, and officials associated with them, constitute
the bureaucracy. Hence, according to Marx, bureaucracy consists of officials who
coatrol the workers on behalf of the owners or rulers. Its function is to get work out of the
workeys'under the exploitative conditions of capitalism.
The governmental bureaucracy has a,similar function in regard to workers empatsed by the
government. here are large number* of workers in government owned railways,
roadways, power stations, arid other undertakings. Large number of workers are employed
by the government in non-industrial occupations also, such as postmen, nurses, teachers,
.
'mechanics, and so on. Somc of the workers have a higher status than others; thus
engineers, doctors, architects and scientists are also involved in productive activity, and
4
hence are workers with a high status. All these workers have to be kept under check. For .
.
this Purpose, control is exercised ov& them by the bureaucracy. Bureaucracy corkists
of administi-atorsand managers whoado not perform the productive activity themselves, but
t.
only control workers. Thus members of the Indihn Administrative Service and also those
of State Administrative Services advise ministers and in consultation with them, direct,
supervise and control the workers involved in productive activity. In recent days in India,
doctors, engineers, teachers, nurses and other workers demonstrated for better working
Conditions and even went on strikes. Some of them were punished: the punishments were
administered by administrative officers, such as a Director or a Secretary to the concerned
government. On behalf of the government,if necessary, negotiations with the workers were
also conducted, b i administrative officers. These administrative officers, then, constitute
the bureaucracy: their function is to control the workers on behalf of the government.
Bureaucracy
Another function of the governmental bureaucracy is to help in maintaining capitalist

relations of productiop in the wider society. Thus,if workers in a private firm go on a
strike, the capitalist can get the help of the polkg for keeping them under check. The
government provides protection and assistance to private industry and trade in many ways.,
Thus it protects domestic industrialists from competition by foreign industrialists through
the imposition of import duties. It manages the economy through fiscal and monetary
policies so as to maintain effective demandfor goods produced by industry. It provides
means of transport and communication, electric power at cheap rates, and key goods for .
industry and agriculture. All these services to the private sector are channelised through
governmental bureaucracy. Ths governmenhl bureaucracy implements labour laws so as
to keep the wheels of industry moving and maintain the profits of the capitalists. Thus the .
governmental bureaucracy performs the important .function of maintaining and developing
I
capitalism. .
"
According to Marx, the path to socialism lies, mostly, through capitalism. Hence, while on
the one hand the development of capitalism accentuates exploitation, on the other hand it
prepares the way.to socialism.
I
117.4 BUREAUCRATIC POWER AND MILITARY
DICTATORSHIP
In the course of functioning as the instrument af-maintenrilSQeaRd d l e v e h p t ~ f

caiitalisrn, !he bureaucracy acquires power of its own The basis of its powkrls detailed
infomaticin, particularly secret information. That is why it jealously guards secret
information, not only from the people in general, but also from legislators and even from
ministers. Ministers are busy with political affqirs and have to depend upon the
bureaucracy 'for information and adviw. Thus,the bureaucracy comes to save an important
role in policy formulation also. If unions and Dosociatioris of the people, and political
parties areaweak,they are unable to communicate the needs and grievances of the people
to the govkrnment. In this situation of political underdevelopment, the bureaucracy
becomes the main channel of communication between the government and the people.
Since the bureaucracy is better informed about the problems which the people face, than
even the so-called representatives .of the people, dependence upon it increases, thus giving
it .more an'd more power, Hence,in normal times also,fhe bureaucracy is quite powerful due
to the possession of secret inforktion; its power is'greater in underdeveloped countries
due to the weakness of unions of the people and of political parties. ~ d d e dto these is the
factor of the power hunger of the bureaucracy. Marx says that, "The bureaucracy Ltakes
itself to be the ultimate purpose of the state.... it comes i ~ t conflict
o
everywhere with 'real'
objectives,"'~n other words, it attaches more imprtance to serving its own interests than
those drpeople and so becohq
body ,
. 'a ~~arasitic
I
,
,
There are ckrtain special siiuations in which the%ureaucracy itself comes to rule. This is
thd situation of a military dictatorship. i'he military is also a bureaucracy. Now-adays
there are military dictatorships in many underdeveloped countri~es,such asHig&a
and Brazil. ' ~ a r xprovides an explanation.for ~ u c hrule by the military rtnd-cim
bureaucracy, He suggests that when two powefful classes with conflicting interests k o t i t s
bqually balanced in power, they let the bureaucracy rule to avoid continuous warfare
.
,. . between themselves.
,
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*
Karl Marx
i e below for your answers.

~ o t e : ' i) ~ s e ~ t tspace
ii) Chwk your answers d t h t k ~ given
q _at the Cnd 6f the- unit.
1 -'Mentify the causes for the rLe of bseaucracy as- identified by Karl Marx.
...
.........................................
..
......................................................................................................................................
2
Explain the role af bureaucracy..
1 .. $ 3 What is the bastis of bureaucratic power?
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17.5 CHARACTERISTICS OF BUREAUCRACY

We shall briefly discuss some of the features that characterise the bureaucracy as described
by Karl Marx.
17.5.1 Division of Labour ' I.

Marx agrees that the division of labour makes the organisation of capitalist society highly
productive. However, he points our that the basic division of labour, which we tend to
overlook, is betw&n "intellectual and m&erial activity". While the workers perform the
, ' pyoductive activity, the capitalists and bureaucrats perform only intellectual activity.
Hence all the hard work falls on the workers in the name of the division of labour. Further,
the gains of higher productivity go mostly to the capitalists, who share these to some extent
With the bureaucracy, as indicated by-e bureaucracy's high salaries. So far the workers
are concerned, highh productivity tends ta!lead to higher unemployment among them, as it
-.-
"
.I \
Bureaucracy
happens when high technology is introduced. Increased unemployment tends to lower

wages also. Hence. increased pruductivity,due to heightened division of labour may lead to
I
little gain for the workers.
17.5.2 Hierarchy
Marx notes that hierarchy is one of the characteristics of bureau.cracy. He says that while
Hegel maintains that hierarchy prevents "arbitrary domination" by bureaucrats, the fact is
the very opposite. In his view, it leads to "inevitable" sins. Thus if an official does some
wrong to citizens, the tendency of his superiors is to protect him. However, if an official
stands up against a wrong being committed by his superiors, he gets punished.
Marx makes another interesting criticism of-hierarchy. He says, "The top entrusts the
understanding of detail to the lower levels, while. the lower levels credit the top with
understanding of the general, and so all are mutually deceived". Thus!the complaint of top
administrators often is that a good policy has been badly implemented; on the other hand,
officials at lower levels often complain about thefaultiness of the policy itself. This is
what has happened in regard to land reforms in India: the policy makers and those
responsible for implementation have been bla.ming each other for their failure.
17.5.3 Training
Marx notes that it is said, for example by Hegel. that liberal education humanises civil
'servants. He, however, maintains that the mechanical character of his work and the
compulsions of office lead to the.d&umanisation 07' the civil servant.
Marx is also critical of the recruitment of members of the bureaucracy through competitive ,
examinations. He says that members of a bureaucracy need statesmanship which cannot be
tested through an examination: "One does not hear that the Greek or R q ~ a nstatesmen
passed examinations".
Marx's class analysis would indicate that the main function of examinations is to ensure
that only persons of the upper class who can afford the costly higher education are able to
enter the bureaucracy. Apart from being costly, higher education inculcate's values and
attitudes which are supportive of capinlism. Higher education tends to create social
distance between the rich and the poor: highly educated pe~plegenerally think that they
are a class apart from the uneducated poor. Hence if a highly educated person is appointed
as a manager, the exploitation of workers does not hurt him. '
*
17.5.4 Rules
'Marx points out that bureaucratic minds are so bound in subordination and passive
obedience that they come to think that adherence to rules is an end in itself, and not merely
a means to an end. They come ,to attach more importance to rules than to human beings:
'
"Actual knowledge,seems devoid of-content, just as actual life seems dead".
The concept of alienation is one of Marx's important contributions to social science, and
particularly to administrative theory. It refers to the consequences of exploitation for man.
Since exploitation is inherent in the.administration of large-scale organisations in capitalist
society, they suffer from Mienation in an acute form. Alienationlhas four main aspects: i-7
I,' I
loss of freedom, loss of creativity, loss of humanity, and loss of morality'.
Loss of Freedom
<
According to Marx, wherever there is exploitation, the exploivr Bs well as the exploited) .
suffer from alienation. Hence all the members of the organisation suffer from alienation.
"l'hus workers are under compulsion to take up jobs: they can no longer function as
independent artisans. Once they have accepted the jobs, they are und'er the authoritarian
command of the management. They are cderced, controlled and Jhreatened with
punishment. The managers also suffer from alienation because they are themselves
employees. The capitalist also loses his freedom. Marx points out that the capitalist is not
free to eat, drink, buy books, or to go to the theatre of dance hall, or even to think, love,
theorise, sing, pain1 etc., as he wishes. He is constrained by the nature of his business. To
increase his capital he must save; he cannot spend as he likes. .
'
Karl Marx
b s s of Creativity
The characteristics of bureaucracy interfere with the creativity of workers. Such
interference is sometimes called a dysfunction. Thus division of labour interferes with
creativity. Because of division of labour,no worker produces the whole product. Hence the
worker has lost the creative satisfaction of an artisan or an artist. Hierarchy has the result
that do worker can say that he independently produced anything. The worker himself
becomes a mere tool. Rules ensure that workers are all the time under detailed control. The
administrator also loses his creativity. Thus the administrator in public administration is
anonymous. Even policy making has to be done jointly; even if an administrator is
responsible for drawing up a certain policy, he cannot take credit for it. The capitalist loses
his creativity because of the big risks involved in a large-scale organisation.
Loss of Humanity
In modem large-scale organisations,workers tend to function like machines, thereby losjng
their humanity. Due to division of labour most workers have no part in deciding the
objectives, or how these are to be fulfilled. The office is also structured like a big machine.
The workers, whether they are in a factory or an office, function like automata. They have
to repeatedly, and monotonously, perform a job without taking into account its
significance, or lack of it, for human beings. The managers are in a similar situation too;
for, they are also part of a machine-like structure. The kapitalist, or political ruler, algo
finds himself manipulated by impersonal market or political forces, and responds to these
without fully taking into account human values.
Loss of Morality
~ccordingto Marx, the loss of freedom, creativity arid humanity necessarily leads to loss
of morality. Thus,it is immoral to take away the freedom of workers and convert them into
near animals. Loss of creativity also leads to immorality: if engineers or doctors are more
interested in making.money than in building safe bridges or in curing patients, they
become immoral. Loss of humanity, in the sense of being insensitive to the suffering of
others, is certainly immoral.
Capitalism is based upon competition between nation states, business firms, political
parties, and so on. Since competition endangers survival, resort to all means, including
immoral ones, is often made for ensuring srlrvival in capitalist society. Hence, according to
Mar~immoralityis inherent in capitalism.
17;6 SHARPENING OF CONFLICT BETWEEN
CAPITALISTS AND WORKERS
'
According to Marx the "class struggle" has been going on between the exploiting and
exploited classes th'roughout human history. In capitalist society also,the interests of the
capitalist class and the working class conflict with each other, and so their struggle goes
on. Marx maintains that while on the one hand, bureaucratisation helps the development of
capitalism, on the other hand it also prepares for the latter's overthrow. The formation of
large-scale organisations brings workers together. "Their concentra~ionin industrial.
locations helps them to organise. The development of the means of transport and
,
communication helps them to expand their organisation. Their unions thus become
countrywide and powerful. After struggling through demanstrations and strikes, their
struggle begins to bring fruit such as higher wages and the shortening of the working day,..
Finally, the organised strength of the workers is able to overthrow the exploitative
capitalist system through a revolution. With capitalism goes bureaucracy also, for the main
function of bureaucracy, namely controlling workers, no longer needs to t)e performed.
Capitalism, which really was the dictatorship of the capitalist class, is now replaced by the
dictatorship of the proletariat. The dictatorship of the prolekiat is a short-lived period for
the ushering in of the new socia,list society. The new society is classless, and so has no
need for the state, since the function of the state is the maintenance of the domination of
one class over another. Hence the state &tidually withers away.
Bureaucracy
17.7 ADMINISTRATION IN MARX9SSOCIALIST

a
,SOCIETY
Marx did not ny to describe in detail the nature of the future socialist society, since that
would be utopian: It will be what we make it to be. Instead of speculating, Marx examined
the nature of the Paris Commune which had been. set up after a revolution. The
administration of the Paris Commune can give US some idea of the possible nature of the
adniinistration in the socialist society of the future, as follows:
* There would be "self-government of the producers"; in other words the new society
would be wholly democratic.
The standing army would be disbanded; the people themselves would take to arms
when need arose.
There would be communes at rural, district and national levels.
3
The central government would have only a few important functions: there would be
decentralisation.
The system of election would be indirect and based upon universal suffrage; all the
elected members would be subject to recall at any time.
@
The commune would be both, an executive and legislative body.

The police would be stripped of its ~oliticalattributes and turned into respo'nsible and
revocable agents of the commune..
he public drvice would be done at workmen's
wages.
Education would be free and accessible to all.

Judges would be elected, responsible and revocable, so as to be free from control by the
government.
17.8 CRITICAL APPRAISAL

Marx has been criticised by various writers on a number of grounds. We shall Consider
some of the criticisms.
It has been said that Marx's hope of ending class domination is unrealistic since
domination has always been there. In response to this criticism, however, it can be said
that what has not happened in the past can happen in future. Human beings are free to
make their own future, despite constraints.
Another criticism is that Marx's hope that large-scale organisations like the nation state
can be done away with is unjustified. And if large-scale organisations are there,
bureaucracy will also be there. However, it is notable that the nation state arose only with
capitalism. Capitalism makes for largeness of organisations because of competition. In a
society where competition is no longer so important, largeness may be avoided. New
technology also seems lo be leading in the same direction. Thus the use of solar, water and
wing power is likely to reduce the need for large power grids. Electronics also makes for
smaller machines. Smaller machines make for smaller organisations.
It is sometimes said that equality can never be achieved in practice, since human beings
are born unequal. However, the fact is that every human being has some creative potential.
The reason why only some people seem to be capable of big achievement is that many
people get no opportunity for the development of their potential.
It is held that competition and inequality of rewards are necessary for providing
modvatiotl.' The fact,.howeyer, is that the greatest achievers like great artists and scientists
of the past never competed, except with themselves. 1'n a normal person motivation is
mostly due to the creative urge; competition makes for unnecessary tension leading20
diseases.
28
'
I
Aggression, it is sometimes Held, Is natural to human beings; hence wars and standing
armies cannot be abolished. However, the view that aggression is natural to human beings
is considered to be obsolete. Now it is considered to be associated with abnormality, if it is

in an acute form.
Marx is sometimes criticised for supporting dictatorship. We have noted above, however,
that Marx stood for self-goveminent of the workers. The short-lived dictatorship of the
proletariat is needed only to deal with the prevailing dictatorship of the capitalist class. .
-
Check your Progress 2

ii) Check your answers with the answer given at the end of the unit.
1 What, according to Marx, are the characteristics of bureaucracy?
Describe the facets of alienation of bureaucracy as identified by Karl Marx.
Explain the features of administration of Paris Commune.
......................................................................................................................................
.......................................................................................................................................
4
What are the major criticisms on Marx's anaiysis of bureaucracy?
......................................................................................................................................
.............................................................................................................
......a<.
......................................................................................................................................
1
Kay1 Marx
.--..
Bureauciacy
17.9 LET US SUM UP

In this Unit we have discussed about the views of Karl Marx on bureaucracy. He"provides
a serious criticism of Marx Weber's ideal type of bureaucracy. His'explai~ationof
bureaucracy and its characteristics provides an alternative perspective on the nature of
bureaucracy.
-
17.10 KEY WORDS

City-State : A State consisting of a sovereign city and its dependencies.
Commune : An association whose members own everything in common, including the
product of their labour.
Trotskyism : The Theory of Communism of Leon Trotsky (1879-1940), Russian
revdlutionary and writer, in which he called for immediate worldwide revolution by the
proletariat.
Utopia : Any real or imaginary society, place, state etc., considered to be perfect or ideal.

-
- -
1 Albrow; Martin, 1970. Bureauo.acy; Macmillan: London.

2 Bbattacharya, Mohit, 1987. Puhlic Administratiorr; The World Press: Calcutta.
3 Prasad Ravindra, D., et al., (eds), 1989. Administrative Thinkers; Sterling Publishers:
New Delhi.
4 ~eshadii,K., 1982, Marxist Interpretation; Administrative Change, Vol. 9, No. 2
Jan-June, pp. 175-203.

EXERCISES
..
1 See Sec. 17.2.
2 See Sec. 17.3.
3 See Sec. 17.4.
Check Your Progress 2 .

1 See Sec. 17.5.
2 See Sub-sec. 17.5.5.

3 See Sec. 17.7.
1
I
UNIT 18 'REPRESENTATIVE
BUREAUCRACY
Structure
18.0
18.1
18.2
'18.3
18.4
18.5
18.6
18.7
18.8
18.9
18.10
18.1 1 '
Objectives
Introduction
i
Meaning of Representative Bureaucracy
W y Representative Bureauc~acy?
~it"ationin U.K. and U.S.A.
Situation in India
Limits to Representativeness
Conclusion
Let Us Sum Up
Key Words
Some Useful Books
18.0 'OBJECTIVES
'
After studying this uliit, you should be able to:

explain the concept of Representative Bureaucracy
'
je
explain. the grounds advanced in favour of Representative Bureaucracy; and

gra.$'the'prrctical
bureaucracy.,
di~c'ultiesin the way of the realisation of representative

I
18.t INTRODUCTION
.
s
~ u r e a u c r a cis~an instrument and a means of Public Ac!tninistration. But -because of its

duqble, stablenature and expertise, it becomes a repository af autHority ahd power in the .
state,.The political executive cannot do without the help of .bureaucracy. Thexitizens have
more contacts with it than with the members of the politicil executive,
I
Political democracy entails the attributes of responsiveness, responsibility and
representativeness for the bureaucracy. The first two attributes have been realised, bbt the
representativeness is difficult to realise. n e factors in the sociological composition and
economic structure of the society underline the environment for its realisation.,
Bureaucracy, as an organised, systematic institution of the state as a part of the democratic ,
politiqal structure, has come'into existence first in the West and later in other polities. In
this unit we shall Ascuss about the concept of representative bureaucracy.
I
18.2 MEANING+OFREPRESENTATkVEBUREAUCRACY
. L
.7
<,
~ i k gavernment,
e
bureaucracy in modem times is expected to be responsive, responsible
and representative innrelationto the people of the country. It has to be responsive to the ,
desirqs of the people. The functions assigned to it by the government, (that is the executive):
have to be performed by it to theirsatisfaction, Modem bureaucracy has to be responsible
.to .the peoplk through the ministers who are responsible to the people, being duly elected
every five years to the parliament or legislature. These two features of modern
'bureaucracy have been realised in democratic political systems as in 1ndia.The feature of.
,bureaucracy being representative of the sociologikal composition of the population in a
Country has been difficult of realisatiog. In Western countries like Britain and France. the
various economic strata or divisions of the population, particularly the lower classes, are
not represented properly in the composition of the higher level bureaucracy or civil
services.
Bureaucracy
The meaning of representative 'J~reaucracyis not verq. clear. It is understo0d.a~a civil

service representing proportionately every caste, class and religious groups of the
population. It is also interpreted to m e a ~that it is a bureaucracy consisting bf all social,
religious and racial groups of the society.
' -
Concept of representative bureaucracy is that broad social groups should have spokesmen
and represenktives in administrative as well 'as political positions. The term representative
bureaucracy was coined by Donald J. Kingsley in his book 'Representative Bureaucracy'
published'in ,1944. He argued in his book on the need for liberalisation of social class
selection for the bureaucracy in England. He argued that only representative bureaucracy
would respond to changes in political currents whereas a non-representative burkucracy
would sabotage the demand of a party whose policies may'be at odds with the class from
which bureaucracy is drawn. Kingsley's argument is that representative bureaucracy is
necessary because there must be-some administrators sympathetic to the policies of the
party in power. In a dernocracy;he fel't competence itself is not enough. He also argued that
.public service must.be representative:if the state is to liberate rather than to enslave'.
Thus the concept of representative bureaucracy was evolved toargue for a less elite
oriented and less class biased bureaucracy.
'
'
'
,.i
The term representative is not new; it was evolved through history. For example, Max
Weber suggested a typology of representation viz., ( 1 ) Appropriated Representation~itis
an anc;lent form mostly based on hereditary rights; ( 2 ) Representation on the basis of
socially independent groupings. This would be a socially privileged group asserting the
right to bind others; (3) Instructed Representations; and (4) Free Representation. The first
three forms of representation are fairly known in early times and the fourth i.e., the free
representation is unique and is on the rase in n~oderntimes.
18.3 WHY REPRESENTATIVE BUREAUCRACY ?

'The plea for represelitative bu&aucracy is advanced on several grounds: Firstly
bureaucracy is an instrument or organ of government. A genuine democracy ought to have
a repiesentative tegislature or parliament, a representative executive, that is ministry, and
also a representative bureaucracy i.e., civil service. Without the bureaucracy being
representative, the country's political system would not be entirely democratic, because.al1
the laws and rules and polices of the government are finally put into action by the
bureaucracy or civil service.
'
The second ground for bureaucracy to be representative is that the welfare and
development fpnctions meant for the poorer or disadvantaged sections of the societ-. would
not b$'.filfill& to the satisfaction of these sections of the society unless the elemerits
belonging to tde poorer section handle those functions. This is the same ground on which a
modern legislature or a modern executive is constituted to be essentially representative of
the entire adult population in the country,
Another ground for representative bureaucracy, advanced in Britain, during the inter-war '
and post-second World War years and in India after independenct, is based on the need
' for a harmonious or at least congenial, relationship between the political elements
including ministers, and the' higher level civil serv-ants.The ministers and legislators in a
democracy tend to cume from lower economic or social sections in larger numbers
progiessively at successive elections to parliament,or legislature or local governments,
Further, their advice to the political executive would be narrow in range. A crisis of
understanding arising out of lack of identify of views and outlook might develop between tl
political executive (and a ~ s drepresentatives) and the civil servents. The possiblity of
disloyalty of the higher civil serants to the political executive may be for away, but occasior
, of differences of opinion,. and at times of conflict, are a distinct possibility. The
political and administrative literature both in ~ r i t a i nand India has recorded sev8a1
instances'of such disharmony between the political e ~ e c uve

f and the
higher civil Servants.
I
Check Ymrr Progress 1

1 What is representative bureaucracy ?
......................................................................................................................................
;
xplaih the need For repreientative bureaucracy .
18.4 SITUATION IN U.K. AND U.S.A.

Situation in U.K.
The social camposition ot tne administrative class in Britain is elitist though the working
class and lower middle class entrants to it have increased in number with the spread of
higher education among them. Philosopher Bertrand Russel, therefore, wrote about the
public school as the "appropriate educational ins@umentl'of the ruling oligarchy. But the
progressive diffusion effect of the Education Act of 1944 is now in evidence in the pupils
of the working classes receiving university education in growing numbers. Some of the%
recent university graduatg, from working classes. are now entering the higher civil service through
open competition, besides being promoted from subordinate grades.
It is true that during the post-war years even scholars of working class origin were
educated at these prized universities with the help of state scholarships. The scholars from
other universities also failed to appear at the competitive examinations either because their
courses did not equip them for this as well as Oxford students or they felt less confident at
the interview in the competitive examination. An analysis of the applicants for
appointment as administrative trainees in the 197 1-75 period has shown that a fifth of all
applicants but half of the successful applicants possessed Oxbridge degrees. To an extent,
the Oxbridge lead in the open competition to the administrative class does imply denial of
Representative Bureaucracy
Bureaucracy
1
representation towthe other universities and their students in the most prestigious civil
service of Great Britain. In 1966, a significant component of the total membership of the
administrative class to the extent of 40% were promoted from lower ranks, compared with
only 13% of the permanent secretaries and deputy secretaries. This factor of the situation
has also somewhat lessened the elitist heights of the administrative class in Britain.
In Britain the representativeness of bureaucracy or higher civil service is affected or
reduced by two factors : (i) Predominance in the higher civil service of the honours
graduates of the universities of Oxford and Cambridge (of Oxford after the Second World
War) among whom there is a large percentage of students from select public schools, to the
neglect of honours graduates from other British Universities. (ii) Over representation of the
upper and higher middle classes in the higher civil service in comparison with their
proportion in the country's working population resulting in the under representation of the
lower social strata of the population.
Situation in U.S.A.
Even in the United States of America with its more egalitarian educational system the
bureaucracy is not representative. In U.S.A. jabs iit,Public Adminisiration,at three levels*
Federal, State and Local, have not been as attractivk as thejobs in the private-'sbctor.
Self-employment in business, industry, shopkeeping and independent professions has also
been favoured as being in keeping with the independent spirit of the Americans. Further, a
unified career civil service in U.S.A. is of recent origin, and even now it engages a very
small percentage of the total number of middle 1evel.jobs in Public Administration.
Specialist and technical jobs in Public Administration are in majority, and officials holding
these frequently move in and out. In Britain and U.S.A. there is under-representation of the
manual workers in public administrative higher level services in comparison with their
share in the total working population of the country.
18.5 SITUATION IN INDIA
The researches conducted on the sociological profiles,of the higher civil services,
particularly the Indian Administrative Service, are very few. But by and large, these
studies have brought out that the higher civil services-generalist as well as
specialist-contain a large repiesentation of upper castes, higher income level families and
urban dwellers. The lower castes and classes, and rural dwellers are represented in them in
smaller numbers. The principal reasons are three. Firstly, the spread of higher education
among the lower castes and classes is slow, although after independence it has picked up in
extent and pace. Secondly, the proportions of drop-outs from primary to secondary, and
from secoiidary to university level have still been high mainly due to economic reasbns.
Thirdly, the minimum educational standard for eligibility for the competitive examinations
at the higher services is graduation. But the preparation for the competitive examination
takes a~coupleof years more after the passing of the first graduation: B.A., B.Sc., B.Com.,.
etc.
Several concessions have been given to the scheduled castes and tribes by the central and
state governments. The normal age of recruitment for various services is relaxed by a few
years in favour of these weaker sections. Application and examination fees are exempted
for them. Migration Certificate is issued to the SC/ST persons irrespective of whether the
state to which they have migrated has or has not recognised their caste as scheduled.
Coaching classes have been set up by government and universities at various places in the
c o u n i to prepare the candida~sof these sections for appearing at the competitive
examinations conducted by the union and state governments, nationalised banks and other
public guthorities. Scholarships are liberally granted to the candidates of these
communities to enabk them to avail the coaching provided at these classes. Arrangements
have been made for orien~tion/app~,ciation
training for their knowledge of the safeguards
in regard to recruftment prescribed by various governments. 1nsekice training is also
imparted to them for the improvement of their efficiency in service. Machinery has been
set up for the redressal of their grievslnces in these respects. The Commission for
Scheduled ~a;?tesand Scheduled Tribes set up by the Government of India in 19.78 has
established field oficers to investigate into and report the status in this regard all over the
country. These field offices have been authorised to establish contacts with the various
government departments and agencies to ensure the observance of the reservation and
other safeguards, concessions and facilities by them in regard to services, social, economic
k d legal treatment and execution of development schemes and
18.6 LIMITS TO REPRESENTATIVENESS

Though in principle the ptea for representazive bureaucracy has been accepted, a number
of practicaSdifficultiesstand in way of its realisbtion. The Generalist service
personnel are selected on the;basis of educational qualification, say a bechelor's
degree of a university, and within an age limit preferable at a young age of
twenties. For specialist services, requisite specialist, i.e., technical, professional or
scientific, qyalifications are necessary. In cases of senior posts, experience in respective
areas, say engineering, statistics, computer programming, etc., is called for. The membtirs
of the lowers classes in society are not in a position to receive university education, mostly
because their parents/guardia$s cannot afford to send their childrenlwt~dsto the colleges/
uniuersities. In some cases the drop-out of pupils belonging to backward sections is due to
age-old social and cultural backwardness. In reskct of specialist posts it is still more
difficult for the socially and gonomically backward sectib;nsto compete because they
have not been able to receive specialist degrees, as for example in engineering, medicine,
agronomy, etc. If they could not receive specialist degrees, acquiring experience in such
specialist positions is not possible for them.
The govemment se,wicerequires skills and training,different from those needed by the
society. Chester Bernard, for example, has argued that the introduction of technological
innovation requires managerial capability. Managerial functions are not routine and cannot
be undertaken by anyone. It needs the ability to act under pressure, and officials must
assume responsibility under conditions of risk. These skills are not developed in the
society. The administrators also require greater training in the specialised functions like
the police or public enterprises or welfare programmes, etc. It also requires special
qualities and attributes like possessing prescribed height which is a pre-requisite for police
service., These skills and attributes are important to carry out the assigned tasks which put
limits on the representativeness of bureaucracy. The governments may make 'adjustments
and give relaxation in these skitls and attributes, but one has to acdept that limits exist in a
bure'aucracy qnd total representativeness is not possible.
'
rn a plural society, the representative bureaucracy will have adverse consequences.

Insistence on representation of different social, ethnic or geographical groups is but an
invitation to parochial and narrow mindedness. The bureaucracy in such a case wobld
represent devisive forces than becoming a homogeneous and integrated system. Again,
merit bureaucracy is the result of limitations in the recruitment based on ascriptive
considerations. If bureaucracy is to be representative it is an invitation to ascriptive groups
which undermine rationality and logic on which the present system of merit bureaucracy is
based. Bureaucracy is dased on professionalism, rationality and homogeneity. Introducing
representativeness is 'to introduce heterogeneity into the bureaucratic system. Thus
representative bureaucracy, by definition, becomes a contradicti6n in terms.
Representative bureaucracy is a concept associated with the realisation of the political
ideal of representative democracy. In both the popular democracies of the world polity,
Britain which is the mother of parliamentary democracy and the United States of America
which is the largest democracy in terms of geographical extent, the concept of
representative bureaucracy is not fully realised. Even in the Soviet Union,marked for the
extension of'economic and social equality, the idea1,of representative buteaucracy.has not.
been fully realised. The realisation of economic and social equality among individuals in
society in a political system would not wipe out varying intellectual abilities and mental
aptitudes of different persons ,arnonR the aspirants for.the administrative positions at
various levels of government and administration. In,a counuy like 1ndia and tribal
communities an secluded from the kivilissd gtgmnts of the political community, resulting in
their cultural, social, economic and educational backwadness.
Along with the attribute of npnsenrlng the material aspirations of the society, the
burnewracy has to be efficient and effective in the performance of its varied functions
towards the different sections and strata of the society. The efficient and effectne
performance of administrative functions requires selection of bureaucracy on the basis of
merit and aptitude. This also brings in another constraint on the full realisation of the
concept of representative bureaucracy.
l?ureauerncy
118.7 CONCLUSION
Representative bureaucracy makes a modest contribution to the stability of the political
institutions by ensuring that the general feeling and interests of all groups are taken into
consideration by the bureaucracy while formulating policies and implementing them. But
the fact that bureaucratic responsiveness to the public is influen& less by the represqnfative
character and more by other factors should oot be overlooked. What is important is that
bureaucracy should be responsive, responsible and efficient in every ~ountry,more so in
developing countries regardless of whether it is representative or not.
There are two important assumptions behind the concept of representative bureaucracy.
Firstly, every group has equal political rights in accordance with their proportion.
Secondly, civil servants carry the attitudes and prejudices of their class into the
bureaucratic positions. But both the assumptions are questionable. Firstly, in no society is
political power equally shared by all groups. Similarly the behavioural patterns of
individual civil servants ,are not found merely based on his location in a social group.
Behaviour, it is generally agreed, is shaped-by the dominant influences like experience,
education, socialisation, etc. This is evident from what V. Subramaniarn says on the
subject:
"We are familiar with aristocrats and rich heirs who have passionate sympathy for the
working class. On the other hand, the proportion of deviants among' the members of the
lower classes who work their way up is held by many observers to be high .........It has
been suggested that the men who climb out of the lower classes, the upward-mobiles, '
under present conditions anyway, shed their class sympathies either at the beginning of the
climb itself or halfway through. The proven existence of deviants from class nonns and the
probability of their high proportion among recruits from the lower classes shakes the
foundations of the basic argument for representative bureaucracy."

Note:. i) Use the space below for your answers.
ii) Check your answers with. those given at the end of the unit.
..
1 How representative is the bureaucracy.in U.K. and U,S.A ?
..
....................................................................................................................................
.....................
.
...:. a;..............................................................................
>..................
., ,
i.;:...
How representative is the bureaucracy in India ?
What are the consmints ia achieving total representativeness in bureaucracy ?
18.8 LET US SUM UP

Like Govemment, bureaucmy in lnodem times is expected to be responsive, responsible
and representative 'of the people of the country. Unlike the first two features of
bureaucracy, the feature of representativeness in relation to the sociological conlposition
of the population in the country has been difficult of realisation. Withaut'the bureaucracy
being representative, the country's political system would not be entirely democratic.
Further, the welfare and'development functions meant for the poorer or disadvantaged
sections of the society would not be fulfilled to the satisfaction of these sections unless the
elements belonging to the poorer sections handle these functions. Representative
bureaucracy would also bring about congenial relations between the political elements and
the bureaucracy.
The realisation of economic and social equality among individuals in society would not
wipe out varying intellectual abilities and mental aptitudes of different individual persons.
The requirement of administrative efficiency and effectiveness brings in another constraint
on the realisation of representative bureaucracy. If every individual person in a political
system is assured of an equal opportunity to seek and get into a post at any level, even the
highest, in Public Administration, the concept of representative bureaucracy would be
nearer satisfactory realisation.
18.9 KEY WORDS
Egalitarian : Upholding the doctrine of the equality of mankind

Elite : The most powerful, rich or gifted members of a group, community etc.
1
~ o r n l ~ e n e o :uConsisting
s
of similar parts
, Oligarchy : Govemment by a small group of people
1 Plural Society : A society having groups of distinct ethnic origin, Cultural forms, religion
etc.
Repository : Place where things are stored or may be found
1

1 Bhattacharya, Mohit, 1987. Public Administration;World Press: Calcutp.
2 Hill, M.J., 1972. The Sociology of Public Administration; Weidenfeld and Nicolson:
London.
3 Kingsley, J, Donald, 1944. Representative Bureaucracy,"Antitoch Press: Ohio.
4 Krislov, Samuel, 1974. Representative Bureaucracy; Prentice Hall: Englewood Cliffs,
New Jersey.
5 Singhi, N.K., 1977. Bureaucracy: Positions and Persons; Abinav: New,Delhi.
6. Subramaniam, V., 1971. Social Background of lndia's Administrators; Publication
Division, Government of India: New Delhi.
,
,
Bureaucracy

EXERCISES
1 See Sec. 18.2
2 See Sec. 18.3
1 See Sec. 18.4
2 See Sec. 18.5
3 See Sec. 18.6
ISSUES IN BUREAUCRACY
.
Structure
0~jectives .
Introduction ..
~ e n ~ r a l i sand
t k Specialists
19.0
19.1
19.2
I
19.2.1
Relations between Generalists and Specialists
19.2.2 ~xpkrienccin U.K.and India
19.3 . 'Anonymity
19.4 Commitment
19.5 Let Us sum Up
19.6 . ICiywords
*.
19.7 some Useful Books
. .
19.8 Answers to Check Your Progress Exercises:

* distinguish between generalists and slycialists and identify the problem areas in their
explait] #he concept ~f anonymity; and
.* examine the concept of commitment.

k
You are aware that Public Administratioq.as an academic discipline,has(come into

existence with .themimportantp a s r of Woodrow Wilson on the Study of'Administrafion.
Eversince a hukber of thedries; a'pproaches and concepts'in administiation have been ,.
developed. In recent'years, administration is increasin&'alongwith the growing.functions.
In fact, there has been'a changk in the very natuie,of the state which is .reflected in.'
4
increasing functions. whi6h the governmerits are' undertaking. Another manifistation in this
change is the rapid'gro~thof civil services.',~ou
.have seen in an earlier,unitfiow -,
F.M. Marx has called the modem state as'an admini$trative..statethereby signifying4he .role the civil seivice or bureaucracy play in the.,hodem state. This expanSi6n in the
bureaucracy as well as"increased role in the governance.'' thrown out several issues. The
'problem of relations'between generalists aild specialkts,,cammitment and neutrality of
.civil services, anonymity; corruption, inefficiancy,'iepresentati'k charycter of the ,
bureaucracy, etc.,, are But a few issues. Intha previous unit we have discussed'about the
concept of representative biireaucracy and in this 'unit we will examine three i b i - t a n t
issues'of bureaucracy viz., relations between ger;eralists and specialists, concept of
anonymity and commitmeit of divi~services. ,
,
. ...
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19.2 GENERALISTS AND SPECIALISTS
'
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.*,
.! In modern timesthe functions of Public Administcation are becoming varied and complex
as the executive organ of welfare state. In modem times,
due to its new re~~onhbilities
particularly af.jer the First World War, the 'state has undertaken numerous functions like
relief to the unemployed; conduct of basic industries .like steel, rnachine'building, mining, .
nuclear energy, air transport, care of thcpersons suffering from deadly diseases like '
cancer, etc. To look after these and other diverse funktions .specialists are apeinled in
growing numbers in qublic Administration at various levels. The administrators,
I
, ?
particularly g'higher levels, are classified as generalists and specialists. Specialists are
those who have specialised in terms of their educatipn and experience in administration in
specific subjects or disciplines of study. Engineers, medical doctors, statisticians,
scientists, chemical technologists, computer programmers are some of the examples of
specialists.
Generalists are not specialised in the course of their education and/or further training. An
entrant to the civil service might have graduated in literature or history. By virtue of his
graduation he is not specialised to be posted in'a particular department or job dealing with
a specific subject of Public Administration like agriculture, health, social welfare. He
might have graduated in Chemistry or Biology, but in his administrative career i t is likely
that he does not perfonn duties in a department or a job concerned with a sector of Public
Administration mentioned above. ~ J w e v e rif, he is offered aq administrative career
iqvolving supervision, control or direction per se and not connected in content with
administration of a science subject of his'specialisation, he would be a generalist. A
district collector by his education might be a scientist. engineer or historian, linguist or
social scientist. His duties are generalist in nature covering functions such as collection of
land revenue, maintenance of law and order, etc.
In any administrative institution as we go higher and higher in, the level of responsibility.
functions become more and more generalist in nature. Even in technical departments.the
heads of the departnient are engaged in the ,generalist functions of policy-making, control
of the administrative machinery, direction, supervision and control of the employees,
coordination within and outside the organisation in his charge, and public relations. No
doubt these functions have substantial content of the subject matter of the respective
departments. The issue of generalists vis-a-vis specialists has come up in recent times for
discubsion and debate' on account of the organisation and responsibilities of their cadres or
classes in public or civil services. In the first place,they are organised in separate
hierarchies i.e., groups having supervisor-subordinate relations between various lewls.
Secondly. the tasks of policy-making. control of adm'inistrative machinery and
management at highest levels are assigned largely to t h ': generalists in preference to the
specialists, barring few exceptions. Thirdly, generalists are moved from one department .to
another. one type d job to another, a department to a public enterprise or a local
government and 'back. without hindrance or obstacle. 'The specialists, on the other hand,
are transferred or promoted within their respective departments. Posts o%secretaries to
government deparfments and even of heads of most executive departments are reserved
for the generalists. This privileged position exercised by the generalists ha*a tendency to
offend the self image of the specialists, and in consequence,their morale and confidence.
The idea of the generalist civil service was based on three components: one, the entrants to
the civil service could occupy any post at higher levels of any of the executive (fidld)
departments and the secretariat of th'e government headquafiers with distinction yithout
inservice training. Two, they would advise the government ih policy-making, formulating
decisions-the basis of government's executive orders-operating the administrative
machinery, and putting the executive orders into effect. Three, the actual expert, tech~ical
advice in subjects like agriculture, heahh and medicine, forestry and so on, would be given
by the subject matter technical officers and scientists (the agricultural scientists, doctors,
forest officers, engineers, etc.) in the functional departments (agriculture, health and
medicine. etc.'). Such expert technical advice could be grasped and absorbed lnto policy
making and decision-making processes by the generalist civil sentants. Unlike in
other countries Such as France, in Britain and India the Secretariat departments in at the
government headquarters are headed by the generalist secretaries which areseparate from
the executive 'departments like industry, transport; home, agriculture, health and medicine,
education, industries, cooperatives, mostly headed by technical officers (but in few cases by
the generalists).
19.2.1 Relations between Generalists and Specialists

The issues relating to the relationship between the generalists and the specialists need to
be dealt with in slightly.greater detail.
Two arguments are advanced with regaledto the generalists being elevated to highest
positions of the administration, important from the points of view'of rendering advice in
policy-making by the ministers and direct control of the executive machinery. First]? 'he
liberal educition enables the graduates who are selected on merit by an indepeneent and
impartial Public Service Commission, to have broad outlook, intelligent mind and
flexibility of approach in regard to administrative problems and issues irrespective of theit :
subject matter content. The second ground relates to the mobility of the generaliq entrants
in the civil service. .As they move from one department to another atld from one position
'
to another, their ability to adjust to and assimilate different experiences-functional,

public and political-increases and their qualification to hold higher positions in any
department and post is strengthened.
Arguments in favour of the generalists are put in various statements, but they are
essentially based on one or the other of the above grounds. The generalists perfom the
role of a mediator, a referee between the expert and the politicia11, the people and the
government, the pressure groups and the public interest represented by the parliament and
the executive, with conflicting points of view. The generalists are close to the "Minister's
mind". They act as an antidote to the rule by the technocrats ("the technocracy"). The
two roles of the technocrat who has a function or an aspect to plead for, and the generalist
who is a mediator, coordinator and integrator can never be fused into one administration or
a single hierarchy. The specialists are also not sufficiently cost-conscious, they identsy too
closely with the clientele of their own department.
The specialist's case for being placed on an equal footing with the generalist in the matter
of appointment to highest positions in administration is advanced on the grounds of default
of the generalists who have occupied highest positions in different departments and of the
special merit of the specialists for occupying highest positions in their own functional
specialities.
During the nineteenth century the specialised knowledge required in Public Administration
was not clear: The generalist discharged the role of a night-watchman over the limited
functions of law and order of the state of the nineteenth century. The generalists, due to the
absence of the necessary education or post-service entry training, have not developed the
essential professionalism, nor the adequate knowledge in depth in any one aspect of
department's work and "frequently not even in the general area of activity". ~ h e s e
deficiencies have led to improper policy-making and has prevented a fundamental
evaluation of the policies framed by them. The result is also visible in the ineffective
methods adopted to execute policies. The generalists have not acquired the necessary
knowledge for changing policies or charting altogether new policies. The generalists are
engaged mostly in planning and are away from execution. This results in unrealistic policy
decisions. Staff and line functions can be segregated in Britian, but not so much in India.
Generalists have not received post-entry training to make them suitable for specific
functional or positional responsibilities. Generalists "misunderstand (technical) advice or
do not obtain it at all". The generalists cannot undertake forward planning firstly because
they are not equipped with necessary knowledge of the developments in paTii'cular subjects
like en ineering, agriculture, education, health, medicine, forestry, industry, etc., and
second y tbey move from qne department to.anofher ind at times even out of a
department to a public enterprise or to a semi-governmeni institution like university.
a
It is actively canvassed on behalf of the specialists that, on the one hand the generalists
become better qualified to hold higher positions in administration in different departments
at all levels because they themselves have fashioned the system in their ewn favour, and
on the other the specialists in spite of they being better equipped are deprived from
occupying high, nay highest, positions like secretaryship in their own departments.
Scientific training inculcates an objective spirit in the specialists which"1essens the alleged
functional b'as with them. The generalists are neither completely free from (personal) bias
in the cou e oVthe administration. Similarly, the criticisms of the specialists not being
cost-conscious and identifying too closely with the clientele of own department, may be
shared by the generalists. Education per se has nothing to do with the administrative
ability. A case for broadening the technical and professional courses can be made
independently. Such brbadening would stand in better stead in the service career of tbe
candidates at the civil services competitive examination qualified in these courses. The
dual hierarchical structures,comprising the generalists and the specialisrs respectively,not
only mar administrative efficiency but also breed discontent among the specialists. The
gains from the abolition of these dual structures would be various. Frustration among the
specialists would be avoided. This would result 'in easier and more effective
~ommunicationbetween the two groups-the generalists and the specialists. Better expert
advice would come forth from the specialists. ,Administrative work handled by them would
.
be simplified and speeded up and wastage would be avoided,
?'he 'inte~li~knt
amateur' theory prevalent in Britain during the nineteenth century does not
seem to be applicable to the recent times, particularly dfter-the Second World War.
Beyond drafting, more knowledge and other skills would be called for incthe civil servant.
A welfare state Came into existence in Britain after the Second World' War, and in free
India, a democratic socialist state based on the concept of planned development is in the
!
,
I
process of realisation. The functions and responsibilities of the administrator have not
merely increased but also growri in complexity. Progress of science and technology has '
affected the content as well as methods of Public Administration. The introduction of the
computer has changed the nature of administration in respect of not only information
storage, retrieval and communication, but also the nature and pace of decision-making and
the relations between the citizens and the administration. The individual state is no longer
isolated but is a part of wider network of the international community. The selection
process of the generalists in Britain was biased in favour of the graduates of Oxford and
Cambridge Universities doing injustice to those of other universities.
Career planning is necessary both for the generalists and the specialists in the interest of
the development of both and the greater efficiency and effectiveness of the public
administrative system. Both have to be trained in the managerial functions and the
managerial techniques such as qualitative methods and economic analysis and common
body of knowledge needs to. be taught to bpth in the course of the post-entry training.
Communication and cooperation between these two components of Public Administration
have to be encouraged and built within the administrative systemand in the interstices of
the network of administrative relations.
19.2.2 Experience in U,K. and India

Different countries have approached the problem differently keeping in view the
administrative and political environment within which they operate. In the context of the
growing public criticism,of the inadequacies of the civil service structure in Britain
dominated by the generalists at the top, the British government appointed in 1966 an
inquiry committee chaired by Lord Fulton. The Fulton Committee proposed that the
scientists, engineers, economists, etc., with requisite competence should be absorbed in a
senior management group, from which higher positions in the administration should be
filled in'.
I
In lndik the generalist and specialist controversy,wasdealt with by the Administrative Reforms
Commission's study teaim on Personnel Administration. It recommended,eight.
professional groups viz.. (i) Personnel and Manpower; (ii) Economic Administration
(including planning); (iii) Financial ~dministration;(iv) Agricultural Administration; (v)
Industrial Administration; (vi) Social and Educational Administration; (vii) Internal
Security and Defence; and (viii) General Administration. These groups would form the
basis for the selection from the different services of the personnel for (cases)
'consideration' as well as 'policy formulation' levels. The implication of the eisht-fold
classification drawn up by the Administrative Reforms Commission's study .team on
Persgnnel Administration was spelled out by the Administrative Reforms Commission. It
was that the Indian'Administrative Services shall no more be a generalist but shall have
purely functional role of Revenue.Admirlistration[Administrative Reforms Commission
Report on Personnel Administration (April 1969), page 241. The Administrative: Reforms ,
Commission was right in asserting that the constituents of these new professionalised '
groups would be contributed by different services including the Indian Administrative
Seryices ,and the specialist services. This professionalism could be developed only through
approptiate schemes of recruitment, training and career planning.
'
Similarly other countries like France, West Germany, Sweden, U.S.A., etc., which have
distinctive,political systems, social conditions and civil semice systems of their own have
' formulated mechanisms to deal with this problem.
" .
. .
r
T - , j
,:
. Check your Progress 1
-. .
i) Use the space given below for your answers.
; Note:
ii) Check your answers with those given at the end of the unit. _. ...,.....
!
1.1.. ..-.Wat.are .the.major issue? in 'bureaucracy'?
g .
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Issues in Bureaucracy
Why is the modern state called.'administrative stale"!
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Explain the relation between generalists and specialists in Administ~at~on.
The rule or norm of anonymity of the civil service is the counterpart or the other side of
the coin of ministerial responsibility. The principle of callective responsibility in the
United Kingdom ensures the responsibility and accountability of the executive, that is
cabinet, to the parliament, to be precise to'the House of Commons. The minister's
individual responsibility m&es sure that for every act or wrong act or oversight in his
departmeiit a minister has to answei to the parliament. TQe rule of anonymity requires that
,for the official's actions or inactions their minister alone has to answer before parliament.
The official concerned, who canriot defend &pelf in parliqent, is thus protected from
criticism of parliamept. This does not mean that the official guilty of criminal acts'or
excesses under law or abuse of authority and power for personal ends cannot be held guilty
under the law.
by
The follbwing are different situaiions calling for different actions the minister in
relation to the official:
I
1) Arninister is to protect a civil servant who has executed his definite order.
12) 'A minister has to support a civil servant who has acted correctly in keeping with the
.
,
policy of the minister.
/
Bureaucracy
The minister accepts the respolisibility for an action or delay of the official when the
issue is not an important matter of policy and in which individual rights are not
involved. The minister in these situations offers to take corrective action in his
department.
4) A civil servant's action is disapproved by the minister who does not know about it,
the action being worthy of blame. The minister in such case does not support the
wrong action of the official or defend the official's error. The minister in this case is
responsible to parliament for the wrong action of the official. The minister, however,
retains his power to co~itroland discipline his civil servants.
The above situations explain the principle of ministerial responsibility or the norm of
anonymity of the civil servant. The ministers are not in a position to excuse the failure of
their policies by pointing to expcrts or civil servants who have given the advice or to the
officials they have employed.
3)
The principle of anonymity is to be distinguislied from the rule of neutrality and that of
impersonality. The rule of neutrnl~tyexpects the civil servant to be politically neutral.,He
has to give loyalty to the minister irrespective of the political party to which his
government belongs. The doctrine of impersonalily expects the civil servant to follow the
prescribed laws, r ~ ~ l and
e s regulations irrespective of tiis own person in case he has taken
up the charge of his particular post from another civil servant or irrespective of the person
to whom the case pertains.
The rule of anonymity operates in the case of legal and proper acts of the civil servants.
They are not required ro come out in p~tblicor face parliament in case of such acts; it is
the minister who then faces the people of the parliament. For illegal personal acts both the
civil servants and the ministers can be held guilty.
The civil servants in Britain are often given the simile of the fountains in the Trafalgar
Square (London) who are silent observers of the political events in the cabinet and the
parliament whose sites are located nearby. Similar nornis are applicable to the rdationship
in India between the ministers and the c ~ v i servants.
l
The Indian Constitution does not
spell out the temls and conditions of this relationship, this is left to the conventions to be
evolved since the inauguration of the Constitution. The Indian Constitution gives security
of tenure to the service of the members of the ltidinn Administrative Service, other AllIndia and Central and State Civil Services and those holding civil posts under the union
or a state, except for reasons of criminal charge, reasonable practicability or security of
the state (Article 3 1 1). The relevant rules issued by the executive define the terms 'civil
servant' and 'civil post' in terms of the master-servant relationship marked by the method
of empioyment and .the mode of removal from scrvice. The normal relationship between
the minister and a civil servant is based on tputual satisfaction of obligations to each other.
Civil servants are to render advice lo the minister in respect of policies, plans and
programmes as well as Iaws and rules to put these into action, on the basis of their
expertise. They are not to act in these respects to suil their advice to the personal or
partisan ends of the minister. Once the advice is given, the civil servant's function in this
behalf is over, He has then to implement the po~iciekand programmes and the laws and
rules as framed by the executive whether his advice has been accepted by it or not. The
minister in turn is not expected tn interfere in the execution of the government's policies,
plans, programmes, laws and rules. The All India Services (Conduct) Rules, 1968
prescribe that the civil servants have to avoid occasiolls of self-publicity, entertainment,
association with a political party-or its activities, etc., so that their anonymity is preserved.
19.4 COMMITMENT
The term committed bureaucracy' appears in public and political debate from time to
time. To the extent the debat: indicates a stir in thinking among the vocal, articulate world
of politicians and the intelligentsia, it is a healthy sign of an alive public opinion ready to
rise to the occasion, when certain new programmes of development and a new social and
economic order have faltered in execution and need to be given a big push.
What does 'commitment' mean? It means engagement on the part of a human being that
restricts his freedom of action. If I, for example, engage to be honest, then such an
engagement would restrict my freedom to be dishonest, 'Commitment' when so defined
might appear as an individual phenomenon. However, commitment on the part of an
individual is a product of the value system of a given society in time and place. Of course,
no society is so uniform and so homogeneous as to be informed and motivated by a single
and unique value system. But there is always a dornir~antvalue system. Some sections of a
society might wish to conform or agree with it; others might revolt against it.
Another fact about the value system and the commitment related to it might be noted. At
no stage of the evolution of human society from the most simple and primitive to the most
complex, would one find its members free from the constraint of a value system and its
concomitant commitments whether accepted because of social compulsions or because of
attainment of higher corlsciousness of rights, obligations, prohibitions and inhibitions.
While commitment is thus inextricably bound up with the value system in a society, the
origin of a value system itself and changes within it are intimately connected with the
socio-economic and political structure of that society.
The question is whether civil services ought to be committed or not? The answer to the
question is that the civil services are in fact committed. They are committed, first of all, to
themselves and their nuclear family. It is the nature of their commitment which requires
examination both in its origins and in its evolution.
These concepts need to be examined in a larger perspective of the provisions of the
Constitution, the framework of the political system contained in the Constitution, and. the
long term effects on the morale and efficiency of the elements involved, in this case the
civil servants and the judges. We are here concerned with 'committed bureaucracy'.
The Indian Constitution embodies the values of democracy, secularism and socialism
which are to be realised keeping intact the fabric of national integrity. The ideals of
liberty, equality and brotherhood have also to be given actual shape in the lives of the
people. The Preamble, the Directive Principles of State Policy ahd the Fundamental
Rights, in the Constitution, have to be kept in view in understandjng tile meaning,
connotation of the term 'committed bureaucracy'. Moreover, the frame of parliamentary
democracy and the federal structure of the country provide the mechanism in which the
concept is to be realised.
'Committed bureaucracy', obviously, is not a bureaucracy loyal to a particular political
party. The Constitution envisages free and fair periodic elections to the Lok Sabha and the
State Legislative Assemblies. At the union and in the states under the democratic regime
since the making of the constitution different political parties have come to powe; in the
past three and half decades. The federal structure laid down by the Constitution provides
for a contingency of political parties ol' different colours with different political ideologies
and programmes coming to' power at union and in states. In different states, different
political parties-national and regional-or their coalitions, may be installed in power.
The bureaucracy has therefore to serve under varying political parties' regime. Their
loyalty cannot be to a specific political party.
'Committed bureaucracy' also would not connote civil servants owing loyalty to particular
individual political person or leader. The frame of parliamentary democracy prescribed by
the Constitution involves the possibility of election of different persons as Prime Minister
at the centre and as Chief Ministers during a term of the Lok Sabha and State Legislative
Assemblies and also from one term to another. 'Committed bureaucracy' therefore would
not imply its loyalty to particular persons, but to'whosoever is elected as the leader of Lok
Sabha or Vidan Sabha. The civil servants have to give advice to ministers as secretaries in
making policies, and execute these policies in the field. Sir Warren Fisher, a noted civil
servant in Britain, delineated the minister civil service relationship, in the following
words. "Determination of policy is the fimction of ministers and once a policy is
determined it is the unquestioned and unqlrestionable business of the civil servant to strive
to carry out that policy with precisely the same energy and precisely the same good will
whether he agrees with it or not. That is axiomatic and will never'be in dispute. At the .
same time it is the traditional duty of civil servants while decision' are being formulated to
make avail$ble-to .their political chief all;the information and expSienck at the?r-disposal,
arid to do tbis without fearjor Yavour, irrc$ective of whether the advice thus tendered may
accord or nbt wirh the minister's initial view. The preservation of integrity, fearlessness,
and the independence of tl~oughtand utterance in their private commission with ministers
or the e~perienced~officials,
selected to fill the top posts in the service is an essential
principle in enlightened ~ O V ~ Z E Z Z ~ " .
'Committed bureaucracy' would therefore connote bureaucracy committed to the

objectives, ideals, institutions and modalities contained in the constitution; the policies and
Programmes of the government; and the laws, regulations and rules issued by the
executive. The civil servants have to carry out the development and anti-poverty
Bureaucracy
programmes in right earnest; if they fall short in this they would be better shifted tor,
regulatory depabents to which they may be attuned.
-Check Your Prbgress 2
'Noter' i) Use the space below for your answers.
1 Explain the concept of anonymity.
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Distinguish between anonymity,and neutrality.
Write a note on committed bureaucracy.
19.5 LET US SUM UP
--
In this Unit we haye examined three important issues in administrktion viz., generalists
specialists controversy and concepts of anonymiiy atd cc~mtr~itment.
We have examined
the nature of generalists and specialists, arguments in favour of generalists and specialists
and the nature of their relations. The concept of anonymity is examined in the context of
minister-civil servant relations in general and in India in particular. We have also
discussed the need for commitment on the part of civil servants to implement the welfare
programmes efficiently, and to realise the values of democracy, secularism ,and socialism.
1y.6
K E Y WORDS
Cadre: A basic unit or structure

Executive Department: Department responsible fdr carryiqg plans, orders, laws into
.efffect.
Moraie: Degree of mental or moral confidence of individual or group.
Secretariat Department: Department responsible for makinglframing or policies etc.

1 Avasthi A. and, Maheshwari, S.R., 1980. Public Administration; Lakshmi Narayan
Aggarwal: Agra.
2 Administrative ~ e f o k Commission,
s
1969, Report on Personnel Administrdtion;
Government of India Press. New Delhi.
3 Muttalib, M.A., 1980. Democracy, Bureaucracy and Technocracy; Concept Publishing
Co,: New Delhi.
4 Sharma, P.D.,
"Generalists and Specialists in Administration" in Ramesh K. Arora
(ed.) Administrative Change in India; Aalekh Publishers: Jaipur.
Journals
5 Chaturvedi, M.K., "Cohmitment in Civil Service", The lndian Journal of Public.

Administration, Vol. XVII, No. 1, pp 40-46.
6 Dubashi, P.R., "Committed Bureaucracy", The lndian Journal of Publir'
Administration, Vol. XVII, No. I .
-.I
i 19.8 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
check Your Progress 1

1 See Sec. 19. I
.
2 See Sec. 19.1
53: See Sec. 19.2
I
Check ~ o u r , . ~ r o ~ &2s. s
1 See Sec. 19.3
2 See Sec. 19.3
3 See Sec. 19.4
AL AND INFORMAL
UNIT 20 FO
Structure
20.0, Objectives. ,
20.1 Introduction
.
20.2 : Organisation: Meaning and Definition
20.3 Formal Organisation . . .
20.4 Characteristics,of Formal Organisation
20.5 Functions of Formal Organisation
.
. 20.6 Informal Organisatioh I
20.7 Why Informal Organisation?
20.8 Characteristics of Informal Orgahisation
20.9 Dysfunctions o'fInforrna1 Or~anisation
20.. i0 Interdependence of Formal and Informal Organisation
20.11 Let Us Sum U p
. 20.12 Key Words
,
20,14 Answers'to Check Your Progress Exercises
,
~ f ' t e f ~ have
o u read thii,bnit,. you
.
should beable.tp;
,
,,
.,
comprehend the m'eaning of organisation

idenfify types of organisation, their functions and ch'aracteristics
i distinguish between formal and informal organjsation, and
* explain relations between the,formal and informal organisations,
'0
..
'2Q.1 INTRODUCTION
Ofganisation is the framework. It facilitates proper utilisation of rnen;mat~rial and

money for the achievement of the goals. You will come across organisations in the;
pursuit of every day activities. The post office, the municipality, the bank, the officeof
the agricultural extension officer, the panchayat officje, the railway station, etc., are. .
' examples of gfganisations Which serve the community. When certain goals have to beachieved and when individuals have to come together and share the work and act with.
' understanding over a pefiod of time, an organisation is formpd. In this unit, we will
, examine the natureand importance of organisation, formal and informal organisations
and their characteristics and the relationships betweep the two types of organisations
for effective delivery of services.
'
'
T@eeailiest form of organisation was the.family and over the period of time other fd&s
of organisatidns also came up. The industrial revolution ushered in the era o'f,mass
production of goods., Machines replicecl men and factories became centres of
production ushering in an era of big organisations.
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I
1,
I
Concepts in Orgnnisation-I
The term organisation is viewed differently by different authors depending upon the
emphasis the author would like to lay upon. When you read a few definitions you will
come to know the significance attached by different authors. Morstein Marx defines
organisation as structure developed for carrying out the tasks entrusted to the chief
executive and his administrative subordinates in the government. The emphasis in this
definition is on structure. J.D. Mooney on the other hand, defines organisation as the
form of human association for the attainment of common purpose. The family, the
mahila mandals, the youth welfare associations, etc., can be cited as examples. In this
particular definition, the author lays stress upon the cooperative endeavour of human
beings. According to L.D. White, organisation is the arrangement of personnel for
facilitating the accomplishment of some concrete purpose through the allocation of
functions and responsibilities. The working of a public transport system can b e cited as
an example. The maintenance staff are entrusted with the responsibility of t h e upkeep
of the vehicles. The movement of vehiclesis the sole responsibility of the running crew
and the support servlces are provided by the auxjliary staff consisting of the clerical;
stores, personnel, finance, etc. It would be evident that different units are assigned
specific responsibilities and are held accountable for the purpose of specific task.
Gladden defines organisation as the pattern of relationship between persons in an
enterprise s o arranged as to fulfil the enterprise's function. The functioning of an
organisation depends upon the formulation of policy, preparation of plans in accordance
with the policy and their implementation. In an organisation the top management is
responsible for policy formulation, the middle management for programming atid
planning and the rank and file for implementation. The principle of hierarchy ensures
that the rank and file is accountable to middle management and middle
m&hgement is accountable t o the top management. Thus the superior subordinate
relationship mad; possible through hierarchy ensures the tasks are assigned and
responsibilities are fixed for different levels that facilitates the smooth achievement of
goals.
It would be clear from these definitions that organisation consists of structure, working
arrangement between the people who work in the organisation dnd the relationships
between them. In today's world one's life is inextricably interwoven with organisations
whether it be governmental, church, army, scPTool, club, public or private. It is in fact
very difficult to think o f organisations without persons and vice versa. Peopl'e in fact
work in organisations, derive benefits from organisation and are influenced by them.
Some times, the organisations may even produce frustrations and oppression.
We have noticed that organisations have been in existence from time immemorial. T h e
nature of organisation has'undergone modifications and with the passage of time, we
find that there are different types of organisations. Based o n the number of people
working in an organisation, they are classified as small or big. A school, with a single
teacher, can be cited as an example of a small organisation. On the other'hand, the
Indian Railways which employs over twenty lakhs of personnel is a good example of a
large organisation. Base'd upon the nature of relationship, organisations are also
categorised as simple o r complex. The family, where the nature of relationship is direct
and the activities are few is good example of a simple organisation. On the o*er hand,
the defence ministry, which is responsible for safeguarding the sovereign interest of the
nation, renders a wide spectrum of services traversing land, sea and air csveripg
different sectors both public and private is a good example of a complex organisation.
Organisations are also classified as formal and informal based upon the significance
attached to the structure or the human side of the enterprise.
For a proper understanding of working of the organisation, it is imperative t o
understand the characteristics and the functions of formal and informal organisations.
20.3 FORMAL ORGANISATION

O n e of the areas in the field of organisation t h e o v that has engaged the attention of
scholars is the role of formal and informal organisations. Formal organisation is o n e
which is deliberately planned and designed and duly sanctioned by the competent
authority. I t is the organisatiob as shown on the organisation chart or as described by.
manuals and rules. It is an organisation as it appears to the observers from outside. I t
is customary foiany organisation to prepare a chart forming the structure, T h e
foIlowing chart would serve as an illustration.
Formal and Informal Orga~lisntions
DEPARTMENT OF FOOD & AGRICULTURE
Minister
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Joint Secretary
4
Deputy Secretary
4
AssistantIUnder Secretary
4
Section OfficerlSuperintendent
4
Senior Assistants
4
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Secretary
Junior Assistants
U
According to Chester Barnard formal organisation is a system of consciously

coordinated activities or forces of two or more persons. Barnard explains that
individuals agree to work in an organisation because they are prepared to contribute
their services and receive in return certain benefits. The working of the postal
departmertt can be given as a good example. The delivery of mail depends upon certain
intei-related activities like sorting of the letters, distribution of mail to the concerned
postmen and delivery at the door step of the individuals concerned. Louis Allen defines
formal organisation as "a system of well defined jobs, each bearing a definite measure
of authority, responsibility and accountability, the whole consciously designed to
enable the people of the enterprise to work most effectively together in accomplishing
their objectives".
Thus formal organisation enables designing of an organisation, idefitification of various

levels for decision-making, all~cationof duties and responsibilities and ensuring
smooth performance.
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26.4 CHARACTERISTICS OF FORMAL ORGANISATION

Formal organisation is the frame through which organised effort is directed for
achieving the goals. It has certain distinct charact~kistics.They are:
0 Legal Status
Division of work
Primacy of structure
Permanence
0 Rules and Regulations
A study of these characteristics would enable you to understand the nature of formal
organisations.
Legal Status
A distinctive feature of formal organisation is that it is bpcked by legal Sanctions. The
establishment of any organisation at the government level requires the enactment by
padiament o r legslature: The Incometax Department owes its existence to the Income
Tax Act. The Municipal ~orporationsof Bombay, Delhi or Hyderabad have come into
existence on the basis of legislation enacted by the respective state legislatures. P~nblic
sector organisations like Life Insurance Coiporation, Food Corporation, etc., were
established on the basis of enactments by the union parliament.
The law which enables the organis tian to come into existence also confers authority.
The personnel Wyrking in the vari us departments in the discharge of their official work
are backed by the authority of law, For instance,, various enforcement agencies
which regulate the activities of either individuals or organisations do so only through
the exercise of authority vested in them: Legal status, is an important feature of formal
~rganisation.
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Concepts in organisation-I
Division of work
Sivision of work, which is the very basis for organisation to come'into existence', is
made possible through formal organisation. Formal organisation which indicates the
levels of management, the designation of officers and their area of operation makes it
very convenient for: the division of work. This enables, as we would see in a later unit,
the,organisation t o specialise in certain tasks or activities and realise the goals
effectively. For example, the managing direytor of an organisation is r7sponsible for the
achievement of the overall objectives of the organisation. However, ~twould be
impossible for him to accomplish the task without dividing the work amongst his
colleagues. When there is division of work, there is also specialisation because each unitconcentfates on the specific task and the officials acquire expertise.
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Primacy of Structure
In formal organisation, the'emphasis is laid on the design and structure. As Unvick has
noted that "absence of structure is illogikal, cl4uel,wasteful and inefficient". The
structure is clearly defined and the roles of individuals working in organisations is
clearly spelled out. The structure also describes the communication flows and the
relationships between members.'
Perrhanence
Forrrial organisations @rerelatively permanent than others. Though they adopt t o
environmental conditions and change the structure and even objectives, they are
generally created to last a long time. The formal organisations not only last long, but
they also grow over time.
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Another important feature of a formal orga"isation is that it functions in accordance

with well-formulated rule's a n d regulations. Officials working in formal organisations
cannot act as per their likes and dislikes but should function within the framework of t h e
stipulated rules and reg,ulations. For instance, if the hank has 'to sanction a loan to an
entrepreneur, the rules and regulations regarding the sanction of the loan should be
followed and the entrepreneur has to fulfil every dondltion laid down. The officer
incharge of sanctioning loans strictly follows these rules and regulations. Rules and
regulations limit thediscretion of the officials who exercise authbrity and ensure
objectivity.
Rules and .kegulations

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2 0 3 FUNCTIONS OF FDRMAL ORGANXSATION -
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Formal organisation undertakes several functions. In the first place, it facilitates

determinationof gbals and objettives in the absence of which it would be&difficultto
direct skills o'f men and women to accomplish the stated goals. For inktance, the
gbje~tiveof the postal depar'tment is to ensure speedy and efficient delivery of mail t o
the citizens. The objective of the defence ministry is to prbtect the sovereignity and
integrity of the country against any form of external aggression.
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Formal oiganisation spells' out the nature and scope of the activities of different units
within fhe oiganis~tion.In the case of the defence ministry ,"thearmy, navy and air force
are assigned sprtific roles to guard the land, sea and air.
Formal organisation also facilitates the fulfilment of another importai;t function,

namely, coordination. For ihstance, the sub-inspector of a police station coordinates
the:activities of several &ad constables. The circle inspectors coordinate the activities
of several police stations each under the control o f a sub-inspector. Every higher level
functionary coordinates theactivities of the officers imwediately below him.
and pathways
~ c c o r d i tno~Allen, fdrrnal organisation sets up boundaries, sign
which must be:followed. It provides basic structure through which government o r any
other enterprise functions..The dis!inctive feature of formal organisation is the
impersonal relationship. Impersonal relation contributes to objectivity and
dispassionate examination of isshes involved so that the decisions can b e taken on-the
meritspf the case. For example; in a cour$'bf law, judgements are delivered on the basis
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of evidence presented before the judge rathern than on an) other extraneous
consideration. In financial matters, an auditor who is exanlining the Elnancisl
traneactions should beguided by theafinancial rules, receipts iind vouchers iirmd
documentary evidences.
Note: i) Use tile space below for your answers.
ii) Check your answers with those given at the end of the u11it.
1 What is an organisation?
2 Define a formal organisation
3 .Explain the characteristics of a formal organisation.
4 Describe the functions of a formal organisation.
rrtal and l~~formal

Orfi,?nis~tir*r~s
20.6 INFORMAL ORGANISATION

To obtain a total picture of any organisation, we must :ilso consider the i~iformal
structure. This is found in those aspects of structure which, while not prescribed by
formal authority, supplement or modify the formal structure. As in case of formal
organisation, Chester Barnard also highlights the significance of informal o~anisation.
According to him, informal organisation is the aggregate of personal contacts and
interactions and the associated grouping of people. Informal organisation is also *
defined as the pattern of actual behaviour of people working in an organisation. While
the forma1organisation emphasises on the structure, informal organisation emphasises
.
on personality and human emotions. The superior-subordinate relations between
important officers niay be influenced by the commanding personality or the powerful
connections of the subordinates.
Most of the administrators are fully aware of the inevitability of the informal structure.
Adnlinistrators at all levels normally associate themselves with one or more informal
groups "buddies" from inside or outside the organisations. Presidents and Prime
Ministers have kitchen cabinets to aid and assist them. Members of this group may be
more influential than the more visible and formally established cabinets and their
committees. In any organisation, in addition to the formal channelsof ctsmmunication,
the .executivesalso rely upon informal communication lines. The 'grapevine' provides
very important information to the administrators about what the official actually feels
about the tasks and responsibilities and vice-versa.
Thus informal organisations are often viewed as shadow organisations and as silhouette
of formal organisations. They are ill-defined and difficult ta determine. They do not
have definite organisational goals. The relations between members, therefore, are not
specific. Spontaneous, unofficial and unstructured relations lead to favourable
sentiments which'in turn increase the interactions and strengthen the bonds of
identification. Because of informal nature, absence of goals and unstructured
relationships, the formal system of controls do nqt operate in informal organisations.
20i7 WHY INFORMAL ORGANISATION?

We have discussed in Block 2 that the individuals have needs and requirements which
they wish to satisfy. The formal organisatians do not satisfy all the needs of individual
members. Therefore, the members try to seek'satisfaction of their needs through other
sources. This results in the formation of informal organisations.
--
Hicks and Gullett identified several factors that cause the emergence of informal
organisations. We will now discuss some of these factors. Firstly, the individuals join a n
informal organisation to satisfy their social needs. As we have discussed in u n i t 13
:
individuals desire affiliation, relationships and desire companionship. If these needs ."
are not satisfied, he feels isolated~andgets dissatisfied. Similarly we have seen in Unit
10 hodMay0 explained that individuals when working in groups derive greaer
satisfaction. Thus, informal organisation comes into existence to fulfil social needs of
individuals.
Secondly, as Ch.ester Barnard has noted, individual derives personal comfort in soiial
relations whiclr is called solidarity, social integration or social security. Through social
contact, individual satisfies a need for identification and belonging. Infornlal
organisations provide greater opportunities for the individuals to prove their
capabilities which the formal organisations cannot provide.
Thirdly, every individual expeiiences tensions and frustrations in the drganiFations
while performing their jobs. T o overcome this, they seek compassion and
understanding. These are provided by the informal organisations. They serve as
'ielease vhlves' and in them indi\;iclua.ls find sympathetic friends who had similar..
experience.
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Fourthly, informal organisations enable the inember6to get assistance in meetifig their ,
organisational objectives. As a student gets assistance of his fellow students, members
of organisations get the assistance and guidance from.their colleagues and co-workers
t o fulfil their organisational objectives.
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Fifthly, informal organisations provide opportunities \O individuals to release thc:ir

creative talents. Spontaneity is encouraged and even protected by the informal
organisations.
Fap ntnl nnd bndirrsral orrani.-ntii fa*
Sixthly, every organisation has certain values, preservation of which is dearer to the,
group. These values have to be developed and perpetuated.'~na formal system this is
not possible as the values of the individual may not be in consonance with the values of
the organisation. But informal organisation provides such opportunities.
Finally, members of an organisation always want to know what is going on ir! thcil
organisations. 'The formal channels of communicatiori are always slow, sometimes the
information is poorly transmitted and even blocked. The informal organisations
develop systems or channels of communicationwhich travel very fast. This has the
advantage of enabling the members of the organisation to know about the forthcoming
events and adjust themselves to the reqtriTiements.
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ORGANISATION
Informal organisationhas several unique characteristics. Firstly, in these organisations,

members think and act alike. Their continuous association leads to shared values. Any
violation of these shared values results in group pressure and even ostracism. Thus,
infomal organisations, standards of behaviour are enforced.
Secondly, informal organisation brings pressure on the members to conform to the
standards of behaviour accepted by the group. Since members of the group desire
satisfaction from their association, they tend to conform to the group pressures. As we
have noted earlier any deviation from the accepted standards of behaviour results in
punishment and even ostracism.
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Finally, in informal organisations, one finds a different style of leadership. In formal

systems, members follow the leader because of their formal position or exercise of
authority. But in informal organisations members follow the leader because of his
influence. As Mary Parker Follett has noted that leaders emerge out of situatit?xlsand
they lead as long as situation warrants. But in informal organisation, leader must live
up to the expectations of the group. If he fails he is thrown out which is nor possible in
formal systems.
20.9 DYSFUNCTIONS OF INFORMAL B
RGAN~FC
Informal organisation no doubt, helps the formal organisation in many ways. It

contributes the missing elements to tbe members of the formal organisations. But it has
a few problems and dysfunctions as well.
We have seen earlier that the inforyal organisation provides much faster modes of
communications. This is no doubt a more constructive role. This communication
system, which is often called grape vine, is vulnerable for spreading inaccurate,
incomplete and distorted information. Spreading of such rumours creates confusion
and consequently several prqblems to the organisation.
Second!y, we have seen that informal orgqnisations come into exir;fenceto ierpetuatc
., certain values, which in other words may mean perpetuation of status quo. It is
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generally believed that formal organisation always reslsts change. In the guise of custom
and convention in formal org'anisation quitk often measures which are in the interest of
the organisation are resisted. Thirdly insistence of confirmity to group standards has
also its own dysfunctionalities. Quite often, this may lead to pressure on the individuals
to restrict their productivity. Taylor called this 'systematic solde~jng,;T~is
drslunctionality is not in 'the hterest of the organisations.
Concepts in Organisatinn-P
20,410 INTERDEPENDEN.GEOF'FORNBALAND
INFORMAL ORGANISATION
For a'proper understanding of the working of organisations, a thorough knowledge of
formal and informal organisations, their inter-relationships and the supportive roles
need to be properly understood and appreciated. Formal organisation and informal
organisation are two opposite sides of the same coin. A society is structured by formal
organisations and they are vitalised and conditioned by informal organisation. What is
asserted is that there cannot be one without the other. No organisation can be fully
understood b y the study of its formal structure only. A meaningful insight into the
personalities of its key men and the roles they play are equally necessary to understand
the dynamics of a working organisation. Management in future must be able to
understand the goals and aspirations of individuals, group dynamics, informal aoles,
etc. Theinformal communication or the grapevine provides important leads to the chief
executive in any organisation which may enable him to take appropriate decision as the
situation warrants. Any result-oriented administrative system should be able to achieve
-a proper blend of both formal and informal aspects of organisation so as to perform
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effectively.
heck Your Progr6ss 2

~ t e :i) Use the space below for your answers.
1 What is an informal organisation?
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2 Why Informal organisations are created?
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3 What are the characteristics of an informal organisation.?
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....... :C Formal und Infaripal Orparisations
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4'What are the dysfunctions of an informal organisation?.
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5 How do formal and informal organisations supplement each other?
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20.111 LET US SUM UP
organisations come into existence to undertake certain functions to reqlise cerkain

objectives.
. , wll*il or big, simple or complex or formal and informal. Formal
organisafions ale clkacterised by legal status, primacy of structure, division of work,
permanence and rules and regulations. 'They facilitate determination of goals, nature
of activities and ensure coordinatidn. Informal organisations, on the other hand, satisfy
social needs of its members, act as a 'release valve' and provide opportunity for the
release of creative talents. In Informal organisations there is identity of views and type
of leadership which is different from formal organisations.
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20.12 KEY WORDS

Auxiliary: Additional
Cuordination: Bringing about cooperation and terrm work among employees of an
organisation by rcmoving conflicts and overlappirig from administration.
Extraqeous: External
Grapevine : B ~ i d formal
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communication channels, every organisation has an infbri~lai
commur~icationchatlnel which is referred to as grapevine.
Ostracism: To exclude or banish from a particular group or society.
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Sibomlette: The outline of a solid figure as cast by its shadow.
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20.13 ~ O M E
USEFUL BOOKS
Avasthi A. 62 Maheshwaki, 1985 Public Administration; Lakshmi Narain Agarwal:
Agra:
Barnard Chester, I., 1954. The Functions of the Executive; Harvard University Press:
Cambridge.
Brech, E.F.,
1957. Organisation: The Framework of Management; Longman Green &
Co. Lid. : London.
Gladden, An Pns"rodurtionto Public Administration; London Staples Press: London
Herbeyt G. Hicks & C. Ray Gullett, 1975. Organisations: Theory and Behaviour;
McGrawHill International Book Nouse: New Delhi.
John Id. Peffner and Frank M.Sherwood, 1968. Administrative Organisation;
Prentice-Wall of India : New Delhi
~ e i t ~h a v i s1981.
;
Numan Bohaviourat Work: Organisation Behaviour; Tata McGraw
Hill Publishing Company: New Delhi.
Louis A. Allen, 1958.Management and Organisation;McGraw Hill Kogaku@J.,td.:
Eondon.
Sharrna M. P., 1983. Public Administration Theory and Practice (14th edition); Kitab
Mahal: Delhi.
-20,14 ANSWERS TO ~ H E C KYOUR PROGRESS

- EXERCISES
Check Y ~ u Progress
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1 See Sec. 20.2

2 See Sec. 20.3
3 See Sec. 20,4
4 see Sec. 20.5
Check Your &ogress 2
1 See Sec.'20.6
2 .See Sec. 20.7
3 See Sec. 20.8
4 See Sec. 20.9
5 Sce Sic. 20.10
UNIT 22 HIERARCHY
Structure
22.0 Objectives
22.1 Introduction
22.2 Meaning and Definition
22.3 Importanre
22.4 Basic Features
22.5 Level Jumping
22.6 Advantages
22.7 Disadvantages
22,8 Practical Usage
22.9 Let Us Sum Up
22.10 Key Words
.22.12 Answers to Check Your Progress Exercises
22.0 OBJECTIVES
After studying this unit, you should be able to:
e explain the meaning of the concept of hierarchy
% understand the importance of hierarchy
% describe the basic features of hierarchy; and
e discuss its advantages and disadvantages.
22.1 INTRODUCTION
In this unit, we shall be discussing one of the important principles of organisation ;.e.,
hierarchy. The hierarchy integrates the variou~~units
of an organisation, which are
divided on the bases of specialisation, through an interlocking system of superior and
subordinate relationship from top to bottom. The meaning, definition, basic features
and advantages and disadvantages of hierarchy are discusdd.in this unit.
' 22.2 MEANING AND DEFINITION

Literally, the term 'hierarchy means the rule or control of the higher over the lower.
In administration, hierarchy means a graded organisation of several successive steps or
levels which are interlinked with each other. It is a method where the etforts of various
individuals in an organisation are integrated with each other. In every large-scale
organisation, there aie a few who command and there are others wwo are commanded.
This leads to the creatior of superior-subordinate relationship through a number of
Je~clsof respondibilij reaching from rhetop\down ta the bottom ok an organisatbn. A
pyramidical type of structure is built up in an organjsation which Mooney and Reiley
call the 'Scalar Process . In organisation, scalar means the grading of duties according
to degrees of authority and corresponding responsibility, According to Mooney, this
scale or scalar chain is a universal phenomena. Wherever we find an organisation of
people related as superior and subordinate, we have the scalar principle.
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'dnrious people have defiixd hierarchy in different ways. L.D. 'VUhitesays: "Hierarchy
consists of the universal application of the superior-subordinate relationship through a
number of levels of responsibility reaching from the top to the bottom of the structure".
In other words, hierarchy means control of the'higher over the lower. In administration,
hierarchy means a graded organisation of several successive steps or levels. It is also
known'as the 'Scalar Principle7. This is derived from the word 'Scale' which means
ladder. Just as there are steps ir, a ladder there are successive levels in hierarchy.
Mooney and Reiley have, therefore, called it as "The Scalar Process". Earl Latham has
defined hierarchy as "an ordered structure of inferior and superior beings in an
ascending scale. Th,e good chief dwells at the apex from which, with his terrible eye, he
can search out the hearts of his lowest subordinates and mould their deed to his
command". Ilierarchy means the grouping of units into a large unit for direction and
control of activities. It is the method whereby the efforts of various individuals are
geared together t o achieve a goal through a system of inter-locking superiorsubordinate relationship from top to bottom. J.D. Millet defined hierarchy as a method
whereby efforts of different individuals are geared together"
Every organisation has a purpose. In order to achieve that purpose, it divides its jobs
into various functions or units. These units are further divided into sub-units until one
reaches the base. In an organisation, which is arranged hierarchically, authority descends
from the top to the bottom step by stepor level by level. In hierarchy, one has to goup
or down step by step. There are several levels of authority and responsibility. Every
employee has to obey the orders of his superior and issue orders t o his subordinates.
Thus, hierarchy heconles a rneans of communication and a chafn of command among
various levels of authority. The principle of hierarchy demands that no intermediate
level be skipped over or jumped while dealing with higher or lower levels. This is known
as functioning 'through the proper channel'. Hence, all communication should come
from the immediate superior o r the immediate subordinate whichever is relevant.
Every officer retains the necessary authority with him and delegates the rest to his
subordinates. Hierarchy, thus, gives rise to different levels of decision-making. Because
of hierarchical set-up the chief executive can issue orders to any level in the organisation
and allocate responsibility.
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22.3 IMPORTANCE
It is difficult to think of an organisation without hierarchy. Organisation is essentially '
the division of functions among a given number of persons. The distribution of functions
and responsibilities is both horizontal and vertical. An organisation structure grows '
both vertically and horizontally. When more and more levels are added in an
organisation, it is called vertical growth. But when more functions o r more positions are
added without increasing the number of levels, it is called horizontal growth. Vertical
distribution creates levels like top management; middle management, supervisors and i
the level of specific performa~~ce.
Strictly speaking, these levels do not denote inherent .
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of various levels, the difference in the salary scales and the difference in the
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qualification andqualities of the personnel working at.various levels, superior
subordinate relationship does emerge in the organisation.
The need for the scalar system is realised because of two reasons, viz.,
i) The division of work into its most economic parts with a view t o pursuing the ideal
of task specialisation so essential to managerial philosophy.
ii) The patterns of integrating the voluminous behaviours and actions of the
specialisations into one combined effort.

1 What is the meaning of hierarchy?
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2' Explain the importance of hierarchy as a principle of organisation.
22.4 BASHC FEATURES
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The following are some of the important features gf hierarchy:

o The entire administrative function is tjivided into tmits,aaad sub-units.
o These units are organised in the formof a pyramid owe below the other
e Authority is distributed to various levels.
e Hierarchical organisation observes the principle of 'through proper channel'.
@ All commands and communications should come bhaoagh proper channel. No
intermediate level can be ignored.
o A person receives orders only f r m one superior officer ahd hot from anybody elSe.
This means the principle of unify of command is obsewed.
@ Authority and responsibility are adequately combined. Authority without
responsibility is dangerous, while responsibility without authority is meaningless.
The principle of hierarchy can .be illustrated as follows:
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In the above diagram, A is at the apex ofthe organisational pyramid. He is the head of
the organisation. B is A's subordinate. C is the immediate subordinate of B and also
subofdinate to A. Thus, if we go down the line, F is the immediate subordinate of E and
also subordinate to A. Thus orders flow from top to bottom, namely, from A to B, B
1 to C, C to D, D to E and E to Fand communications from bottom to top, namely, F to
,
E, E to D and sozln, The same is true on the other s ~ dof
e the triangle A.K. 1f'Auwants
, to ispue an order to F, it has to travel through IP. C, 0,E and if F has to communicate
to K, it has to travel through E, D, C, B and A and descend from A to K step by step.
F.A.K.in this diagram represents the line of authority linking the entire organisation.
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The travel of orders from A to F step by step in a descending order, and the flow of
communication from F to A in an ascending order is called conimunication "thropgh
proper channel".
.This principle also can be explained through the following example:

2 Section Officer J,
2 Superintendent $
9 Head Clerk
4
Communications
Clerk
Orders
If the Section Officer wants to issue an order to the clerk, it should go through the
Superintendent and Head Clerk and then only to the clerk. Similarly a proposal from
the clerk to the Section Officer should travel only through the Head Clerk and
Superintendent to reach the Section Officer.
22.5 LEVEL JUMPING

In actual practice, short cuts are found to avoid delay without violating the essential
principle of hierarchy. There are two ways of doing it. Henry Fayol suggests that a
bridge can be thrown across the formal lines of authority of the hierarchy so that
subordinate officers in one departmentinay contact their opposite members in other
Concepts in Orgaaisatinn-1
departments directly. F and K in the above diagram may deal with each other directly
without following the rule of through proper channel. It is shown in the dotted lines.
Before short circuiting the procedure, they should obtain the permission of other
superiors t o do so. Or, in order to expedite the work, they can also contact each other
without the prior permission of their superiors. But, they should keep their superiors
duly informed of what transpired between them.
Secondly, one o r more intermediate levels may be jumped to establish direct contact
between officers and quicker1 the pace of work. This is known as 'level jumping'. A can
deal directly with C if C tells B what was discussed by him with A. A few years back,
the government of India started what is known as 'file-jumping experiment' to skip over
the intermediate levels in the hierarchy and make the files reach directly to the decisionmaking authority.
Hence, with proper confidence and loyalty between superiors and subordinates at each
level, the delay of the hierarchical organisation can be very much reduced, if not
altogether eliminated. Both the short-cuts discussed above play a significant part in
reducing delay. As Urwick rightly observes, "Every organisation must have its scalar
chain just as every house must have its drain but it is unnecessary to use this channel
frequently as the sole means of communication, as it is unnecessary to pass one's time
in the drain".
--
."

1 What are the basic features of hierarchy?
2 What is IeveI jumping?
22.6 ADVANTAGES
--
......
The following are some of the advantages of application of hierarchical principle in

organisation:
1 ~ v elarge-scale
r ~
organisationshould have a unity of purpose, which can be achieved
only through hierarchical system.
r
.'
i . - ,
,
28
*
1
2 Hierarchy integrates various units of an organisation into an unified whole. As

observed by M.P. Sharma, "It is an instrument of organisatiorlal integration and
coherence. It is to the organisational structure what mortar or cement is to building
structure".
3 It serves as a channel of communication, both upwards and downwards in an
organisation. It makes clear to every official as to with whom he is to deal with.

4 It enables us to fix responsibility at each level and at each post in the organisation.
Every employee knows what his position and responsibility are in the organisation
and to whom he is accountable.
5 The scale of 'throgh proper channel' created by the, principle of hierarchy ensures
strict adherence to procedure and avoids short-circuiting or ignoring of the .
intermediate links.
6 Hierarchy lessens, the burden of work at the highest level and decentralises decisionmaking. It establishes a number of subordinate levels below the top executive. Each
subordinate level acts as a centre of decision for specified matters delegated to it.
Every employee of.the organisation is trained to take de'cisions and guide his
subordinates. A t the same time, it relieves the chief executive from the burden of
work and promotes a sense of belonging among the subordinates.
7 It simplifies the procedure of movement of files because of strict adherence tothe
rule of 'through proper channel' and makes it easy to know where a particular file is.
The following are some of the disadvantages of application of principle of hierarchy in

organisation:
1 In the hierarchical system, directions flow from above to down below. Those down
below are expected to carry out mechanically the instructions of their superiors
without any initiative and drive.
2 It brings about rigidity in administrative organisation and is not proper for the
development of dynamic human relationships among its members.
3 The success or failure of this system vcry much depends on the personal likings of the
head of the organisation. If he can bring life and personal touch in the organisation,
it is bound to be a success. Othenvisc, it is bound to be a failure.
i'
4 The most serious disadvantage of the hierarchical organisation is that it causes
inordinate delay in the disposal of work. In the above diagram, we saw how according
to the strict rule of through proper channel, a communication from F to K must travel
through E, D, C , B, A , G, H, I, K and b&k again, in all 20 steps. This may mean
inordinate delay.
22.8 PRACTICAL USAGE

It is necessary to examine whether authority is exercised through the principle of
hierarchy or not in day-to-day matters of administration. According to some critics like
Earl Latham, it is wrong to think that superior officers exercise authority over the
subordinates indiscriminately. It may be said that subordinates obey the orders of their
superiors because the latter possesssuperior knowledge due to their rich experience.
Sometimes, it is true that.the subordinates possess more information due to their
handling of the problems than their superiors. It is exactly because of this reason, the
decisions of the subordinates would be accepted by their superiors.
It may be stated that in practice an organisation does not work only on the formal
principle of hierarchy, As you have already studied in Unit 20, informal relationships
exist in each and every organisation. In the words of Nigro: "An organisation is more
than its structure and its official relationships as spelled out in its organisation charts
and manuals. .... .Organisation is also a social system in which its members develop
patterns of behaviour which ;~ctuallymay deviate from official directives. This is called
the informal organisation and an appreciation of its role is indispensable to the
undcrstanding of any agency".
Hierarchy
!
Concepts in ~rganisntian-I

1 What are the advantages of hierarchy?
...........................................................................................
2 What are the disadvantages of hierarchy?
.....:..............................................................................................
3 Can you suggest some measures to overcome the disadvantages of hierarchy?
22.9 LET USSUM UP

Hierarchy is a uni~ersallyaccepted principle of organisation. It emphasises the need for
organic relationship between superiors and subordinates. The rule of 'through propcr
channel' is the essence of hierarchy. It is apyramidical type of organisation with an apex
at the top and base at the bottom'and in between there are several successive levels
which are both vertical and horizontal. In other words, it is a ladder of authority with
various steps. Communications and orders should go up or come down from each step.
Any violation would result in confusion and distrust. As a principle of organisation, if
serves as a channel of communication both upwards and downwards, ensures adherence
to procedures, decentralises decision-making and lessens the burden of the chief
executive. Delay is the most serious disadvantage of this principle. But, two short-cdts
have been devised to reduce delay viz. 'throwing of bridges across the formal lines of .
authority and 'level jumping' in urgent matters. The advantages of hierarchy overweigh
the disadvantages associated with it. By arid large, organisations do not function only
on formal lines. Informal relationships exist in each and every organisation. The
superiors and the subordinates work together in an atmosphere of harmony and
comradeship because of informal relationship between them and not because of only
formal ties. Hierarchy is a built-in device to achieve consensus and realise the goals for
which an organisation is established.
22.10 KEY WORDS

Adherence: Sticking to
Communication: Flow of information upwards, downwards and sideways in an
organisation
Consensus: General agreement
Expedite: To facilitate speed up the progress
22A 1 SOME USEFUL BOOKS

Avasthi A and Maheshwari. S. R.. 1985. PublicAdministra~i6rr(14th rev. Ed); Lakshrni
Narain Agarwal : Agra.
Bhattacharyz. Mohit. 1974. Public Administration; The World Press Private Ltd:
Calcutta.
Dimock, Marshal Edward and Dimock, Gladys Ogden, 1975. Public Administration
(Third Ed); Oxford & IBH Publishing Co: New Delhi.
Gulick Luther & Urwick L. 1937. Papers on thescience ofAdministration (Eds); Public
Administration Service: New York.
Mooney J.D., 1957. Principles of Organisation; Harper: New York.
Mooney J.D., 1970. The Scalar Principle in William Lexton ( E d ) Organisation
Theories; Charles Marrel Co. Columbus. Ohio,
Simon, Herbeft, 1957. Administrative Behaviour: A study of ~ e c i s i o nMaking Process
in Administrative drganisation; The Free Press: New York.
I
'
Sharma, M.P., 1983. Public Administration in Theory & Practice 14th ed; Kitab Mahal:
Allahabad.
Tyagi, A . R . ,1981. Public Administration: Principles & Practice (6th rev. ed), Atma
Ram & Sons: Delhi.
EXERCISES
1 See Sec. 22.2 and 22.3
2 See Sec. 22.2
1 See Sec. 22.4
2 See Sec. 22.5
1 See Sec. 22.6
2 See Sec. 22.7
3 See Sec. 22,8
'
UNIT 22 HIERARCHY
Structure
22.0 Objectives
22.1 Introduction
22.3 Importanre
22.4 Basic Features
22.5 Level Jumping
22.6 Advantages
22.7 Disadvantages
22,8 Practical Usage
22.9 Let Us Sum Up
22.10 Key Words
.22.12 Answers to Check Your Progress Exercises
22.0 OBJECTIVES
e explain the meaning of the concept of hierarchy
% understand the importance of hierarchy
% describe the basic features of hierarchy; and
e discuss its advantages and disadvantages.
22.1 INTRODUCTION
In this unit, we shall be discussing one of the important principles of organisation ;.e.,
hierarchy. The hierarchy integrates the variou~~units
of an organisation, which are
divided on the bases of specialisation, through an interlocking system of superior and
subordinate relationship from top to bottom. The meaning, definition, basic features
and advantages and disadvantages of hierarchy are discusdd.in this unit.
' 22.2 MEANING AND DEFINITION

Literally, the term 'hierarchy means the rule or control of the higher over the lower.
In administration, hierarchy means a graded organisation of several successive steps or
levels which are interlinked with each other. It is a method where the etforts of various
individuals in an organisation are integrated with each other. In every large-scale
organisation, there aie a few who command and there are others wwo are commanded.
This leads to the creatior of superior-subordinate relationship through a number of
Je~clsof respondibilij reaching from rhetop\down ta the bottom ok an organisatbn. A
pyramidical type of structure is built up in an organjsation which Mooney and Reiley
call the 'Scalar Process . In organisation, scalar means the grading of duties according
to degrees of authority and corresponding responsibility, According to Mooney, this
scale or scalar chain is a universal phenomena. Wherever we find an organisation of
people related as superior and subordinate, we have the scalar principle.
7
'dnrious people have defiixd hierarchy in different ways. L.D. 'VUhitesays: "Hierarchy
consists of the universal application of the superior-subordinate relationship through a
number of levels of responsibility reaching from the top to the bottom of the structure".
In other words, hierarchy means control of the'higher over the lower. In administration,
hierarchy means a graded organisation of several successive steps or levels. It is also
known'as the 'Scalar Principle7. This is derived from the word 'Scale' which means
ladder. Just as there are steps ir, a ladder there are successive levels in hierarchy.
Mooney and Reiley have, therefore, called it as "The Scalar Process". Earl Latham has
defined hierarchy as "an ordered structure of inferior and superior beings in an
ascending scale. Th,e good chief dwells at the apex from which, with his terrible eye, he
can search out the hearts of his lowest subordinates and mould their deed to his
command". Ilierarchy means the grouping of units into a large unit for direction and
control of activities. It is the method whereby the efforts of various individuals are
geared together t o achieve a goal through a system of inter-locking superiorsubordinate relationship from top to bottom. J.D. Millet defined hierarchy as a method
whereby efforts of different individuals are geared together"
Every organisation has a purpose. In order to achieve that purpose, it divides its jobs
into various functions or units. These units are further divided into sub-units until one
reaches the base. In an organisation, which is arranged hierarchically, authority descends
from the top to the bottom step by stepor level by level. In hierarchy, one has to goup
or down step by step. There are several levels of authority and responsibility. Every
employee has to obey the orders of his superior and issue orders t o his subordinates.
Thus, hierarchy heconles a rneans of communication and a chafn of command among
various levels of authority. The principle of hierarchy demands that no intermediate
level be skipped over or jumped while dealing with higher or lower levels. This is known
as functioning 'through the proper channel'. Hence, all communication should come
from the immediate superior o r the immediate subordinate whichever is relevant.
Every officer retains the necessary authority with him and delegates the rest to his
subordinates. Hierarchy, thus, gives rise to different levels of decision-making. Because
of hierarchical set-up the chief executive can issue orders to any level in the organisation
and allocate responsibility.
:
II
,
t
'
22.3 IMPORTANCE
It is difficult to think of an organisation without hierarchy. Organisation is essentially '
the division of functions among a given number of persons. The distribution of functions
and responsibilities is both horizontal and vertical. An organisation structure grows '
both vertically and horizontally. When more and more levels are added in an
organisation, it is called vertical growth. But when more functions o r more positions are
added without increasing the number of levels, it is called horizontal growth. Vertical
distribution creates levels like top management; middle management, supervisors and i
the level of specific performa~~ce.
Strictly speaking, these levels do not denote inherent .
'
superiority o r inferiority. However, due to the difference in the nature of responsibility
i
of various levels, the difference in the salary scales and the difference in the
1
qualification andqualities of the personnel working at.various levels, superior
subordinate relationship does emerge in the organisation.
The need for the scalar system is realised because of two reasons, viz.,
i) The division of work into its most economic parts with a view t o pursuing the ideal
of task specialisation so essential to managerial philosophy.
ii) The patterns of integrating the voluminous behaviours and actions of the
specialisations into one combined effort.

1 What is the meaning of hierarchy?
.............
..........................
,
#
I
1
............................................................ I
,
...................................................................................................
2' Explain the importance of hierarchy as a principle of organisation.
22.4 BASHC FEATURES
I
I
I
1
The following are some of the important features gf hierarchy:

o The entire administrative function is tjivided into tmits,aaad sub-units.
o These units are organised in the formof a pyramid owe below the other
e Authority is distributed to various levels.
e Hierarchical organisation observes the principle of 'through proper channel'.
@ All commands and communications should come bhaoagh proper channel. No
intermediate level can be ignored.
o A person receives orders only f r m one superior officer ahd hot from anybody elSe.
This means the principle of unify of command is obsewed.
@ Authority and responsibility are adequately combined. Authority without
responsibility is dangerous, while responsibility without authority is meaningless.
The principle of hierarchy can .be illustrated as follows:
1
I
In the above diagram, A is at the apex ofthe organisational pyramid. He is the head of
the organisation. B is A's subordinate. C is the immediate subordinate of B and also
subofdinate to A. Thus, if we go down the line, F is the immediate subordinate of E and
also subordinate to A. Thus orders flow from top to bottom, namely, from A to B, B
1 to C, C to D, D to E and E to Fand communications from bottom to top, namely, F to
,
E, E to D and sozln, The same is true on the other s ~ dof
e the triangle A.K. 1f'Auwants
, to ispue an order to F, it has to travel through IP. C, 0,E and if F has to communicate
to K, it has to travel through E, D, C, B and A and descend from A to K step by step.
F.A.K.in this diagram represents the line of authority linking the entire organisation.
'. ,
The travel of orders from A to F step by step in a descending order, and the flow of
communication from F to A in an ascending order is called conimunication "thropgh
proper channel".
.This principle also can be explained through the following example:

2 Section Officer J,
2 Superintendent $
9 Head Clerk
4
Communications
Clerk
Orders
If the Section Officer wants to issue an order to the clerk, it should go through the
Superintendent and Head Clerk and then only to the clerk. Similarly a proposal from
the clerk to the Section Officer should travel only through the Head Clerk and
Superintendent to reach the Section Officer.
22.5 LEVEL JUMPING

In actual practice, short cuts are found to avoid delay without violating the essential
principle of hierarchy. There are two ways of doing it. Henry Fayol suggests that a
bridge can be thrown across the formal lines of authority of the hierarchy so that
subordinate officers in one departmentinay contact their opposite members in other
Concepts in Orgaaisatinn-1
departments directly. F and K in the above diagram may deal with each other directly
without following the rule of through proper channel. It is shown in the dotted lines.
Before short circuiting the procedure, they should obtain the permission of other
superiors t o do so. Or, in order to expedite the work, they can also contact each other
without the prior permission of their superiors. But, they should keep their superiors
duly informed of what transpired between them.
Secondly, one o r more intermediate levels may be jumped to establish direct contact
between officers and quicker1 the pace of work. This is known as 'level jumping'. A can
deal directly with C if C tells B what was discussed by him with A. A few years back,
the government of India started what is known as 'file-jumping experiment' to skip over
the intermediate levels in the hierarchy and make the files reach directly to the decisionmaking authority.
Hence, with proper confidence and loyalty between superiors and subordinates at each
level, the delay of the hierarchical organisation can be very much reduced, if not
altogether eliminated. Both the short-cuts discussed above play a significant part in
reducing delay. As Urwick rightly observes, "Every organisation must have its scalar
chain just as every house must have its drain but it is unnecessary to use this channel
frequently as the sole means of communication, as it is unnecessary to pass one's time
in the drain".
--
."

1 What are the basic features of hierarchy?
2 What is IeveI jumping?
22.6 ADVANTAGES
--
......
The following are some of the advantages of application of hierarchical principle in

organisation:
1 ~ v elarge-scale
r ~
organisationshould have a unity of purpose, which can be achieved
only through hierarchical system.
r
.'
i . - ,
,
28
*
1
2 Hierarchy integrates various units of an organisation into an unified whole. As

observed by M.P. Sharma, "It is an instrument of organisatiorlal integration and
coherence. It is to the organisational structure what mortar or cement is to building
structure".
3 It serves as a channel of communication, both upwards and downwards in an
organisation. It makes clear to every official as to with whom he is to deal with.

4 It enables us to fix responsibility at each level and at each post in the organisation.
Every employee knows what his position and responsibility are in the organisation
and to whom he is accountable.
5 The scale of 'throgh proper channel' created by the, principle of hierarchy ensures
strict adherence to procedure and avoids short-circuiting or ignoring of the .
intermediate links.
6 Hierarchy lessens, the burden of work at the highest level and decentralises decisionmaking. It establishes a number of subordinate levels below the top executive. Each
subordinate level acts as a centre of decision for specified matters delegated to it.
Every employee of.the organisation is trained to take de'cisions and guide his
subordinates. A t the same time, it relieves the chief executive from the burden of
work and promotes a sense of belonging among the subordinates.
7 It simplifies the procedure of movement of files because of strict adherence tothe
rule of 'through proper channel' and makes it easy to know where a particular file is.
The following are some of the disadvantages of application of principle of hierarchy in

organisation:
1 In the hierarchical system, directions flow from above to down below. Those down
below are expected to carry out mechanically the instructions of their superiors
without any initiative and drive.
2 It brings about rigidity in administrative organisation and is not proper for the
development of dynamic human relationships among its members.
3 The success or failure of this system vcry much depends on the personal likings of the
head of the organisation. If he can bring life and personal touch in the organisation,
it is bound to be a success. Othenvisc, it is bound to be a failure.
i'
4 The most serious disadvantage of the hierarchical organisation is that it causes
inordinate delay in the disposal of work. In the above diagram, we saw how according
to the strict rule of through proper channel, a communication from F to K must travel
through E, D, C , B, A , G, H, I, K and b&k again, in all 20 steps. This may mean
inordinate delay.
22.8 PRACTICAL USAGE

It is necessary to examine whether authority is exercised through the principle of
hierarchy or not in day-to-day matters of administration. According to some critics like
Earl Latham, it is wrong to think that superior officers exercise authority over the
subordinates indiscriminately. It may be said that subordinates obey the orders of their
superiors because the latter possesssuperior knowledge due to their rich experience.
Sometimes, it is true that.the subordinates possess more information due to their
handling of the problems than their superiors. It is exactly because of this reason, the
decisions of the subordinates would be accepted by their superiors.
It may be stated that in practice an organisation does not work only on the formal
principle of hierarchy, As you have already studied in Unit 20, informal relationships
exist in each and every organisation. In the words of Nigro: "An organisation is more
than its structure and its official relationships as spelled out in its organisation charts
and manuals. .... .Organisation is also a social system in which its members develop
patterns of behaviour which ;~ctuallymay deviate from official directives. This is called
the informal organisation and an appreciation of its role is indispensable to the
undcrstanding of any agency".
Hierarchy
!
Concepts in ~rganisntian-I

1 What are the advantages of hierarchy?
...........................................................................................
2 What are the disadvantages of hierarchy?
.....:..............................................................................................
3 Can you suggest some measures to overcome the disadvantages of hierarchy?
22.9 LET USSUM UP

Hierarchy is a uni~ersallyaccepted principle of organisation. It emphasises the need for
organic relationship between superiors and subordinates. The rule of 'through propcr
channel' is the essence of hierarchy. It is apyramidical type of organisation with an apex
at the top and base at the bottom'and in between there are several successive levels
which are both vertical and horizontal. In other words, it is a ladder of authority with
various steps. Communications and orders should go up or come down from each step.
Any violation would result in confusion and distrust. As a principle of organisation, if
serves as a channel of communication both upwards and downwards, ensures adherence
to procedures, decentralises decision-making and lessens the burden of the chief
executive. Delay is the most serious disadvantage of this principle. But, two short-cdts
have been devised to reduce delay viz. 'throwing of bridges across the formal lines of .
authority and 'level jumping' in urgent matters. The advantages of hierarchy overweigh
the disadvantages associated with it. By arid large, organisations do not function only
on formal lines. Informal relationships exist in each and every organisation. The
superiors and the subordinates work together in an atmosphere of harmony and
comradeship because of informal relationship between them and not because of only
formal ties. Hierarchy is a built-in device to achieve consensus and realise the goals for
which an organisation is established.
22.10 KEY WORDS

Adherence: Sticking to
Communication: Flow of information upwards, downwards and sideways in an
organisation
Consensus: General agreement
Expedite: To facilitate speed up the progress
22A 1 SOME USEFUL BOOKS

Avasthi A and Maheshwari. S. R.. 1985. PublicAdministra~i6rr(14th rev. Ed); Lakshrni
Narain Agarwal : Agra.
Bhattacharyz. Mohit. 1974. Public Administration; The World Press Private Ltd:
Calcutta.
Dimock, Marshal Edward and Dimock, Gladys Ogden, 1975. Public Administration
(Third Ed); Oxford & IBH Publishing Co: New Delhi.
Gulick Luther & Urwick L. 1937. Papers on thescience ofAdministration (Eds); Public
Administration Service: New York.
Mooney J.D., 1957. Principles of Organisation; Harper: New York.
Mooney J.D., 1970. The Scalar Principle in William Lexton ( E d ) Organisation
Theories; Charles Marrel Co. Columbus. Ohio,
Simon, Herbeft, 1957. Administrative Behaviour: A study of ~ e c i s i o nMaking Process
in Administrative drganisation; The Free Press: New York.
I
'
Sharma, M.P., 1983. Public Administration in Theory & Practice 14th ed; Kitab Mahal:
Allahabad.
Tyagi, A . R . ,1981. Public Administration: Principles & Practice (6th rev. ed), Atma
Ram & Sons: Delhi.
EXERCISES
1 See Sec. 22.2 and 22.3
2 See Sec. 22.2
1 See Sec. 22.4
2 See Sec. 22.5
1 See Sec. 22.6
2 See Sec. 22.7
3 See Sec. 22,8
'
UNIT 23 SPAN OF CONTROL

Structure
23.0
23.1
23.2
23.3
23.4
23.5
23.6
23.7
23.8
23.9
23.10
23.11
Objectives
Introduction
Meaning
Importance of Span of Control
Relationship Between Span of Control and Hierarchy
Factors Affecting Span of Control
Graicunas' Formula
Span of Control Under Revision
Let Us Sum Up
Key Words
Some Useful Books
\*
After studying this unit, you would be able to:

explain the meaning and importance of the concept of span of control
r discuss how the concept works in practice; and
e describe the factors influencing span of control.
@
23.1 INTRODUCTION
We have seen in the previous unit that a hierarchical system of organisation involves a
number of tiers or levels one above the others. The question is how many successive
tiers or levels should there be in an organisation? Each superior in a hierarchical set-up
is supposed to supervise the work of his subordinates. The answer to the question posed
above depends upon the the total number of employees at the lower level to be
effectively supervised by the superior officer. In other words, what is the span of
attention of a normal human being? In Public Administration, what is the span of
control of a superior officer i.e., how many subordinates can be effectively supervised
by him? We shall now try to understand and evaluate the implications of the theory and
practice of the principle of span of control in this unit.
As you have studied in Unit 22 (Hierarchy), hierarchy means control of the higher over
the lower. It is a graded organisation of several successive steps or levels headed by the
chief executive. Every employee obeys the orders of his superior and issues orders to
his subordinates. But how many subordinates can be efficiently and effectively
supervised by a superior officer? This is an important question which we shall try to
answer in this unit. Your knowledge and familiarity of this topic will also enable you to
understand the next Unit 24 (Unity of Command) where it is stressed that the
commands or orders should come from only one source. For each employee, there
should be-onlyone boss whose orders he is expected to obey. While span of control
limits the number of subordinates to be supervised by a superior officer, unity of
command restricts the number of superiors for each employee to only one to avoid
confusion and misunderstanding.
23.2 MEANING
Literally, the word 'span' means distance between the tip of a person's thumb and the
little finger when stretched out, while the world 'control' means power or authority to
.direct, order or restrain. In Public Administration, span of control refers to the number
of subordinates whom an officer can effectively control. It also means the number of
subordinates an officer can direct. It may be also said, that the spa? of control means,
simply, he number of subordinates or the units of work that an ~dministratorcan
--
personally direct. In the works of Dimock, "'1'Ple:span of coaltrolis the number of rshgk
of direct, habitual corv~nmunicaaioracontacts between the chicf executive of an enterprise
and his principal fellow-officers". This concept is related to the principle of 'Span of
Attention', described by V.A. Graicunas, in psychology.
Span of control is dependent upon .span of attention. None'of pas can attend $0more
than a certain number of thiilngs at i,tjrne. ~i~r:lhilo~i~ks
hawe conducted many
e : , ~ y e r i ~in~the
, ~field
n of 'Attention' and have conaae to else esnclonsispn that nolmmall8y a
person can att.eiad to only ;!'certain number of things at a time and not beyond a
particular limit. Since span sf colatacsl in Public ,4&iministsationis related to span1 of
attention in psychology, it foliows rlaae there is a limit to the number of persons
which a srlperior officer can conatlrcrl effectiveiy. Tt is harmfall Y"3r the organisiatiotl if the
n~urnberof subordinates to b e sul~eavisedby a siiperior officer is increased heyonmd that
limit.
These are limits to klunnan capacity both physical anld mental. So, it is vaniversally
believed that no supervisor, however competent he'may beAcan supervise the work of
urllimited number of persons. There is 11oagreement annsng the wlitkrs of Public
Administratiorn about the exact limit of tlac span ofcorltrol.~ii]La? IBaariitrori put Fh6
limit at 3 to 4. Haldane and Grahart~.Wallace felt that a supervisor could supervise
10 to 22 subordinates. Urwia:!: drew a difference in regard to span of confrlol between
higher and lower levels. According to him. a sa.~picrvisorcarknot aapervise directly more'
than5 to6 subordirlates at the higher level, whereas at rYne Iswer levels, where the work
is simple and routine in'nature, the span ca$eontrol varies from 8 to 12. According to a
survey conducted by Wallace in 1957, the sppa o f control of a chief executive differed'
from country to country. A chief executive in Japan llad 13 departments under him, in
Casada, Gern~anyand Italy 14, in France 117, in Russia I!) or 20, in EGland 25 and in
U.S.A. about 60. Though the number was not uniform, nowhere did the adnlinistration
breakdown.
of
According to some writers, the span of.dontro~in gove~.nmerrtai'or~~qnisatik
America is large becir~sseof the followink reasons (1) there: is n tendency towards a.
large nantnber of departtrrer~tsbecause the 'empire builder' type of depart~nenthe&
wants to be answerable only to the chief executive or governing body, (2) each pressure
grolip desires its own pet administrative activity to be set up irs an indegenderat
depsrtrnerirI a17d(3) every Euracticsnal chief desires access to the seat uf authority without
going thrmlgh inter-vening Izierarc8rical steps. ?be Hoover Comrr~issic~n
ina 11649 critieised
the hugel span of c o ~ ~ t rexercised
ol
by the President of the United States. Thc
~ori~munication
listed 65 departme~~ts
or agencies (exclzrcfing the independent
regraiatory commissions) falling within the span of control exercised by the President.
However, ihere has beer1 general agreenment among all the writers that the sliortcr tile
span, the greater will be the contact and cont;eqnently, morG effective control. On the
oiher hand, as Seckler.+Hudsonsays "There are dangers inherent in excessively 1irnitt:d
span of control, such as, rhc risk of detailed supervision of the few reporting, the
resultant failure to stirnulate subordinrater; o r to fully use the capacities of them. It is
possible also that stmi-t spans of control mean I s ~ chains
g
of cominands". Hence, various
i writers have, by and large, felt that the span ofcontrol can] be between 3 l 0 IS. Though
attempts have been made by the w;itcrs tu search for the 'ideal number' of persons a
supervisor can supervise, they !lave not succeeded itm doing so because of many factors
which are discussed later.
23.3
IMPORTANCE OF SPAN o$'Lbi0;NT'ROk
----..-,.------.------,-
-.------*
The problern of span of control i:j a natural extension of the principle of hierarchy or
scalar system. As we know eal-lier, li~icrarehicalorg~nisaticdriinvolurcsa ralsrnberoltiers
or steps one atsove the other in an organisation, each step being headed by a single
have depends upon the total
person. How rnarny such levels an organisatibn
~
of subordinates
number of employees at tile boeeon~to be napervised iind t l . r~uartber
each superior officer can effectively supervise. This shows that there is a close
relationship b e t w e n hi't..rarchYarid span of. co~ltrol.Hence, the levels or tiers in
hierarchy should be established after taking into accorrnt the span of controkof a
superior officer. If a superior officer i s expected to cslitrol a large number of\~ersons?
Illan lne car1actual!y corstsol, the result is delay and inefficiency. The quality o'f the tvorlr
.of an organisation depends r~poneffective control and supervisiort. Hcnce, there is a
.
strclng need for the principle of span of control. No organisati~ncan ignore it. I f the
exceeds the capacity of an individual. it results in the breakdown of the
organisation.
N@k: i) Use the space below for your answers.
ii) Check your answers with those given at the end o f the unit.
1 Explain the meaning of span of control.
...................................................................................................
2 Discuss the importance of span of control.
23.4 RELATIONSHIP BETWEEN SPAN OF CONTROL

AND HIERARCHY
As we have already discussed the levels of an organisation should be decided keeping
in view the spar1 of control. To take an illustration, suppose that the number of police
constables in a State like Madhya Pradesh is 20,000 and ane superior officer can
effectively supervise the work of 5 subordinates. The number of levels or steps required
in the case would be 7 as shown below:
1
Inspector General of Police
Deputy Inspe~torsGeneral of Police
160
Deputy Superintendents of Police
800
Inspectors of Police
20,000
Constables (distributed in groups of. 5. among 4.000 police

stations each under as~b~inspector).
Here ~ , W constables
O
divided by 5 give 4.00 sub-isspectors at the next level. The Igtter divided by 5 again require 800 inspectors to supervise them who similarly require
160 supervisory officers called Deputy Superintendents of Police. These have to be
placed, on the same basis, under 32 Superintendents of Police and they in turn under 6
Deputy Inspectors General. Finally, the 6 Deputy Inspectors Generals have to be
placed under pne'~nspectorGeneral as their immediale superior, whose quota of
immediate subordinates is a little more than the standard one i.e. 6 instead o f 5.
If the number of constables is increased to 30,000 and the number which could be
effectively suftervised by any one officer were still 5, the nutnber of levels would
increase to 8 as shown below:
1
Inspector General
Deputy Inspectors General
10
Assistant Inspectors General
48
Superintendents of Police
240
Deputy Superintendents of Police
1280
Inspectors
6CW
Sub-hspectors
30000
Constables
Here we see that a new level of Assistant Inspectors General had to be introduced
because the number of total personnel to be superviseti at the, bottom is larger and
supervisory capacity of each officer is limited t o 5 ZiTn the prdvious illustration, If each
person could svpervisc 6 subordinates instead of 5, the number of levels required would
be 7 again.
In thc same way, if tiac number of ertiployees is 1,000 and the span of control is 10, the
r ~ ~ ~ r nofb elevels
r
would be 4 as shown below:
Chief Executive
10
Supervisors
100
Supervisors
0.n tlie other hand, in the same organisation if the span of.contro1is 5. the organisation
should have 6 Lewis as.follows:
Chief Executive
2
Supervisors
Supervisors
40
Supervisors
208
Supervisors
1000
Workers
Like tlie principleof hierarchy, span of control is also an universaliy accepted principle
of organisat'ion. The n~umberof subordinates one shouJd have under him is
questionable, but not the principle itself.
There are two opinions on the number of levels an organisation should have. If the
number of levels is more;'the span control will be less and supervision will be more, But,
the number of supervisors will increase resulting in an increase in the expenditure. It
also increases the distance between the chief executive and tlae work-place. Since
communications have to pass through many levels, they may undergo change in form
and content and thereby make the decisibn-making process difficult. ,
On the other hand, if the levels of an organisation are less, the work may'be expedited.
The number of supervisors will decrease resulting in saving of expenditure and the
delegation of authority will be more. The morale of the employees also increases and
they may work with more interest. They also get trained in shouldering responsibility.
Ilowever, coordination beconres a prohiem. I-lcnce, in many organisations, the span,
of control is kept at a minimum and the levels are increased.
23.5 FACTORS AFFECTING CAN

OF CONTROL
It is not possible either for administrative theory o r practice to lay down the ideal
number constituting the span of control. There are, however, certain general points of
agreement regarding this problein which you have to note. Firstly, it is agreed that a
span of control does exist a t each level ofsupervision and it cannot beexceeded without
the danger of a breakdown. In this connection, L. Urwick quoting V.A. Graicunas
points out that if a superior adds a sixth to his five subordinates, the additional
assistance he can obtain is only 23%.but increase in the sGervision may amount to
100%. The reason is what has t o be supervised is not only the individual subordinates,
but also the numerous permutations and combinations of tlreir mutual relationships.
So, span of control universally exists and it cannot be exceeded without the danger of a
breakdown. You may be interested to know that sometimes back the University Grants
Commission in India studied the problem of span of control and attention in the college
C~SS-rooms.
I t came to the conclusion that a teacher can teach and'supervise only 10to
12 students in a class-room most effectively and not beyond that limit.
Spnn of Control
Concepts in orgnaiplltion-a
Secondly, it is recognised that span of control depends on certain factors. It varies ~ i f h

some factors viz., i) Function, ii) Tirne, iii) SfpBce, iv) Personality of supervisor and of
the subordinates; v) delegation of authority, and vi) techniques of supervision. We shall
discuss about each of these factors.
Function refers to the nature of the work to be supervised. WPnere the nature of work
is of a routine, repetitive, measurable and identical character, the span of control is
more than when the work isof differentcharacter. For example, it is easier to supervise
a large number of typists because of the measurable nature of their work but this will
not be so if doctors, engineers and typists etc., have to be supervised simultaneously,
Time refers to the age of the organisation. In old and established orgaarisations,
practices become perfect and things get stabilized. Such organisations run themsely,q
well through rapid supervision and greater span of control. But in newer orgarmisations,
precedents will be few and new problems constantlydemand reference to tRa supe~iiors.
Hence, subordinates depend heavily upon their superiors and the span of control will
be less.
Space refers to the place of work. If tare subordinates are under the same roof along with
the supervisor, supervision becomes easier and quicker. Pf they work Bt different places,
supervision becomesdiffictnlt as they escape his personal atttntion. %m this conatext, it is
worth noting the distinction drawn by Urwick between 'direct supervision' and kcce:s'
to the boss. Ilt means that while an officer can directly supervise only a limited number
of persons, he can introduce flexibility in the organisation by permitting large number
of subordinates to have 'access' to him.
Personality is 'The sum total of all the kraits of human behaviour'. It includes physical
and intellectual qualities of a person. If the supervisor is comgetent, energetic arnd
intelligent, he can supervise the work of a large number of subordinates. Qtherwise. hc
can supervise only a'less numbgr of subordinates. Similarly, it is easier to supcrvise the
work of a large number of subordinates if they are competent, energetic and intelligent.
Otherwise, only less number of subordinates can be supervised by a supervisor.
Delegation of authority alpo influences span of wntrol. Some supervisors keep only a
f.ew functions for themselves and delegate the rest to their subordinates. By doing so
they can supervise a iarge number of subordinates. There are some super-visars who
keep all the functions for themselves and do not delegate them at all: Soch supervisors
cannot control a large number of subordinates.
Techniques of supervision adopted by the superior also influence the span of control,
If the techniques of supervision are standardised, the spad of control will be more
because subordinates do npt need close supervision. Where the direct supervision of
the supervisor is required, the span of control will be less.
23.6 GRAICUNAS9FORMULA
W.A. Graicunas gave a mathematical formula to explain the complexity of span of
control if more subordinates are added to the executive. Every executive'always
measures the burden of his responsibility to control the subordinates in terms of single
relationship between himself and hts subordinates..Graicunas feels that in any group
the relations between executive and his subordinates cannot just be calculated based on
single relationship alone. According to him, there also exists cross relationships which
increase in mathematical proportion. The direct single relationship always increase in
the same proportion as the number of subordinates. In such a case each addition to t h ~
group would only create a single direct relationship. But according to Graicurras there
also exists direct group and cross relationships which increase very rapidly than the
increase in the number of subordinates. This is n~ainiybecause the addition of each
\
individual results in many cross and drrett group relationships as there are persons
already in the group. Therefore, the number of relationships increases in exponential
proportion. Based upon his studies, Graicunas develops a formula to calculate the
number of relationships to enable the executives to-examine the complexity of span of
control. This is given in the following table.
,
.'
-1
11I
!/
/
?/
i
/I
1
i
51
Table: Direct and Cross Welatioasl~ips

SI.
No.
1
Formulae
Relnticanship
direct single
direct group
a =
.C
n
IX(2"- 1)
2
Note: 'n' srands.for the number of subordir~ates.
According to these formulae, in any organisalion if there are three subordinates direct
single relationships would be three, cross relationships six and direct group
relationships nine. But if one more member is added there would nor be any change in
the direct single relationships which would be four, but the cross relationships would
increase to 12 and direct group relationship@, however, rise exponentially to 28. This
explains that addition of each member to the group under the control of the executive
would increase the number of direct group relationships to such an extent that direct
controibecomes difficulk;in some cases even impossible. Graicunas also added that for
fo~brsubordinates it is clhite easy to grasp and remember ewry ?ombination of groups.
But from five on, it is not possible to remember because the relationships bec~me&ore
of confusion.
Whethex the principle enunciated by Graicunas is valid or not, whether the formulae
has empirical validity or not, the problem that any increase in the number af
subordinates would lead to complexity in the relationships between the individual and
groups has aptly been brought out by Graicunas. It is this'fat;orthat needs to be
carefully considered in any discussion on how many subordinates an executive can
effectively control.
23.7 SPAN OF CONTROL UNDER REVISION

The whole idea of span of cor~tralhas come under revision during recent years. The
increasing use of automation in administration, the information revolution and the
growing role of the specialists are chiefly responsible for such a change. Automation
and mechanical processes have resulted in simplification and expediting of
communications. Thus, delay in paper Gork has been considerably solved due to the
conquest of time and distance. Morever, mechanisation has been made Qseof in
tabulating, accounting, purchasing, sorting and computation work. Automation has
improved inventory, record keeping, billing and pay role book-keeping activities. We
are in the age of computers and other electronic devices which supply plenty of
information and accurate data to the administrators at a very fast rate which would have
normally required the operations of large number of persons. Thus, the length of span
of control has conside~ably'increasedand it has become possible for the supe&isa~te
control more subordinates.
Note: i) Use thg space below for your answers.
1 Do you think that the principle of span of control is an extension of the
principle of hierarchy? Explain their relationship.
Span dContrd
2 Explain the factors that effect the span of control.
..............................................................................................
.....
...................................................................................................
...................................................................................................
...................................................................................................
3 "Span of Control is an exclusive concept". Explain.
4 Explain Graicumas' formula.
.-
23.8 LET Us S W UP
The principle of span of control is good as a general guiding principle in administrative

organisation. It means the number of subordinates an officer can effectively control. It
is related to the span of attention of a superior officer. There iq no doubt that the quality
and efficiency of work in.an organisation improve considerably if the superior officers
exercise effective control over their subordinates. But control can be exercised only
as span of human attention is limited. Hence, it
over a limited number of sub~rdinates
cannot be rigidly applied in practice. There is no 'ideal' number of pers0ns.asupervisor
can supervise.Span of control varies with factors like function, time, space, personality
of the supefiorand subordinates, delegation of authority and techniques of supervision.
The number of levels in the organisation depends on number of employees at the lowest
level. As the number of employees at the lowest level increases, the number of levels
in the organisation has to be increased.
38
Because of rapid scientificand technological d6velopments, time and distance are no

longer causing any problem. The evergrowing number of specialists is also posing a
challenge to the old administrative set-up and well-known concept of superior
subordinate relationship. Hence, the wbole idea of span of control is under revision.
23.9 a Y WORDS
Evnentid: Expliination
Combina~on:An arrangement of numbers of a set into specified groups without regard
to order in the group.
Pemubaon: An ordered arrangement of the numbers of a set into specified group.
$pan oPa60e~~ltieon:
A superior cannot effectivelypay attention on a large number of
subordinates as there are limits to humail capacity;
23.10 SOME USEFUL %POOW

Avhthi, A. and Mahcshwari, S.R., P%5. Publio A d d m i o n , 14threv.d;
L&shmi Nmdn A g w a l : Agra.
Bharnbri, C.P.1972. Public Administration (Theory and Practice) 5th ed;J a h
Prakash Nath & Co: Meerut.
Bhattacharya, Mohit, 1974, Public Admim'strarion; The World Pmss Private Ltd.,
Calcutta.
Dimock, M.E., and Dimock, 6.8,1975. Pub& Admiraiskation; Oxford $ PWM
Publishing Co: N. Delhi.
Sharma, M.P. 1983. Public Administration in Theory and Practice,14th ed; Kitab
Maha!: Allahabad.
John M. Pfiffner and Frank M:Sherwood, 1968. Administrative Otganisation;
Prentice-Wall of India Pvt. ktd. New Delhi,
.23.11 ANSWERS TO CHECK YOUR PROGWSS

EXERCISES
Check Your Pmgress 1
1 See Sec. 23.1 and 23.2
2 See Sec. 23.3
Check Your Progness 2

1 See Sec. 23.4
2 See Sec. 23.5
3 See Sec. 23.4 and 23.5
4 See Sec. 23.6
UNFF 24 ILIIWTY OF COMMAND

24h
24.1
24.2
24.3
24.4
24.5
24.6
24.7
24.8
24.9
24.10
24.22
24.12
Objectives
Introduction
Meaning
lrnportance
Unity of Command in Practice
Factors Effecting Unity of Command
Exceptions to the Principle
Arguments in Favour of Unity of Command
Arguments Against Unity of Command
Let Us Sum Up
Key Words
Some Useful Books
After studying this unit you shodld be able to:

@ explain the meaning and importance of the principle of the Unity of Command
understand how the principle woiks in practice as well as the exceptions to the
principle; and
* discuss the merits .and demerits of the principle.

-
2 4 1 INTRODUCTION
In earlier units you have studied two important concepts of organisation viz., hierarchy
and span of contr~l.In this unit you would study an equally important concept -unity
of command. You have secn earlier that organisationsizre structured hierarchically and
the relationship between superiors and subordinates are clearly laid down. In such
orsanisations one finds vertical differentiation of work. It is axiomatic that in such
organisations the subordinates receive orders from their immediate superiors. Unity of
command which is compfeme~ltaryto hierarchy ernphaslses this. But as the modern
organisations are very comgliex and due to reasons of specialisation it would be very
difficult to receive both technical and general orders and supervision only from one
immediate superior, But any violation of this hasic nonn goes against the concept of
unity of command. In this'Unir you would study the meaning and importance of the
concept, exceptions in practice and the paobfeinsin its operation,
24.2 MEANING
One of the important problems of P~lblicAdministration is to secure cooperationaand
team work so that people in organisation do not work at crosspurposcs. This is ensured
through unity of command wherein authority for decision making and to issue
instructions is clearly located in the organisational hierarchy at different levels. Unity
of command implies that in organisations, employees should rcceive orders only from
one superior. According to Henri Fayol, an ardent advocate of this principle, it means
that 'an employee shauld receive orders from one superior-only'. Similarly Pfiffnerand
Presthus observed that the concept requires 'that any member of an organisation
should report to one and only onc leader'. This will protect the employee from the evils
of contradictory commaads. If a person receives orders from more than one superior
officer in an organisation, there is a possibility of conflicting orders. This creates
confusion in the employees' mind about what to follow and whorn to follow. With the
result an employee becomes ineffective. Role clarity and gaal clarity are necessarv for
'I
employees to be effective in an organisation. Duality and/or multiplicity of command

leads to lack of role clarity and goal clarity. Therefore, unity of command becomes
importa~ltfor the employees to be effective in organisations.
Let us see how unity of command is important in an organisation. If an employee

receives orders from more than one superior officer, there is scope for confusion and
conflict rather than clarity of purpose. In such a situation, an employee finds it difficult
to pexfol-m his job with a clarity of purpose. As we have seen earlier duality and/or
multiplicity of corrnmand keeps an employee in a dilemma about 'whom' to follow and
'what' to fo!lo\s. This is one possible deficiency, when there is no unity of command in
an orgnraisation. Another possibility is that an employee with manugulative skills rnay
avoid his work by using one superior against the other. In this plocess such an employee
plays with his supcriors and thus undermines the purpose of an organisation. Absence
of unity of command leads to either confusion o r gives room for manipulation in
organisations. Receiving two contradictory commarlds may result in inefficie116~
and
may even lead to organisational paralysis. Both these things are not in the interest of an
organisation. The concept of unity of command is, thus, important to avoid these
pitfalls and problems in organisations.
24.4
UNITY OF COMMANPRACTICE
DN
The next question is whether unity of command is practical in real organisational life.
Let i ~ examine
s
this point with illustrations.
A district collector is the head of all departments and functional activities like
agriculture, animal husbandry, cooperation, law and order, education, medical and
health services and a host of other departments at district level. If district administration
is taken as an organisation,.ail the employees in a galaxy of departments have to take
their orders directly from the district collector only. But in practice, they take their
orders from their departmental heads and also from the district collector. The heads of
the departments take their orders from their superior in the state administration and
also from the district collector. Hence, the unity of command is difficult in practice.
Similarly in industrial organisntions, there are practical difficulties for a single person
to give orders directly to all those below him in the hierarchy. Because, employees work
with and take orders from general as well as technical superiors at different levels in the
organisaiton.
Thus, either in the case of district administration or in an industrial organisation, an
employee receives orders from more than one superior. As long as there is no conflict
in the orders the employees d o not face any problem. What is more important is the
unity part than the command part. The unity part refers to homogeneityin an
organisation's purpose. The conilnand part refers to superiors or generalists and
technical experts giving orders to an employee. As long as there is no conflict with the
unity part of an organisation's purpose, the number of people giving commands or
orders becomes secondary. In case there is confusion or conflict in the orders, an
employee has to bring it to the notice of the superiors and resolve the conflfct.
.--
---
24.5 FACTORS EFFECTING UNITY OF COMMAND

'
As you are aware the organisations are increasing both in terms of size and complexity.
With the result the staff aljd auxiliary agenczies manned by specialists are increasing in
number and their power and influence is growing substaritially. These agencies have
started giving instructions of different types, viz., administrative, technical, legal, etc.,
directly to the officials of the executive agencies. This is seriously undermining the
principle of unity of command. An employee is placed in a dilemma as to whom t o
f ~ l l o wwhat
,
t o follow and when to follow This is quite a baffling situation. Conversely,
Unity of Command
Concepts in org~isrttion-I
this gives rise to a situation where an employee enjoys n ~ o r discretion

e
and powers with
more and more people issuing him orders. A person with manipulative skills can play
with the purpose of an organisation. How to check such tendencies? 'Though, an
employee receives commands from different superiors, his work is evaluated by a single
superior in the organisation. Hence, the comnland lies in the superior officer, who
evaluates his subordinates' performance. Thus the superior with powers of
performance appraisal holds the key to unity of command.
24.6 EXCEPTIONS TO THB PRINCIPLES

Theoretically the principle of unity of command appears unassailable. But in practice
there are many exceptions in view of the growth and complexity of modern
organisations. There are situations whcre the employees are under the technical control
of one superior officer and administrative control of anothcr superior officer. This is
true of all technical departmentslike medical and health, agriculture, etc. In such cases,
it is almost impossible to avoid receiving orders from more than one superior.
F.W. Taylor, the father of scientific management movement, rejected the principle of
unity of command. In its place he substituted functional direction and supervision
which is popularly termed as "functional foremanship". In the ultimate analysis thc real .
unity of command lies in the person who evaluates the performance of an individual1
individuals in an organisation. Thus the power to evaluate one's perforn~anceis the
single largest factor effecting unity o f commar~din our organisation. For example in an
industrial organisation an employee works with a project team o r a group of people with
different technical functions, but, his work evaluation is done by the personnel
manager. Similarly, in state administration, an employee, say, in comn~ercialtaxes
department receives orders from the local body regarding collection of entertainment
tax. But his work evaluation isdone by the commercial taxes department. This IS based
on the assumption that a worker can benefit if he gets specialised supervision on each
of his functions from the experts. Accordingly, Taylor had recommended eight
supervisors or foremen for each worker. Each one of the eight supervisors givespecial
directions to the workers in their functional area. Thus the eight supervisors are (1)
Gang Boss; (2) Speed Boss; (3) Inspector; (4) ~ e ~ aBOSS;
i r (5) Order of work arid route
clerk; (6) Instruction card clerk; (7) Time and cost clerk; and (8) Shop floor
disciplinarian. The first four of these supervisors work in the Eactory and issue directions
and commands in their particular functional area. The latter four are planning bosses
issuing instructions. Taylor believed that multiplicity of command ensures division of
labour and facilitates specialisation. As no individual can be an expert in all the
specialised fields, multiplicity of commands contributes to expert supervision.
o r adopted in Public Administration. Thus, we have
This innovative idea of ~ a ~ lwas
different technical experts side by side with the general administrators in present day
Public Administration. They both exercise supervision over the subordinates. But .
Millet has noted that there is need for reconciliation betwen the two. Technical
supervision should be concerned with Ijrofessional competence in the performance of a
job and t h e administrative supervision with efficient utilisation of the human, material
and other resources.

i
1 What do you understand by unity of command?.
.............
Unity of Cammsnd
2 What is the importance of unity of command in Public Administration?
3 What are the exceptions to the principle of unity of command?
....................................................................................................
.
......................................................................................................
-..
'4 ~ h is'functional.
&
supervision? How does it violate unity of command?
.............
..............................................................................
o.,...,.....
!;
.........I
24.7 ARGUMENTS IN FAVO.UR,OF UNITY OF

COMMAND
The advocates of the concept argue that this concept exists and it works too, According
to them, thoughmore than one superior issues larders to an employee, thece is a unity
in the direction of these commands. According to Seckler Hudson, 'Yrorn one he may
receive policy orders, from another personncl, i!rom a third budget, from a fourth
'supplies and equipments". As long as there is no conflict in these commands and orders,
the principle of unity of command stands good.
Another importarlt feature is that the technical experts who issue orders are only
suggesters and helpen to an employee. An employee has to ultimately follow the
orders of the immediate superior, in case there are conflicting orders. This again
supports the view that there is unity of command that exists in organisatiotls. In certain
organisations like the armed forces and intelligent agencies there is more unity of
command when compared to other o~ganisatilons.That means unity of comnnand is a
necessary feature in certaip kinds of organisations.
th-I
Dimock and Dimock have noted that in organisations someone nwst be a boss, multiple
direction is a confused directiod, and clear lines of relationshipsand authority are
.'essential for proper cooperation'. Otherwise, they argue, that the signals are not clear,
wires get crossed, a proper flow of comnaunication throughout the prograrnrne is lacking
and all elements necessary for the performance of a unified task remain scattered.
Explaining the importance sfthis concept GuQickovserves that any rigid adherence to
the principle of unity of command ,nay have its absurdities. But they are unimportant
incomparison to,tfic certainty of confusion, inefficiency and irresponsibility which arise
from the violation of the principle. Thus the significance of the prir~ciplelies in building
a structure of coordination in organisatiorls. The other advantages of unity of command
are: absence of conflict in instructions; exercise of effective supervision over the
employees; and clear fixation of responsiblIity. Henri Fayol warned against the dingers
if the principle is viplated in practise. Me wrote that "should it be violated, authority is
undeimined, disciGli6eis in jeopardy, ordkidisturbed and stability threatened". If two
persons exefcise a&t&i'ity over the same person, be further observed, uneasinless
makes itself"felt anddisorder increases.
--
24.8 ARGUMENTS AGAINST UNITY OF COMMAND
The principle of unity of command implies rfiat an employee should receive orders and
instructions from only one superior. But it poses several difficulties in actual
implementation in real administrative situations.
The principle is criticised by many, Seckler Hudson, for example, observed that in h.
complex governmental situations the concept of one single boss for each person is
seldom relevant in practice. According to the author many interrelationships exist
outside the straight line of c ~ m m a n dwhich require working with and reporting to many
for purposes of effective and orderly performance:Seckler Hudson argues that
the administration in government has many bosse? and he can neglect none of them.
Unity OT command, like other priticiples, is more a theoretical proposition than a
practical idea in organisations. This princi~lahardly has any relevance to committees,
commissions and autonomous organisations. Moreover, in organisations like research
laboratories, thk principle will be counter productive. In a fast changing society, with
technological innovations and change such concepts, have hardly any relevance. In
Development Administration,one has. to work with different technical as well as
gtneralist functionaries by taking orders and instructions from both. yence, concepts
like one man, one boss leads to administrative resistance in development
administration. As John D. Millet,observcs: the concept of unity of command needs
to be reconciled with a recognition that supervision of any activity may be dual
technical and also administrative, The two types of supervision may be exercised by
different individa~als~
One type may be concerned with professional competence in the
performance of a jhb, while the other is chiefly interested in the efficient utilisation of
the resources men and materials - available far the job. Even a classicist like
Luther Gulick recognised that any rigid adherence to the principle of unity of command
w{uld lead to absurd'itics.
f,

Note: L) Use the, space below foi your answers.
ii) check yobr answers with those given at the end of the unit.
1 What factors affect unity of connmand?
unity of Command
2 Explain the factors in favour of unity of command.
...................................................................................................
3 biscuss the factors against unity of command.
24.9 LET US SUM UP

.
As long as there is no conflict and confusion, there is no danger if an employee receives

ordefs from more than one superior. In case there is confusion or conflict in orders, an
employee has to bring it to the notice of his superiors. In the ultimate analysis it appears
that the administrative head or the senior officer having powers of administrative.
supervision holds the key to ensure that unity exists in the issue of commands.
Axiomatic: Self evident truth

Performance Appraisal: Assessing the capabilities of a person in terms of the
contribution towards the achievement of organisational goals
Unassailable: That which cannot be attacked or questioned.

Avasthi A and Maheshwari S.R. 1985. Public Administration (14th ed); Lakshmi
Narain Agarwal: Agra.
Dimock Marshal Edward and DimockGladys Ogden, 1975. Public Administration
(Third Ed); Oxford &.IBH Publishing Co. New Delhi,
1
Cunccpts in
organisatinn-I
Fayol, Henry, 1957. General and Industrial Management; lssac Pitman: London.
Gulick Luther & Urwick Lyndall (Eds), 1937. Papers on the Science of
Administration; Public Administration Service: New York.
Pfiffner John M & Sherwood Frank M, 1968. Administrative Organisation; PrentjceHall of India: New Delhi.
Seckler-Hudson, C, 1957. Organisation and Management: Tlieory and Practice;
The American University Press: Washington D.C.
Sharma M.P., 1983. Public Administrution in Theory and Practice (14th ed);
Kitab Mahal: Allahabad.
Simon Herbert, 1957. Adnzinistrative Behaviour: A Study of Decision Mnking Process
in Administrative Organuation; The Free Press: New York.
Taylor, Frederick W, 1947. Scientific Management; Harper, New York.

EXERCISES
1 See Sec. 24.2.
2 See Sec. 24.3
3 See Sec. 24.5
4 See Sec. 24.6
8

1 See Sec. 24.6
2 See Sec. 24.7
3 See Sec. 24.8
UNIT 25 CENTRALISATION AND

Structure
25.0
25.1
25.2
25.3
25.4
25.5
25;
25.7
25.8
25.9
25.10
25.11
'
..
. .
Objectives
Introduction
Meaning of Centralisation
Meaning of ~ecentralisation
Types of Decentralisation
Factors Affecting Centralisation and Decentralisation
Merits and Demerits of Centralisation
Merits aid Demerits of Decenti.alisation
Let Us Sum Up
.
.
Key Words
, .
Some Useful Books . .
Answers to Check Your Progress Exercises,
.I,.
25.0 OBJECTIVES
After studying this unit, ypu should be able to:
s explain the concepts of centralisation and decentralisation and the relationship
between the two
e analyse the facmrs that lead to the adoption of either of the two concepts or a
combination of both in an organisation; and
,discuss the merits and demerits of centralisation and decentralisation.
.:
Centralisation and decentralisation are very important concepts of prganisation. They

explain the manner in which the decision making authority' is distributed or delegated
among various levels of the organisation. In this unit, we shall discuss the meaning,
importance and factors affecting centralisation and decentralisation in organisations.
The merits and demerits of centralisation and decentralisation are also examined.
25.2 MEANING OF CENTRALISATION

. Centralisation means the concentration of formal authority at the top levels of an
'I
'
organisation. It is a tendency aimed at centralised performance. Hence, it is the '

opposite of dispersal anddelegation of authority: It has an important bearing on the
e major areas of
processes of policy form.ulation and decision-making. ~ h e s two
management or administration are the!reserves of the top management in acentralised
organisation. The lower levels of the organisational hierarchy always look upwards for .
direction, advice, clarification, interpretation, etc. ~ v e n ' t hfield
e units or agencies of
the parent organisation do not,enjoy any authohty of decision-making and hence are
fully dependent on the central authority, The fieldunits are reqaired tb implement the
decisionsin accordance with the pre-determined guidelines as handed down to them by
the headquarters operating as the central authority. Centralisation acquires its acute
form when an organisation operates from a single location i.e., when it does not have
any field agencies. In the words of Harold Koont!!, "Centralisation has been usid to
describe tendencies other than the~dispersalof authority,.... ~t'oftenrefers to
departmental activities; service divisions, centralised similar or specialised actifrities'in
a single department. But when centralisation is discussed as an aspect of management,
it refers to delegating or withholding authority and the authority dispersal or
conceiltration in decision-making?'. Therefore, centralisation can be regarded as
.
Concepts in organisation-I
concentration of pllysical facilities and/or decision maldng authority. Limited and

restrictive use of delegation is, in other words, centralisation. Henri Fayol, while
talking of decentralisation and ccntralisation, observes, "everything that goes ro
increase the importance of subordinate's role is decentralisation, everytliing which goes
t o decrease it is centralisation"
25.3 MEANING OF DECENTRALISA'FION

The term decentralisation is understood differently by different individuals or groups.
Louis A . Allen refers to it as one of the most confused and confusing of the
administrative techniques that characterises the art and science of professional
management. To quote Pfiffner and Sherwood, ''In some respects decentralisation has
come t o be a 'gospel' of management. Firstlyit is regarded as a way of life t o be adopted
as least partially o n faith; secondly, it is an idealistic concept, with ethical roots in
democracy, thirdly, it is in the beginning a more difficult way of life because it involves
a change in behaviour running counter to historically-rooted culture patterns of
mankind. That is why the new literature of decentralisation dwells o n how t o bring
about change in organisation behaviour. Men find it difficult to delegate, t o think in
terms of the abstractions required by long-term planning, to 1isten.rathcr than to give
orders, t o evaluate other men and their work in terms of overall results instead of
irritations and tensions of the moment. Yet this is the very key t o the behaviour recluired
of leaders in a decentralised organisation". It is amply clear that decerltralisation is not
only a device for the delegation or dispersal of administrative authority, hut it is also a
democratic method of devolution of political authority. Further, in a decerltralised
organisation it is also esscntisl to adopt t!~edemocratic norms. Such norms help the
various levels of the administrative organisation to develop a reasonable capability for
the exercise of authority t o reach the most desired decisions. Moreover, they help to
assimilate in them the virtues of greater interactions hot o11ly among the various
organisational levels but also between the organisation and the clientele [among the
general public.
It has been opined that decentralisation refers to the physical location of fiicilities and
the extent of dispersal of authority throughout an organisaticrn. Hence, it is an
arrangement by which the ultimate authority to command and the ultimate
responsibility for results is localisedin units locatcd i r different
~
parts of the country. It
is argued that assigning of functions and responsibility, for their efficient and eflective
performance, to the subordinates or sub-divisions is the essence trf derentrttlisation.
We may say that in a decentralised organisation lower levels are allowed to decide niany
matters and a few cases involving major policies or interpretations are referred t o the
higher levels of the organisation. However, in commonphraseolugy the t c nl
~
decentralisation is interchangeably used with terms like deconcentration, devolution
and delegation, though they have different connotations. Devolution has political and
legal authority ramifications, deconcentration and delegation refer only t o
administrative authority. Decentralisationcovers the political, legal and atimini4trative
spheres of authority.
25.4 TYPES OF DECENTRALISATION

Four different types of decentralisation can be identified viz., administrative.
functional, political and geographical. Administrative decentralisation refers to
decentralisation of authority to the lower officials in the administrative hierarchy of'
organisations. It may also mean decentralising powers o r functions t o the subordinate
units. Functional decentralisation implies that the functions are decentralised to the
specialised units or departments like,education or health. Political decentralisation
involves that the political powers and functior~sconcentrated in the hands of higher
level political organs are decentralised to lower [evel political organs. You are all :]ware
that panchayati raj agencies are units of decentralisation wherein political powers of
decision making are decentralised from state ~ovcrninentto ~anchnvntr;.s:lmi~isand
zila parishads. Finally, in geographical decentralisation. the powers and functions oi'
headquarters are decentralised to the field offices for effective performance for
>-
example, most of the powers of the heads of departments of the state government are
d e c e n t r a l i ~ eto~their field officers at the regional and district levels. This facilitates
@ck decision making keeping in view the local requirements.
cpntrnllsPtionand DeecntrPlisPlion
25.5 FACTORS AFFECTING WNTRALISATIBN AND

DECENTRALISATION
Centralisation and decentrqlisation, being the two extremes of operations of authority,
are relative terms. We, today, cannot think of an organisation which is completely
centralised or decentralised as in between the operations of the two there is always a
continuum of authority. They need to be v~ewedas complementary to each other as a
fair combination of the two results in stability, accountability, efficiency and
,effectiveness. Their applications in a democratic setup would depend upon the
objectives of the organisation, its life and size, nature of service, etc. It has been said
that in order to ensure its existenoe, an qrganisation has to perform certain functions
which are basically centralising in nature and effect: Moreover, their performance has
to be from a central point of authority. Two such major functions are initiation and
decision-making in relation t o basic management functions like planning, organking,
motivating, coordinating and controlling the work of the subordinates as also of the
field units. Thus, the higher levels by performing the functions~ofinitiation and
decision-making tend to reserve the real authority at the central points of the
organisation. On the other hand, Earnest Dale points out that the degree of
decentra1isation.i~greater in the following situations:
i) The greater the number of decisions made a t lower level of management hierarchy,
the greater the degree of decentralisation.
ii) The rpore important the decisions made at lower level of management, the greater
the degree of decentralisation. For example; when the head of the field unit enjoys
the authority of sanctioning financial investments or expenditure without
consulting any one else.
iii) 1 n a decentralised authority structure, more dedisions are taken at lower levels
which affect most of the functions of the organisation as a whole. Thus, the
organisatio'ns which hermit only operational decisions to be made at separate
branch units are less decentralised than those which also permit financial and '
personnel decisions at branch units.
'ivy When less checking is required on the decision. Decentralisation is greater when no
check at all is made; it is less whenpsuperiorshave to be informed of the decision
after it has been made; still less if superiors have to be consulted before the decision
is made. When fewer are consulted and if they are at a lower level in the
organisation's hierarchy, the degree of decentralisation is more. ,
..\
r(
It is, therefore, clear that the application of the two concepts is greatly ir$luenced by
factors moreqthanone. In modern times when we have a multiplicity of administrative
and political organisations, there is a need to use the centralised and decentralised
patterns of authority for the maximum.benefit of the people. That is a pre-requisite of
a welfare or service state. There has beeii a growing public opinion in fqvour of
decentralisation but at the same time some political forces and the bureaucracy do not
favour a decentralised system for obvious reasons. Pfiffner and Sherwood comment,
that "Qecentralisation will always experienc&a certain amount of epidemic conflict
between those whose purpose is to cbordinate and those whoresist coordination. What
is needed'is to learn a way of life in which the coordinating process will be least
restrictive, in-whidh people can pursue their individual goals to the maximum and yet
work in harmony towird group goals with others who look upon things differently"
As'a'lready pointed out, decentralisation has political and administrative elements.
However, in management or far administrative organisations it is seen as an
administrative device of locating the authority of decision-making in a dispersed
manger. To.th2 contrary, centralisatiqn is viewed as concentration of authority in the
top management. Examining the two cpncepts in terms of physical facilities -plant,
persan.nel and equipmerit6 and authority,'Mervin Kohn opines that a typicai
0rg:rnisatio~exhibits characteristics of both. He has frimed four p~ssiblecombinations
and calls thelil as centralisation-decentrarisation martix which in reproduced below.
49
CENTRALISED
(concentrated)
Plant,
Personnel,
Equipment
(Facilities)
Authority
(Decision-making)
DECENTRALISED
(dispersed)
Products, services and

business functions
scattered in many areas;
multi-plant operation;
each sub-unit is a separate
entity; may be autonomous
self-sufficiententity
performing most major
business functions.
High degree of delegation and
High degree of concentdispersion of decision making
ration and retention
horizontally or vertically
of decision-making at
upper levels of management; downward to lower levels of
subordinates highly
management; subordinates
dependent.
relatively;ndependent;
"Profit Centre" concept.
Product, servicesand
busigess functions
concentrated in one
building or in
several buildings within
a localised aria.
The above figure gives us four possible combinations and the extent of centralisation
and decentralisation differsin all of them. Now we explain these combinations as under:
1 The first combination indicates a high degree of concentration of facilities as also of
authority in the top levels of the organisation hierarchy. These levels also perform all
the management functions of decision-making and directing their effective
implementation. Such an organisation may exist under the government especially
dealing with sensitive subjects like defence or some aspects of defence production
and also in some situations in the ministry of foreign affairs.,It is a case of minimal or
no delegation of authority. In private industry it resembles the units operating under
single or family ownership whose area of operation is smaIl or well manageable bj
the owners.
2 The second combination results in an organisation whose physical facilities are

centralised at one place. In,otherwords, the products and services are centralised but
the decision-making.authority is delegated horizontally and vertically. The level to
which the authority of decision-makingis delegated remains accountable to the .
higher levels for effective management as its decisionsmust be in conformity with the
overall policy of the top manzgement. Such type of situation may befound in service
agencies like the State Trading Corporation or the agencies concerned with foodgrain
procurement and engaged in the public distribution system like the PUNSUP in the
state of Punjab,
3 Thirdly, we may come across an organisation in which physical facilities are dispered
among various units located in various partsof the country or a regidn but the major I
deeision-makingauthority is centralised in the top levels of management. The units
may be vested with only small authority like sanctioningof leave, overtime, etc. Thus
authority to perform a limited number of management functions, which are
consequeritial of the major policies, is delegated so as to enable them to implement
the minor aspects of the major'policies. Significant and major policy matters are
reserved to the top management and are located at the central office or the
headquarters. Various road transport organisations both in the public and,private
sectors, largely fall in this category.
4 Lastly, a situation in which both the physical facilities and the deeision-making
aut'hority is dispersed or decentralised between various levels and the units, we get
an organisation based on administrative decentralisation or deconcentration. Such
an organisation performs wide ranging fuhctions and the units are allowed significant
functional autonomy. TheHindustan Machine Tools Ltd., falls to a great extent, in
this category. Mervin Kohn also refkrs to the 'profit centre' concept as part of this
model of organisation. It may be mentioned that this concept can only be applied to
private businks which is largely run on profit motive. However, in government
orgadsiltions.profit is seen in terms of productivity or social and economic gains that
are advantageous to the nation as a whole or to a seaion of the people.for whom a
particular service is sperzifically intended.
,
Centralhtbn and Dtrentrallsation
We may siiy that the adoption of one or a mix of both would depend upon the
organisation and its objectives, the nature of functions, the products or services, long
term plans and the overall strateg~..of production and marketing. Hence, the
equilibrium between centralisation and decentralisation would vary with the internal
and external forces in operation. "Internal forces emanate from the requirement of the
principle of hierarchy based on the superior-subordinate relationships, on the one
hand, and the nature of services, on the other. External forces axe based on the
relationship with the clientele, on the one hand, and the environment in which the
organisation functions, on the other". Much would depend on the maturity of the
people and levels of development in a country. In the words of Muttalib, "... the
operation of the principle of hierarchy may not exhibit much authoritarianism when
members of the organisations and the clientele are drawn from,asociety that value
greatly the egalitarian concept". F w the success ufpoliti~aland admipishtiw41
decentralisation, Pfiffner and Sherwood suggest that decentralisation needs, very
careful treatment for achieving the desired benefits. Moreover, it requires maturity and
character, not only on the part of the individual members of the organisation but also
in the culture of the larger society as well as the subculture of the organisation itself.
Vote: i) Use the space below for your answers.

ii) Check your answers with those given,at the end of the unit.
1 What is centralisation? In what way does it differ from decentralisation?
2 . What factors contribute to greater decentralisation?
...................................................................................................
3 Explain Mervin Kohn's centralisation-decentralisation matrix.
.-
25.6 MIERII'SS AND DEMERITS OF CENTRALISATION

Now we shall qnalyse the merits and demerits of the concepts of centralisation and
decentralisati~n.Organisations based on the principle of centralisation provide central
direction both in the formulation and the execution of policies and programmes. In the
words of Lou$ A. Allen, such a; organisation facilitates the introduction of dynamism
in the organisation through the active role of personal leadership; helps in integrated
I
.-.
approach foecarrying out organisational operations which result in uniformity of

action. Moteover, this concept is quite handy in emergencies and for dealing with .
I
unanticipated matters.
concrp~s
in ~rganisation-II
Merits of Centralisation
a) It is .eaSier t o develop uniform policies and, practices i n a centralised organisation.
Moreover, it can effectively achieve conformity to the prescribed procedures and
can bring about better coordination among the various units and levels of the
organisation.
b) Such a system further adds to the prestige and influence of the top executives.
Authority being concentrated at the top level, it is easier to identify the key person1
persons who exercise the real a u t h o r i t ~This is helpful in creating a suitable climate
for fulfilling the aspirations of those executives or leaders who prefer to combine
prestige with real organisational operations.
I
c) If process of centralisation is strengthened, duplication in an administrative

organisation can be avoided.
d) It has been claimed by Menin Kohn that a centralised organisatioh deveTops a
corporate personality by enabling the full utilisation of the personnel and the
equipment in organisation.
4
It may be said that the merits of centralisationare very much limited and can largely be
obtained in small sized organisations. m ow eve^, in bigger organisations it becomes a n
obstacle for effective polioy formulation and its implementation.
~ e m e r i t of
s Centralisation
a ) A centralised organisation does not allow the development of second line of
executives as all the lower levels are more dependent on the orders and directions
of the top executives. The emergent situations require immediate decisions for
reaching the desired solytions. In a centralised organisation, if erpergencies arise at
the unit level, their solutions becomes difficult by the unity itself as they do not e n j o y
any decision makirig authority.
(1
b) The concept of centralisation works against the possible diversification or expansion

of the organisation. The local needs of the organisation cannot be understood in t h e
right perspective by the centralised executive.
1
c) There is a minimum use of the concept of delegation of authority because real

authority always lies in the top levels of the organisation. Thus for a decision on
every matter, the top executive has to be approached. Therefore, such an
aorganisation concentrates all decisional authority in a few persons and makes
majority of the personnel only as implementers of orders received from above.
d) As the subordinates have to approach the superiors for taking even minor decisions,
the work in the organisation suffers and unnecessary delay is caused.
25.7 MERITS AND DEMERITS OF PECENTRALISATION.
It has been observed by many scholars that in a decentralised organisation l o w e ~ l e v e l '

managemdnt hierarchy enjoys considerable decision making authority and the number
of decisions made at the lower levels is quite large as compared to the decisions t a k e n
at the top levels of the organisation.
hierits of Decentralisation
a)
.
I
decentralised organisation 'is more responsive'to the needs anddemands of the

local area and the people. It can understand and assess the real problems and,can .
take decisions for their effective solutions. The local government institutions in .
Britain enjoy a substantial authority for dealing with local problems. In the I n d i a n
context, the local government institutions have been given some limited authority
for taking decisions at the local level.
,
.
6)
Delegation of authority is an essential aspect of a decentralited orginisation. The

: higher levelorganisations share their authority with the lower level orgqnisations.
i In the process the top levels deal with very important matters; whereas, the lower
levels are left free to tackle less important issues. Hence unnecessary burden on top
management is avoided.
c) A decentralisedorganisation encourages innovations as it welcomes creative ideas
and new techniques recommeqded by the lower levels of the Gganisation.
Moreover, this system tries to assimilate the best of the generalist and specialist
personnel working in the organisation. It leads to more interaction among the
personnel. Futther, a decentralised system encourages the expansion of the
organisation and permits desirable diversification for effective achievement of goals.
Louis 4. Allen observes that a decentralised organisation helps to:
i) base the burden on top executives or on those who operate from the central points
ii) facilitate 'diversificatibn
iii) make decisions at the scene of action for effective and fruitful delivery of goods and
I
services
iv) encourage development of meaningful talents
v) improye motivation of people within the organisation
/
Apart from various advantages of decentralisation there are many draw backs of this
system too. Some scholars feel that decentralisation may lead to disintegration and may
considerably weaken the top levels of an ,organisation.
Demerits of Decentralisation
a) In 4 decentiiiiised organisation communication among various levels becomes
difficult. At times the message communicated from top becomes blurred and
changes its contents and meaning when it reaches the concerned individual in the
organisation. Moreover, geographical distancedalso create problems in the way oq
effective communication and control systems.
'
'.
b) It is very difficult to introduce effective system of coordination both at policy making

and policy iniplementation levels.
'
' c) It leadqto overlapping and duplication of efforts in most of the organisationsas they
fail to clearly identify and define the activities and responsibilitiesin precise terms.
Duplication in the performance of staff functions is a rule rather than an exce'ption
in a decentralised organisation.
d) It may become difficult to maintain desired uniformity in the standards in d,ecision
making due to comparatively less control of the higher levels df the organisation.
e) The decentralised system necessarily results in higher costs of its operational
aktivities. For such a situatiqn there can be many factors but one easily identifiable
factor is the underutilisation of the availab1.e talent in the organisation.
'W
--- ..
Note: i) Use the space below for your answers,.
- I
' . 1 Discuss the merits and demerits of centralisation.
.
.................. . . . . . . . . . . . . . . . . . . . .....................................;..........................
"
Centralisation and Decentralisation
. .
Concepts in Orgnnisation-1
2 What are the major advantages of decentralisation?
25.8 LET US SUM UP

Centrdlisation and decentralisation are important principles for the formation of an
organisation. They deal with authority distribution within an organisation. Under a
centralised system authority is concentrated at the top levels. The lower levels always
depend on the top levels for direction', guidance and advice. Under this system field
agencies or the area units are only implementation agencies guidelines for which are
given to them by the central authority. On the other hand, deccntralisation refers to the
democratic method of devolution of administrative and political authority. It also refers
to the physical location of facilities like plant and personnel and the extent of dispersal
of authority throughout the organisation. We may say that under decentralisation
lower levels are allowed to decide many matters and only a few cases are referred to the
higher levels: However, in common phraseology, the term decentralisation is
interchangeably used with terms like deconcentration, devolution and delegation,
though they have different connotations. Devolution has political and legal authority
ramifications. Deconcentration and delegation refer only to adrpinistrative authority.
Decentralisation covers the political, legal and administrative spheres of authority.
0
Degree of decentralisation is greater when more decisions are taken at the lower levels
both in routine and important matters, In other words greater the freedom allowed to
the subordinate levels the more decentralised organisational structure will be. Under
this system there is less control and supervision of the higher levels over the subordinate
units. Mervin Kohn opines that depending upon the location of facilities (plant,
personnel, etc.) and decision-making authority, we get four ,models of an organisation
where authority.concentration or its a'id'lBpersal gives us a centralised o r decentralised
organisation. Both theke principles have their relative merits and demerits. We can use
either or both depending upon the nature, objectives and the area of operation of the
'biganisation.
25.9 KEY WORDS

Amply: Extensively
Assimilate: Absorb
*7
profit Centre Approach: Under this the Company establishes self-sufficient,selfcontained and semi-autonomous units which are responsible for their own profit or
10s;. In such units profits become a direct concern of individuals, it means each unit
becomes a "profit centre". This helps in stimulating personal efforts.
, Ramification: Forming sub-divisions.
25.10 SOME USEFUL, BOOMS

Avasthi A and Maheshwari S.R.,1985. Public Administration (14th rev. ed); Lakshrni
Narain Agarwal: Agra.
Mathur B .S., 1987. Principles of Management; National: New Delhi.
Pfiffner John M and Sherwood, Frank M,'1968. Administrative Organisation; PrenticeHall,of India Pvt. Ltd.: New Delhi.
I
Special Number on Decentralisation -Indian Journal of Public Administration, JulySeptember, 1978.

u

EXERCISES
1 See Sec. 25.2
2 Sec Sec. 25.3
1 See Sec. 25.6
2 Sec Sec. 25.7
Centralisation and Decentralisation
. .
Structure
26.0
26.1
26.2
26.3
26.4
26.5
26.6
26.7
Objectives
Introduction
Meaning of Delegation
Characteristics of Delegation
Need for Delegation
Types of Delegation
Principles of Delegation
Hindrances to Delegation
26.7.1 Organisational Hindrances
26.7.2 Personal Hindrances
1
i
26.8
26.9
26.10
26.11
26.12
Limits to Delegation
Let Us Sum Up
Key Words
Some Useful Books
26.0 OBJECTIVES
1 * explain the meaning and significance of the delegation

describe the different types of delegation
analyse the various principles of delegation
discuss the niain hindrances and limitations to delegation.
26.1 INTRODUCTION
;
'
This is an era of large scale organisations. As the number of large scale organisations is
increasing day by day the need of delegation has tremendously increased. In a small scale
organisation, the head may be able to run the organisation effectively by keeping all the
powers with himself, but this is not possible in the case of a large scale organisation. In
large scale organisation the head may formally keep with himself all the powers relating to
the operation of the organisation but keeping in view the need fsr efficiency, he is
required to delegate his authority to his subordinates. Moreover all organisations are
organised on the basis of the principle of hierarchy which binds different levels and units
of the organisation with a continuous chain of authority. The need of delegation is
greatly felt with the growth of an organisation. In the words of L.D White, "Circumstances
of magnil:l~i: ,-" .-u...~, however, require some delegation of authority and the
settlement of much business at the point where it arises". In this unit, we shall discuss
importance, characteristics, types and limitations to delegation in administrative
organisations.
26.2 MEANING OF DELEGATION

Delegation means grant or conferment of authority by a superior to a subordinate for the
accomplishment of a particular assignment. According to Mooney delegation means
conferring of specified authority by a higher to lower authority. It is devolution of
authority by a person to his agent or subordinate, subject to his right of supervision and
cbntrol, It implies that legally delegated authority still belongs to the Delegator ar the
person who delegates, but in practice its exercise is allowed to the subordinate or the
agent. Albert K. Wickesberg, too, in the same spirit observes: "The act or process of
Concepts in Organisation-11
delegation is the assigning to subordinates of specified tasks of the organisation and the
granting to one or more persons the authority necessary for directing satisfactorily the
activities and duties so assigned." However, writers like George R. Terry do nol agree
with this interpretation of delegation. They hold that delegation is not essentially a
devolution of authority from higher to a lower authority or from superior to a subordinate.
In the words of Terry, "Delegation means conferring authority from one executive or
organisation unit to another." It implies that delegation is not only devolution from higher
to lower level and it can be from lower to a higher authority or between equal authorjties.
Delegation, thus can be downward, upward or sideward. According to Terry, Delegation
may be classified as (a) Downward: when a higher authority delegates to the lower
authority as a sales manager delegates to a salesman (b) Upward: when a lower authority
delegates to a higher authority as the shareholders delegate their authority to the Board of
Directors, and (c) 'Sideward' when delegation is at an equal level as in a case of a person
delegating to his peers in the organisation. Therefore, delegation can be defined as the
entrustment of a part of work or responsibility and authority to another and the creation of
accountability for performance.
26.3 CHARACTERISTICS OF DELEGATION

Delegation being a .process of devolution of authority has the following characteristics:
1) Delegation is the authorisation to a subordinate or another organisational unit to act in
. a certain way independently. The delegatee has to act within the limits prescribed by
the delegator. Within these limits the delegatee (subordinate) is not free to act
arbitrarily but subject to the policy, rules and regulations framed by the delegating
authority.
2) Delegation has a dual character. A superior or delegator delegates the authority to the
subordinate but at the same time retains the authority. It has been rightly observed by
Terry. "It is something like imparting knowledge you share with others who then
possess the knowledge, but you still retain the knowledge too."
3) Delegation implies partial delegation of authority. The delegator does not delegate his
entire authority to his subordinates for in case, he delegates all his authority, he cannot
exercise the power to supervise and control. Therefore, delegation is subject to specific
or limited terms.
4) Authority once delegated is subject to variance. It can be enhanced, reduced or
withdrawn. It all depends upon the requirement of the time and accomplishment of the
task.
26.4 NEED FOR DELEGATION

Delegation is a universal phenomenon. No organisation can work without devolution of
authority as it brings not only efficiency and economy, but also makes the administration
smooth. Delegation can be justified on the following grounds:
i) Volume of Work
Increasing volume of work requires that there should be some sort of delegation. It
becomes difficult for the head of an organisation to keep all the workload to himself. If he
daes like this, the work is sure to suffer. There will be neither efficiency nor economy,
According to Albert K. Wickesberg: "as the demand for output increase, as,volume goes
up, there is a need for additional people to assist in doing the work for which the
organisation was formed. With greater number of pleople involved, there is a division of
the operative tasks, the actual production arid sellinlg of group services, and their related
needs. There is a division of labour, often accompai~iedby increased speculation, There is
an identification of tasks which can he performed satisfactorily by others and the
assignment of those tasks to new employees.,. Cons~:quently,there are many pressures,
which are volume related and which give rise to delegation, redelegation and redefinition
of duties and assignments."
ii) Complexity
The operational procedures bf the organisations are ?!ecoming more and mom complex.
Complexities of rules and)techniques has further added to the problem. Consequently the
need of specialists is greatly felt. The line agencies, being compelled by the
complexities delegate the work of deliberation, thinking and formulation of plans to
staff specialists, though the ultimate power to approve the plans lies with the line
iii) Saves Time for Policy Formulation and Planning

Executive head always needs more and more time for planning and policy formulation. If
he remains busy with minor details, he would not be able to devote much time to planning
and decision making. The superior who delegates effectively, is free to do more
supervisory work and overall planning. This, in turn, usually results in a smoother running,
and more productive organisation. Thus delegation helps the Chief Executive to devote his
time and energy to decision making, policy formulation and planning and relieves him off
from much of the unimportant load of work which can de easily done through his
subordinates.
iv) Educative Value

Delegation has an educative value. As one of the major duties of the manager is to
train his subordinates in the art of sharing responsibility and m&ing.decisions,
delegation plays a phenomenal role in this direction. It provides an opportunity to the
subordinates to get training in the field of sharing responsibility. The subordinates
feel encouraged and develop greater loyalty and a sense of belonging to the organisation.
It raises their morale and they feel pride in identifying themselves with the
organisation.
y) Management 1)rveloprnent
The process of delegation is not only educative in nature but is also productive. It
provides managerial development training and helps in the creation of a managerial
class of subordinates. The executives at different levels can take decisions and action on
many vital issues on their own. They develop a sense of taking initiative slid face
the challenges. In this way delegation provides an ample scope for self advancement
and self expression. Delegation is, thus, the cardinal srep in managenlent
development.
vi) To bring Flexibility in Organisation

Rigidness in an organisation is always harmful. It proves as an obstacle in the way of
increasing the output and efficiency in work. To bring flexibility in the organisation,
delegation is an esseiitiality. Delegation removes rigidity and helps in acting in accordance
with the changes in the situation.
vii) Geographical Dispersions

Large organisations have geographical dispersions. They have a net work of branches,
multipir. . -;+a snrr-' Qver a wide area. Delegation and decentralisation of authority helps
to manage sffectircly tne diversified and dispersed business. The branches and units of a
large organisation being away from the head office need delegation of authority.
Delegation helps then1 to run efficiently and promptly.
viii) Economy and Efficiency

Delegation of authority helps in the division of labour, essential for the discharge of dudes
efficiently and expeditiously. Delegation minimises delays and imakes the organisatitn to
act more efficiently and economically. Due to clear demarcation of authority at various
levels of administration, delegation is also conducive to an effective control over different
branches or levels of organisation.
ix) Helpsin Successiorr

There is a great relation between delegation and niccession. An administrator, by
Concepts in Organisation-I1
delegation can prepare the way for his successor. It means when an administralor quits,
another should be able to succeed him. In the words of Schell. "Delegation is one of the
most effective tools available to an executive in preparing the way for his successor.
Indeed, it is the most important tool for selection and training successors." Delegation
helps in succession or continuance of ideas also. Every enterprise is based on cerlain ideals
and those ideals continue to exist even after the exit of the administrator.
By referring to American Administration, White has summed up the reasons of delegation

in these words: "Circumstances of magnitude and volume, however, require some
delegation of authority and the settlement of much business at the point where it arises.
The convenience of citizens alone compels most matters to be handled outside
Washington. The avoidance of delay in administrative bottlenecks requires decisions at a
hundred or a thousand field offices rather than single headquarters establishment. In
some cases, proper adjustment of policy and programme to local conditions requires
discretionary field decisions. Certainly, the delegation of authority means grcater energy,
a higher sense of responsibility and better morale among field agents. They are not content
to be mefi messengers and reporters of their washingtori Superiors.

Note: i) Use.the space below for your answers.
..
1) Define delegation.
...
'
""
2) Give three characteristics of delegation.
3) List four needs of delegation.
26.I.TYPES OF DELEGATION
Delegation cm be of several types viz., permanent or temporary, full or partially,
conditional or unconditional, fornlal or informal, m&direct or indirect. We shall discuss
these different types in some detail.
Permanent and Temporary Delegation
.'
'
Delegation may be ofpxmanent or teniporq nature. In case of permanent delegation the

powers are delegated forever subject to normal conditions. Only in extraordinary
circumsti~accsthis !cintE c.rT n.relc-.gr,tioiami@ be revoliec2. Temporitry d:.lega~l~n

im~lies
$elegntic~nof powers f;.x I. short perjod for the aict:c1rn~1liii11m1cn1
:1f some end. Wllan t i x end
is achic:ve.d the delegatiorl also ends. Accorclik~gto Erwin Haskell Schr:ll, E'hr cxrcnt itrid
arra r ~ delegatiotl
f
nlny vasy dependirig nipi?n ciicumstariczs. You m;l,y for. exa~rigriawish to
iris
delegate rasporrsibilities for Li r~:aspros:!q~ psL.i~~i,
pending t l rctuni
~
of o i n 'vvhci
responsibility as i l regedar as.;,ignra~ent."
"
Delegafi,on is flail 1:vlien no corrdilio:?~art; attached to she delegaiioi~an::; the persillr, WIKPIII
pcjavers &redr-:ir:gared, has she fLdla8ri.lority to ninke decision and take action. It is pastir11
when tltc tiecisiidnli taken by him is to be :tpppved by &91edclegntioti i~uthority.F Gc:<arup!u
~
when a dig?lo~n;ttis sent abroad with t't~lF powers to ~legotiarte.it is r'ull rlt:legation bi.rf when
Re is req~.riredto pet advice or. r~pprovalhefore nraakirsg the final rsegoiiation, it is partial
clelegntiora,
Csnditiasnila! and UwcaandiWioraaH

Delegation ran be conditional rind t~nconditinnal.Delegation is co~~ditional
wl.1en some
conditions are iallposed on the person, on whom the delegation is ccrnf~rred.I t is
unconditional when thr' subordinate is lkee to ;act without any reservation. For ex;unple
when thr decision of the sul~ordin;ltc:is subject to confirmation and revision by the
superior it is coorlitionl:slde1ui;iitiora hut when hc: is autllorised to act in his discretion thc
delegation i!; n~hcoiiditionai.
Dzlegation is fcmml when cml,oilied in written rules, by-1;lws or nrtlcrs; on the other Iiancl
it is informal when based o n cus!oans, conventions and understanding.
Direct :amd Indirect

Delegatloi~i t direct when no intermctilary is involv~ai.But whc:r
inveslvtr.!, ie ~lriiybe called l~~dilecl
rlrlegatton.
;I
tillrd rcr\ou or party i:,
Delegation is ~\lwaysgoverned by certain principles. klnler;s these pritlciplcs are observed,

delegation can not be mnde effective. 'll'he ti)llipwing princinics :ire genei~allyohserved at
the time of delegation of authority:
i) Delegtation should he done In a clenr rnitnncl- 'I'here should be no an:biguiry ahvut rh~,
authority that has been dt-legated. Policies regulations and procedure:, should be well
to the subordinates using discretionary powrrs.
defined as to give r?o irriL.~rider~tandiny
ii) Thc del~gateemust know exactly how much authority has been clelegrrtc'd: The orclers
of rielegation should he issued in written fo'onn, so that the pcrhonr, \shoin powcrs h:lve
been delegated, should be clew ijbout the limits to delegation.
ili)
Tht: i:uthority is delegated to gel certain rcsults by perfonn~ngpii~-trc~rlar

;tclivdieh: The
authority delegated to a subordinate should be adequate to assure his abtliiy to
acco~nplishthe task assigned to him The delegatee should be givcra thr autilor~lyto
use his discretion and tlzc rlelegatec should 11ot expect hit11 to act according to hi\ own
wishes. The s~tbordinatesshot~lldbe granted all the authority land responsibility they riin
handle.
iv) Authority agld responsibility should go as co-equal: Authority entrusts a ~ubordiriittethe

right of taking and enforcing d~cisionto achieve the assigned activities while
.responsibility places the obligation upon iiim to perform these activities by using ti3i.i
authority. Authority without rt*q~onsibilitylacks an ultimate purpose, and like~vi.,e,
responsibility without authority to carry on assigned activities has a hollow arllb;.
I-Ience authority and rcsponsibility should go together on the baas of parity.
V)
Total responsibility of the superior: As total responsibility can not be delegated the
superior can not avoid his responsibility for the overall activities assigned to him
mer-!y by delegating his authority to his subordinates. The subordinates is always
Concepts in Organisation
-- I1
responsible to the superior for the activities assigned to him. No superior can avoid his
overall responsibility.
vi) Delegation is based on h e principle of unity of command: This implics that a
subordinate should be responsible to a single superior and should get the authority from
him. Tile direct relalionship between the superior and subordinate eliminates confusion
and ambiguity. Responsibility to a single superior lessens the problem of conflict in
instructions and creates a feeling of greater responsibility for results. Contrary to this,
responsibility can not be fixed accurately 'and the authority of the superior is
undermined.
vii) "Keeping the communication open": These words emphasise that even after. getting
delegated assignment, the subordinates should be allowed to meet and consult the
administrator whenever he feels the need for the same. The administrator should
always be ready to guide the subordinate. I-Ie should not grumble when a subordinate
commits a mistake in connection with the delegated job but should rather come to his
rescue by providing necessary heip and guidance.
viii) Delegation should be succeeded by appraisal: @he11 a delegated assignment is
completed it should be followed by an appraisal of the subordinates performance. As
authority is pushed downward, top management must exercise a restraining hand,
so as to be sure that the interests of the programme are not jeopardised by
cor~flictingpolicies.t~orthis purpose systematic reporting system should be introduced.
It will provide an opportunity to the superiors to review the progress of
subordinates.
ix) Delegation should be properly planned and be systernatic: Authority and responsibility
for each position in the management of an organisation should be spelt out and
delegation should be made to a position rather than an individual.
In spite of the above mentioned principles of delegation, it can be said that delegation is a
difficult process, which is not based on any precise principle. The above narrated
principles are simply for guidance of the administrators, and they are not prescriptions for
all sitpations.
26.7 HINDRANCES TO DELEGATION

No doubt delegation is of great significance for all organisation, still, it is often seen that
the superior officers hesitate to delegate authority. In fact, there are several hindrances to
delegation which can be grouped as, (a) Organisational and (b) Personal.
26.7.1 Organisational Hindrances

They are as follows:
i) Lack of established methods and procedures: For making delegation a success it is
essential that definite procedures for delegating the authority should be laid down.
Delegation becomes easier if procedures and rules are well established.
ii) Lack of co-ordination and communication: Co-ordination is the cardinal principle of
organisation. Without co-ordination no organisation can work. But co-ordination
requires close communication between the different units of an organisation. Without
communication there can not be any delegation and co-ordination.
iii) Unstable and non-repetitive nature of work: Stability is a must for delegation. Stable
and repetitive work affords a greater degree of delegation.
iv) Size and location of an organisation: Size and location of the units of an organisation
sometimes hinder the delegation of authority. The larger the organisation and broader
its geographic coverage, the greater are the chances for delegation.
v) Lack of properly spelled out positions and unspecific terms of delegation of duties and
authority cause confusion and adversely affects the delegation of authority.
i
10 .
26.7.2 Personal Hindrances
Personal factors, too, stand in the way ol' delegation. These factors can be egoism tendency
to have credit for everything, fear of disloyalfy on the part of the subordinates, lack of
confidence in the capacity and competence of the subordinates; lack of emotional maturity
on the part of the delegating authority or pcrson; lack of Itnowledge of what to delcgate
and how; fear of accountability to the higher ups or the legislature or the people.
According to Pfiffner the Ihllowing human causes hinder the proces? of delegation of
authority to the authorities:
1) Pessons who rise to positio~iof hierarchical leadership have rnore than nom~alegotism.
2 ) They are afraid that others will not make the proper decision or carry them out in the
desired manner.
3) They fear that disloyal or subversive powers will devclop among strong'subordinates.
4) Strong, vigorous, and high1y motivated persons beconic impatient with the slower pace
and indecisiveness of suborctinates.
5 ) In Public Administration, political considerations often make delegation difficult.
6) The cultural heritage of man has been one of authorilarian, patriarchal leadership; thus
the practice of delegation is partly dependent on cultural change.
7) The act of delegiltion requires an emotional maturity which apparently is rare, even
among successful persons.
8) The symbols of leadership (those personal qualities and traits which attract the
attention of others) are inconsistent with the philosophy of delegation. Those striving
to succeed must make theniselves prominent.
9) Persons who desire to delegate do not know how to do it.
1 0 ) They do not know how far lhey should delegate at least for two reasone (i) the science
nf organisation and management is immature; and ( i i ) their work experience has not
taught them to neglect bccause most organisations fail to practice delegation."
In addition to these hindrance the non-acceptance of delcgation on the part of thc

subordinates too has a great bearing. The main reasons for non-acceptance can bc summed
up as (i) fear of criticism (ii) lack of needed information and resources to do a good job
(iii) lack of confi&uce to exercise delegated authosity and make corrcct decisions (iv) lack
of initiative and drive and (v) more work than one's capacity.
No doubt the above mentioned hindrances stand in the way of delegation but the
significance of delegation in an orgiunisation set up can not be denied. No organisation can
work without delegation and devolution. As delegation is ii must, the only way to meet
these challenges is to remove the bottlenecks as far as possible. For removing the
organisational factors proper procedures and methods should be established and all
concerned should follow them at the time of delegating the authority and performing the
assigned responsibilities. The organisations shoulci develop a system in which the duties
and responsibilities of the incumbents holding differcnt positions in organisational
hierarchy should be clearly defined. The organisation must possess a proper system of cnordination and communication at different levels of administration.
Pfiffner has described the following techniques to niake the delegation effective:
\
1,
i) Select subordinatcb capable of shouldering responsibility.

ii) Define such responsibility.
/ iii) Train them to carry it.
'
iv) Establish general policies and disseminate them throughout the organisation.
v) strive towards maximum standardisation of both functional and house keeping
procedures.
vi) Carry on perpetual management planning consisting of job analysis, organisation
study, budget planning, work flow study and sintplification of system and procedure,
vii) Establish external checks which auto~naticallyshow danger signals.
v i i i ) ~ s s u r ethe flow of information up, down and across the hierarchy.
26.8 LIMITS TO DELEGATION

No doubt delegation is a must in all the organisations, but no chief or superior officer can
be allowed to delegate all his authority. The delegation of complete aulh~rilymakes the
executive superfluous. Though, the extent of delegation vary from case to case depending
Delegation
- 11
upon the nature of the case, circumstances and organisational structure, there are some
well recognized limits to delegation. According to M.P. Sharma the following powers
cannot be delegated:
i) The supervisio;~of work of the first line or immediate subordinates.

ii) General Financial supcrvision and the power to sanction expenditure above a specified
arnount.
iii) Power to sanction new policies and plans and departures from established policy or
precedent.
iv) Rule making power wherc it is vested in the delegating officer.
V)
Making specified higher appointments.
vi) Hearing of appeals from the decisions of at least the immediate subordinates.
Without retaining these powers the chief executive can not control the organisation
~ffcctively.It may reducc him io be an ineffective entity.
.I ..

I ) Distinguish between different types of delegation.
2) Explain any three principles of delegation.
3) What are the hindrances to delegation?

.
.......................................................................................................................................................
.......................................................................................................................................................
2
1
I
4) Discuss the limits of delegation.
26.9 LET
UarZTP
Delegation is the most important problem of management. No.organisation can work

without the provision of delegation. 'Delegation in simple words implies conferring
. specified authority by a higher to a lower authority. In other words, it means assigning of
authority and duties to others for the attainment of desired ends. Delegation, however, is
not the final and authority can be taken back by the person who deleg.ates authority.
*.Delegation can be of several types. It can be pennanent and temporary, full and partial,
conditional and unconditional, fonnal and informal and direct and indirect.
The need of delegation is evident, for all organisations. It helps in division of work and
reduction of complexity in the working of organisational procedures. It helps in saving
more time for policy fornlularion and planning. It has an educative value and provides an
opportunity to the subordinates to sl~ouldermore responsibilities with courage and
efficiency. It brings flexibility in the working of an organisation. It makes the
administration of an organisation efficient by raising the rnorale of its cnnployees.
Delegation is governed by certain principles without which it is not possible lo delegate
authority effectively and efficiently. It should be written and specific. Authority and
responsibility for each position in the organisation should be clearly spelled out. It should
be confined to the position and not to the individual. Delegation should be planned and
systematic. As complete delegation is not possible, only that much authority should be
delegated as it is within the competence of subordinates to exercise with caution. There
should be a provision of reporting and appraisal. Policies, regulations and procedures
should be clearly defined so that there may not remain any ambiguity regarding the powers
delegated by a superior to the subordinates.
DeEr~. i s fl.'-:-rt to both organisational ancl personal hindrances. Lack of methods and
procedures, lack or irieans of coordination and communication, size and location of
organisation and personal factors like egoism, tendency to concentrate power, emotional
immaturity and the reluctance to delegale powers stand in the way of delegation.
As complete delegation is neither essential nor practicable nor in the interest of the chief
executive and the organisation, it is subject to some limits. Powers pertaining Lo finance,
appraisal, fotlnulation of policy and planning, power of appeal against unjust decisions,
etc. cannot be delegated.
-26.110 KEY WORDS

Cardinal: Fundamental.
Disseminate: Scatter.
Egoism: Self interest as moral basis of behaviour.
--
i
Concepts in Qrgnnisation
- II
Job analysis: Systematic examination, determination of nature, charactel.islics, functions,

activities of a job and knowledge, skills, experience necessary to perfom1 it.
Work flow study: Study of procedures of the job of the employees at work.

Mooney, James D. 1957. Principles of Orgnnisation; Harper and Brothers: New York.
Pfiffner John M. and Sherwood, Frank P, 1968. Administrative Orgarzisatiorr; Prentice Hall
of India: New Delhi.
Terry, George R, 1964. Principles of Management; Homewood: Illinois.
White L.D., 1958. Introduction lo Public Administration; Eurasia Publishing H ~ L I S(P)C
Ltd. : New Delhi.
,

EXERCISES
1) See Section 26.2
2) See Section 26.3
3) ~ k section
e
26.4
1) See Section 26.5

2) See Section 26.6
3) See Section 26.7
4) See Section 26.8
UNIT 27 SUBERVlBSION
Structure
27.0
27.1
27.2
27.3
Objectives
Introduction
Meaning and Definition
Different Aspects of Supervision
27.4
77.5
27.6
27.7
27.8
27.9
27.10
27.1 1
Techniques of Supervision
Qualities of a Good Supervisor
Duties of a Supervisor
Training of Supervisors
Let Us Sum Up
Key Words
Some Useful Books
27.3.1 Singular and Plural Supervision
27.0 OBJECTIVES
After studying this uiiit you should be able to:
* describe the meaning and significance of supervisiorr

discuss the different aspects and techniques of supervision and
explain the qualities of a good super~isor.~
Supervision is tlie most important task of rnanagernent. In every organisation, public or

private, there is a provisiori for supelvision at every levcl of administmtion. The scalar
system provides that each level in the hierarchical organisation is subject to the
supervision of the one immediately above it and that each employees is subject to the
control of his immediate superior. According tcr John M. Pfiffner, " From one point of
view Supervision runs up the hierarchy to its highest levels-bureau chiefs supervise
division heads, who in turn supelvise section heads, who supervise the rank and file."
Therefore in every organisation supervisio~lcall be found at all levels and lhis top to
bottom chain relationship provides coherence in the organisation. In this unit we shall
study the importance, techniques of supervision and the role of supervisor in
administrative organisation.
- 29.2 MEANING AND UEFINETION

.The word supervision is made of two words "Super" and "Vision" which means oversee or
superintend. In simple words it implies the superior's power of supervising the work of
others. It is an act of overseeing and guiding the activities of subordinates by their supetiors.
Negatively it means directing, investigating and supervising the activities of tile personnel
working in an organisation. Positively it implies to guide and advise the subordinates with an
objective to achieve the required target. In the words of Terry and Franklin, Supervision
means, "guiding and directing efforts of employees and other resources to accomplish
stated work outputs." By stressing on humanistic nature of supervision, Williatrrsor~
defines supervision, "as a process by which workers are helped by a designated staff
member to learn according to their needs, to make the best use of their knovledge and
skills and to improve thcir abilities so that hey do their jobs more effectively and with
increasing satisfactiorl to themselves and the agency." Thus supervision is a two way
Process; on the one side, it is a guiding process w11iEe on the other hand, it aims at
superlntcnding 1lic work of others. In I'acr. it has many il~gredicnts.1-1ral:;ey Ims rightly
rei~ial.ked.snpervisiol~is "selecting the right peison for each jnh, uruusing iil e x i person
~
an interest in his worl,: itnd reaching hilrr how to (lo it., nieasurirlg and rating ~~crl'c)nnance
lo
be sure th:ii ~ e l ~ c h j r11:~s
i g been hlly effecti:.e, atiniit~i!;tcriiigconcctiun where this is :;,und
raecess:iry and transferring to no re s~~itable
work or disrnissinp fhose for whonr this proves
ineffective, comfi~endingwhenever praise is merited and rewarding for good work: arid
finally fitting each pei.sor~hartnoniously into the working group-all done fairly, patiently
;ind tacdully so that tach person is caused to do his work skilfir.lly. :icc~~rarely,
in~elligeri~ly,
en~husiasticallyand coml>letzly."
------27.3 DPI:P:KIF",EfidT ASPECTS OF SUPERVISION

--
--- --
.-
__I__
I _
_
_ _ _ _ _ _ I _ _
__l_-l---l-l_-_-ll--ll
_
I
-
Snp12rvi!;ioiii s ;I broad term and its nature and scopt. varies with the kiud oi' nurk and the
people to tile :,upervist.d, the exrent supervi:;ory responsibility a i d the Icvt.1 of sul~ervision.
Foi.examplc the nature or supervision oi' work and people working in tlsc f;rcior.ics is quite
diffe'rcnt from the: kind of supervision of the work-of the employees wctrlting iii 311 office.
The 113:rtrc: of supervision of skilled ar professional employee:; i~ qaiitc different frorn that c ~ f
~ t ~ ~ s k i lli:np.?.ren
led
us their woi-k:. corl(ditic~~~~
of lork king iind pnoi9'kials are quite di.fft:ient.
Si~nil~irly.
the :supervision at higher levei is less close and di:tnilcd than at the lower. level and
also rerjuxs higher ability, experience and tact. Thus supervision ha:$ 3 w i d e nzc:ining and
the supervisor i:; expected to perform different kinds of functioi~s.In tire woicll:; of F.kI.
hllarx, "a'!~!:sujx;ri;jsor is the persi.111 who knows both the v~orltto Pje: done arid the policies
aiicl prl:xYe~i\!ri's
set down bj, the. naanagement; and who cari motivlt~ethe work group lo
p e ~ f o ~ it!:
r n ;asIc.:: within the fraiilework of these policiks and procedures. His job may thus
bc described :;.j (i) :;ubstantive or technical relating td the work to be d o ~ x(ii) Ineti11.1tiorlal
or objective relating to the policies and procerlures according to which the work rnu!;t be
done; anhi (iiij ptisonal relating to the handling of worlters." Thus there are tl;rci: principal
aspccts of supervisor's working: i) snbstantive or technical, ii) institutional, and
iii) persr~~~al.
Wc siiall discuss about each of them in sonie dciail.
SuSJstr~iati.r
lit Asgaect
i
A supet.vi;OI must know the technique a~iclthe know-how of hiu wolk bccs1l.2 iic
plan his work, assign duties to others and set standards of perfostnirnre.
Ii;ir
to
EnstituCiunal Aspect
A supervisor has to run the agency or unit under his chargi: accordirrg tu chr~lblirihcdslales
and procedures and within the framework of policy. He should ensure that the work is
rightly done and finished in time. He is responsible l i ~ 3ssignmt;nl
r
oi'tlutie!i.for utteaciimcc.
personality and personal concluct of thr: personnel working under his ch:p.rr:c. Ht: iz+;IPW
respon4.l'lle for proper conservation of equipment and suppiics.
TI.iisis the inost i~npoi~a~zt

aspect of the supervisor's job. No dasubt the supervisoa. IIRS l.hc
authority to get work frorr-r the employees. But auti~o~ity
also is not suifiricltr to get the
work out of otl~ers.To get the work done th43 supervisor has to create iriterest :~nd
enthusiasl~iamong the workers in the work. Authority in fdct, Icrws from wirbi!~.1%:; Ivl;~y
Park.er Fo11et has remarked, "Authority should arise within the tlnil'yir~g1:lrocess. '4s every
living process is subject to its own authority evolved by, ur invc;lvetl in rhe procc:;~i t ~ l f .
S o social contsoi is generated by the j:rcsi:ess itself or rallier the activity or self-creating
coherence is tiac controlling authority."' 111 order to let autllority :wise k~rnwithin! tile
organisation, ;r super~ir~ti:.must be human, ~;ympatheticand considcr,snc in nataare and
posses!; t!:e art of' llurnan relationship.
27.3.1 Y irfgaalar and Plural Srjlpervisisn

In an organisation aH persons who exercise ctlnttol over ahc work of others cllri he seg:%rdcd
as sui7cr;risort; irrespactive of their position or slatus in the chain of Iiiesarchy. I$ut the
question arises v,hctlulr the aa~tlzorisylo supervise should be sinpulm or plura!.
organisation should be subject to the authority of one supervisor. In other words, he should
be supervised only by one supervisor. It implies that supervising authority must be
singular. But in practice the case is different as a single supervisor may not be familiar
with the different aspects of work done by numerous subordinates working under him. The
process of functional specialisation has made the work of supervision more difficult.
Keeping in view, this aspect, F.W. Taylor, the father of Scientific Management
Movement, advocated plural or multiple supervision in industry. According to him there
should be a team of eight functional or specialist foremen to supervise each different
aspect of worker's work. No d ~ u bthe
t modern theory of management does not accept
Taylor's concept of plural supervision and favours the principle of unity of command, but
in practice plural supervision, has become a matter of fact. We have in the modem
organisation functional supervision by various specialists running side by side with the
administrative supervision. This multiplicity is sought to be explained away by the
functions of staff which is said to be advisory and suggestive rather than authoritative in
nature. Therefore, it can be said that there are two kinds of supervisors i.e., line and staff.
Line supervisors control the subordinates in the line of comlnand while staff or functional
supervisors control the technical aspect of the job. Thus, both exist simultaneously though
the life is more authoritative than the staff.
-
--
27.4 TECHNIQUES OF SUPERVISION

According to John D. Millet, there are following six techniques of supervision:
i) Prior approval bf individual projects before initiation by an operatingbagency
ii) The promulgation of service standards
iii) Budgetary limitations upon the magnitude of operations
iv) Approval of key subordinate personnel
v) A reporting system on work progress
vi) Inspection of results
All the above techniques are essential from the point of view of supervision. We shall
discuss about each technique.
i) Prior Approval: It is the most common technique of supervision. It implies that before
taking initiative to do some work or make some policy, the subordinate must get the
approval of'the superior authority. This is a common practice in all the countries. In most
of the government activities before the work is started, the prior sanction of large projects
and schemes by the superior authority is essential.
In this way, the supervisor becomes aware of the policies and plans of the organisation in
advance which provides him an opportunity to have full control over the project. While
giving sanction, he keeps in mind the objectives of his organisation and can suggest some
improvements and changes in the scheme of the project. The supervisor will have a chance
to know about the kind of work that is to be done by his unit. He will also get a chance to
know before hand the diffic,ulties he will have to face and find out solutions to those
difficulties. Some misunderstandings if any, can also be solved and errors rectified. In this
way, the approving level is able to get detailed information about the intentions of the
operating unit. Management thus learns how the general plans have been interpreted and
how it is proposed to carry them out. If there is some misunderstanding, it can be corrected
before the actual work begins. If the general plans are inadequate to meet particular
situations, modification can be affected by approving the individual project.
This is also an effective way to developing policies and programmes in the new fields
where the agency has no experience or definite policy. This system is followed at all levels
of administration ir? India in all the public organisations.
No doubt this is a very useful method for the top management for exercising effective
supervision of the organisation but it suffers I'rom certain drawbacks. Often this technique
leads to delay in the executiun of huge projects and policies, increases red-tape and creates
tension between the staff and the supervisors. Sometimes unnecessary delay makes the
work static and the organisation fails in the achievement of its objectives and has to
undergo heavy losses. In addition to this, technique may sometimes lead to clashes and
loss of confidence between the management and the operating functionaries. Therefore, in
this case the sanctioning authorities ~ i i sact
t judiciously and liberally. They should not
waste time in keeping the proposals unnecessarily and if possible try to decentralise their
authority of granting approval to the possible level of administrative hierarchy.
Concepts inorganisation-I1
ii) Service Standards: The second technique of supervision is laying down of some
standards by the top management for the operating agencies. Service standards serve as
norms of determining how efficiently the operating units perform their tasks assigned to
them. It gives a measuring rod to the supervisor to measure rhe output of his subordinates
and provides him opportunity to take disciplinary action against those who do not reach
expected norms. This technique is used in all the countries. According to Millet, "Service
standards are necessary in government in order to ensure that work is done promptly and
properly. In any large organisation, there is likely to be a definite tendency to establish
routine which becomes more important than rendering service. Only if a coilstant standard is set up for the performance of the work itself can the inclination to procrastination and
.delay be overcome." Although standards add to the efficiency and makes the supervision
effective but the standard so fixed should be fair, concrete and objective. But it is a
difficult process to fix up service standards in administrative activities, where the standards .
are to be qualitative rather than quantitative.
iii) Work Budget: Budgetary provision is another significant technique of supervision.

Budget is an effective measure to exercise control over administration. The performance
budgee allocations fix the magnitude of the work to be done by an operating agency during
a fixed period. It makes the control of the top management effective as the operating
agencies are restricted to spend the money and they do not have the free hand to spend as
and when they feel like doing so. The advantage of this technique is that it enables top
management to fix certain limits to the work to be done but leaves the decision about
actual operations to the operating unit. The work-budget allotment is then a method of
delegating authority and of encouraging local initiative while still retaining a central
control over the magnitude of the work as a whole.
I
II
This is a good method as it encourages local initiative without effecting the system of
central control. This method is commonly used in the large scale industrial and
commercial units. Even the public sector undertakings and the executive departments, have
started making good use of this technique for exercising control over the operating
agencies.
iv) Approval of Personnel: Another technique of supervision'which is quite common
among the government agencies is the right to approve the selection and appointments of
personnel. This enables the top management to have an effective control over the
organisation. Tn reality no government agency is given complete independence in the
matter of making recruitment of personnel. The operating agencies are permitted to make
recruitment af subordinate staff. Generally, recruitment to public agencies is made through
a central personnel agency commonly known as Public Service Commission. The central
personnel agency retains the right to approve the appointments made by the subordinate
operating agencies.
'
I
I
v) Reporting: It is an important technique of supervision. The top management gets report

from different operating units. On the basis of these reports, the top management or the
supervisor can analyse and evaluate the actual performance of the operating.units, These
reports call be sent daily, weekly, fortnightly, monthly, qparterly, half yearly or yearly,
according to the requirements. These reports may be narrative or statistical, they may
embrace the broad scope of all major activities, or they may be confined to a few
'
essentials; they may ernphasise achievement or deficiencies i n performance. After
analysing the reports received from the units, the supervisor or controlling agency can
point out the deficiencies to the.concerned and motivates them to remove those
deficiencies in future. In some case, the supervisor may reprimand his subordinates and
give them new instructions.
"18.
,.'
,
.
n
m
il. =
.
8
-
vi) Inspection: Inspection is also a significant technique of supervision. The main purpose
of inspection is to observe that the field agencies are working according to established
norms, rules and procedures and whether their performance is upto the expectation of the.
central office. Through inspection, the supervisor can get the needed information and can
pass it onward to the higher authorities. But this does not mean that inspection is only a
fault finding process. On the other hand it seeks "to acquire information". It helos to
clarify management's purpose and intentions, It helps to acquaint top managemint
with the operating problems facing subordinate levels of management. It helps to build
I.*
..
personal relationship of mutual acquaintance and confidence. Leonard D. White, while

elaborating the word 'inspection' has observed that, it involves, (i) a standard fixed by law
or by administrative rule or order; (ii) an obligation on the part of individuals to observe
the standard, with penalties for non-observance (iii) and obligations to submit to
inspection; (iv) the actual viewing of the premises to determine compliance or noncompliance, (v) an order to make such alterations as may be required to secure
compliance, (vi) usually an opportunity for an administrative appeal against the others;
(vii) an eventual opportunity for court review.
f

1) Define supervision.
2) Explain substantive and institutional aspects of supervision.
.......................................................................................................................................................
3) Distinguish between sinpulitr and plural supervision.
4) Explain service standards as a technique of supervision.
, 5 ) Explain the significance of inspection as a technique of supervision'.
Supervision
- I1
.......................................................................................................................
..............................
27.5 QUALITIES OF A GOOD SUPERVISOR

Supervision requires good supervisors. Some believe that supervisors are born not made.
Such people emphasise the inborn qualities of supervisors. But these qualities confine to
personal qualities like attractive personality, good health, high intelligence, persuasiveness
and loyalty to the organisation. But in addition to these personal traits there are certain
qualities which a person must acquire to become a good supervisor. Thus a good
supervisor can have both personal and acquired traits. Pf. Pfiffner has mentioned the
following main qualities of a good supervisor:
,-
i) Command of job content i.e., expert knowledge of the work to be supervised;

ii) Personal qualifications, like integrity, honesty, ability to cooperate, ability to attract,
motivate, enthuse and unite others to work;
,
iii) Teaching ability i.e., ability to communicate with the workers and make them
understand the view point of the management;
iv) General outlook i.e., the supervisor should like his job and be absorbed in it and
' inspire those who work under him;
v) Courage and fortitude i.e., ability to take decisions and assume responsibilities;
vi) Ethical and moral considerations i.e., freedom from vices;
vii) Administrative technology i.e., ability to manage, organise and coordinate; and
viii)Curiosity and intellectual ability i.e., intellectual alertness, and receptivity to new
ideas and practices.
* . I
According to Halsey a good supervisor must develop the following qualities:

1) Thoroughness: A supervisor should collect all the information relevant to the issue
and take care of every necessary detail.
2) Fairness: It includes a sense of justice, consideration and truthfulness towards
workers.
3) ~nitiative:It is a combination of three qualities of courage, self confidence and
decisiveness.
4) Tact: It is the ability to win the loyalty and suppprt of others by saying and doing those
'things which give them a feeling that they are playing an important part in whatever is
being done.
5) Enthusiasm: It is an intense and eager interest in and devotion to a cause, a pursuit, or
an ideal.
6) Emotional Control: It implies not the elimination of emotions but rather to control
and channel them in right direction.
I
But the most important quality essential for a supervisor is the human relatidns aspect of
supervision. Today the place of command has been taken by persuation and the success of
a supervisor depends more on his personal relations with his subordinates. i t has been
rightly' observed. "The pattern of leadership desirable in supervisory positior~is based upon
behavibur that emphasises cooperation, participation, consultatiorl, and satisfaction for the
egos of the rank and the file, through strong leader may have to subdue his natural desire
for self assertion and self display." Thus a supervisor must keep the human element in
mind and try to win over the confidence of his subordinates by treating them in a cordial
and persuasive manner. He should have faith in participative management and adopt a
helpful and encouraging attitude towards his subordinates.
27.6 DUTIES OF A SUPERVISOR

A supervisor is expected to perform the following duties:
1) to understand the duties and responsibilities of his own position;
2) to plan the execution of the work;

3) to divide the work among the subordinates;
4) to train the subordinates in their respective fields of work;
5) to evaluate and'rnonitor the performance of the employees;
6) to correct mistakes and solve the problems of the employees; ,
7) to keep the subordinates informed about the policies and the changes to be made;
8) to cooperate with the colleagues and seek advice and assistance when needed;
9) to deal with the suggestions and complaints of the subordinates.
TRAINING OF SUPERVISORS
"7.7
It is generally felt that a good supervisor has some inherent qualities in him. This is true to
some extent, but without proper traincng even the inherent qualities will be of no use.
According to Halsey, "It has been demonstrated time and again that almost any person of
normal intelligence and sincere desire to be of service to people, can acquire considerable
skill in the art of supervising people, if he will study its principles and methods and apply
them thoughtfully, conscientiously and persistently. There are no set methods to train the
supervisors. Different methods are applied in different organisations. However, the
following methods can be used to impart training to the supervisors:
a) Conference Method: Supervisory conferences can be used as a method to train the
supervisors in their work. The conferences require careful planning and skilful direction.
The conference leader can be a member of top management. Generally, following topics
are discussed in these conferei~ces:
i) Employee's morale and employee-employer relations;
ii) How to deal with the problems of the employees or subordh~ates;
iii) Job evaluation;
iv) Merit rating;
v) Work simplification;
vi) Office policies and regulatians.
b) On the Job Training: Where there are no planned arrangements for supervisory
,training, on the job training is considered to be sufficient. it is a very slow method.
Planned approach is surely better than on the job training.
I
c) Under-study or assistant to Supervisor-Training: It is also a type of oti the job
, training but the only difference is that in this case an assistant is given the fegular duty and
responsibility of becoming familiar with the work 0%the supervisor. The supervisor points
~ uthe
t fault of the assistant. This system is generally not favoured by the supeyisors as
as assistants come to know their secrets.
the perSdnS so appointed
- I
C M C Your
~
~ r o ~ 2~ i H
.
<,%
.Note: i) Use the space given below for your answers.

iij Check your answers with those given at the end of the unit.
1) What are the qualities of a good supetvi$or ? List any four.
Concepts in Organisation --n
2) Mentien five duties of a supervisor.
3) Explain different methods of trainii~gsupervisors.
27.8.LET US SUM UP .
Supervision is the most important task of management and no organisation can work
without the provision of supervision at the different levels of administration. Supervision
implies guiding and directing the subordinate employees for the attainment of desired ends.
It is both a guiding and superintending process.
As supervision is a broad term it varies in nature and scope. There are three principal
aspects of supervision viz; (a) subst tive aspect (b) Institutional aspect and (c) Personal
aspects. Supervising authority can be 0th singular and plural.
"6
Since supervision is both a.guiding and superintending process it can be exercised through
several methods i.e., (i) Prior approval (ii) Service standards (iii) Work budget
(iv) Approval of personnel (v) Reporting and (vi) Inspection.
To exercise supervision there is a need of a good supervisor. He should be well trained and
conversant with the job, fair in dealing, honest, courageous, persuasive, tactful and
understanding.
27.9 KEY WORDS

Job Evaluation: A systematic and objective process of analysing and determining the
nature and characteristics of jobs and occupations and their relationship to effectiveness of
organisations.
Perforrnadce Budget: A budget wherein expenditures are based primarily upon
measurable performance of activities and work programmes.
Plural Supervision: When a member of an organisation is supervised by various
specialists alongwith administrative supervisor.
Procrastination: Defer action.
Promulgation: Make known to public.
Singular Supervision: When a member of an organisation is supervised by only one
supervisor.
Work Simplication: Ascertaining the best possible ways to perform work activities in
terms of personnel, time, equipment or othkr related factors.
Supervision

Halsey, G.D. 1953. Supervising People; Harper & Brothers: New York.
Millet John D, 1954. Managentent of Public Service; McGraw Hills: New York.
Sharma, M.P. et al., 1987. Public Administration in Theory and Practice; Kitab Mahal:
Allahabad.
Terry R. George et al., 1987. Principles of Management; All India Traveller Book-seller:
New Delhi.
Tyagi, A.R., 1986. Public Aclmini.rtration: Principles and Practice; Atma Ram & Sons:
New Delhi.
Williamson M., 1950. Supervision - Principles & Methods; Women's Press: New York.
White, L.D., 1964. Introduction to the Study of Public Administration;Eurasia Publishing
Home Pvt. Ltd., New Delhi.
27.11 ANSWERS TO CHECK YOUR PROGRESS EXERCISES

1) See Section 27.2
2) See Section 27.3
4) See Section 27.4
5) See Section 27.4

, 1) See Section 27.5
2) See Section 27.6
3) See Section 27.7
UNIT 28 COMMUNICATION
28.0 Objectives
28.1 Introduction
28.3 Elements of a Communication System
28.3 Essentials of Communication
28.5 'Types of Comn~unication
28.6 Media of Communication
28.7 Factors Inhibiting Communication
28.8 Let Us Sum Up
28.9 Key Words
28.10')~omeUseful Books
28.1 1 Answers to Check Your Progress Exercises
-28.0 OBJECTIVES
After studying the unit you will be able to:
describe the meaning and importance of communication in administration
identify tlie main elements and essentials of communication
* diflirentiate between different types of communication
discuss different media of conlmunication; and
analyse the factors that inhibit effective communication.
0
28.1 INTRODUCTION
In administrative theory and organisation, communication is one of the most widely
discussed but l6ss clearly analys~dtopics. According to Fred Lurhans "some estimates of
the extent of its use go up to about three fourths of an active human beings life, and even
higher proportions of a typical manager's time". Ineffective communicatinn has been
identified as the root cause of many problems in the world. Hicks and Gullett have
suggested that the heart of all the world's problerns - at least of men with each other-is
The concept of
man's inability to communicate as well as he thinks he is communica'ti~~~.
communication is interrelated with concepts such as motivation, coordination, leadership,
structure; and decision making in organisations. In this unit we will study communication,
its importance, types, media, as well as the factors that inhibit proper communications.
28.2 MEANING AND DEFINITION
Communication is one of the main principles of organisation. It has been considered as an

effective tool for achieving the goals of an organisation. All organisations, may be small or
big, simple or complex, general or technical, have the necessity of communication
network. It plays a vital role, as functioning of all other important principles of the
organisation depends upon its availability and effectivity. Moreover, communication is the
only means for inspiring a person's enthusiastic and cooperative contacts.
Pfiffner considers the communication as "the heart of management", while Millet
describes it as the "blood stream of an administrative organisation", Writing about
communication, Ordway Tead has declared that the underlyirrg aim of communication has
been defined as that process whereby one person makes his ideas and feelings known to
another. Peter Drucker has defined communication as "the ability of the various
Concepts in Organisntion -11
functiond groups within the enterprise to understand each other and each other's functions
and concerns'" Cornmunio,~tionis difficult to achieve, if the top management does not
possess the ilrlaginatiorl and the kllnwledge to understand the behaviour of personnel
working at the lower rungs. The fol!owing are sorne of fhhe definitions:
"Communication is the process of effecting an inter-change of understand betweer1 two or
more people".
"Con~municationis the mutual inter-change of ideas by any effective means".
"....the imparting or inter-change of thoughts, opinions, or information by speech, writing,
or signs".
"Communication is the arrangement of environmental stimuli to produce certain desired
behnviour on the part of the organism".
The term communication is, generally applied in the sense of imparting knowledge or
transmitting information, however, in its wider connotation, it includes inter-change of
thoughts, partaking of ideas and a sense of participating and sharing. Thus, the essence of
colnmunication is, not information but understanding. In sotne organisations it may be
internal, external and interpersonal. In the former aspect, communication connects the
organisation with its employees while the second aspect deals with the relationship of the
organisation with the public and is called "public relations". The last one is concerned with
the relationship among the organisation's employees. In brief comn~unicationmeans
"shared understanding of a shared purpose".
28.3 ELEMENTS OF A COMMUNICATION SYSTEM

There are five main elements of a communication system. The first among these is a
communicator, he may be called as the speaker or sender. In some government agencies,
the management comprising the administrator and his subordinates is the communicator.
All the orders and instn~ctionsare issued in the name of the Chief Executive. He himself
does not prepare them but these are generally prepared and issued by the staff assisting
him. This practice preserves singleness of purpose and direction to avoid conflicting
instructions.
Transmission procedure is the second element. There may be certain media of
communication, such as teletype, wire, radio and mail in an organisation for
communicating messages. It is the responsibility of transmission centre to ensure proper
delivery and distribution of messages in the organisation. ..
Form of the communication is the third element and it may be an order, regulation,
manual, letter, report, ruling, circular, etc. Usually, Forms of communication fall into three
prinliry types: rules and regulations governing relationship of an organisation with its
clientele, these must be known to all the employees of the organisation, so that these
should be properly carried out; operating instructions of administration including various
orders, circulars, manuals and official letters prescribing internal organisation and
procedures and certain informational media such as the house journal the training hand
book, the periodic report, and other methods to convey the general tone of management. ,
Recipient is the fourth element and for this, an organisation should ensure that the
information and instruction being obtained by persons arc determined by the organisilfion.
Every communication should reach to all those who are tobe involved in effecting their
behaviour.
Desired response is recognised as the fifth and last element of coinmunication. Under it,
the higher authority requires evidence of compliance with instructions through formal
replies and reports to determine whether the information or instruction has influenced the
administrative behaviour of the recipients or not. It is possible through upward flow of
requisite information in an organisation.
28.4 ESSENTIALS OF COMMUNICATION

I t is worthwhile to mention the essentials of effective communication. According to Teny
the eight factors essential to make communicatio~leffective are (a) Inform yourself f~tlly:
(b) Establish a mutual trust in each other; (c) find a common ground of experience; (d) Use
mutual known words; (e) Have regard to context; (f)Secure and hold the receiver's
attention; (g) Employ examples and use visual aids; and (h) Practice delaying reactions.
But Richards and Nielander opine that il should reflect the policies, programmes and
practices of management. Millet has given %evenfacrcjrs viz., co~lmunicationshould be
clear, consistent with the expectation of the recipient, adequate, timely, uniform, flexible
and acceptable.
It is essential for the management to clarify ideas before co~nmunicatingthem. To convey
precise information to the recipients it is desired that they should be clearly communicated
the course of the decision, mode of action and the time elenlent etc. Such a clarity will
help establishing effective communication.
Secondly, the communicator should examine within himself as to why is he
communicating and what is the main objective of this communication.
Thirdly, communication must convey adequate information to stimulate the expected
response from the recipients. Prior assessment should be made of the total physical and
human setting which are to he involved. Voluminous and repetitive communicalion should
be avoided.
Fourthly, communication must be timely to provide sufficient time to the recipient to act
upon it.
Fifthly, uniformity%
should be maintained in the nature of communication in such cases
where the recipients are expected to behave or act'in a similar way.
Sixthly, communication should permit flexibility. "Top management usually learns that it
is preferable to communicate broad purpose 'and general intent to subordinates and to leave
good deal of judgement to the individual; so communiciltors tend to be more effective if
they are not too exacting in their detail and allow for adaptability to peculiar
circumstances."
Finaily; communications should stimulate acceptance by referring to previous
agreements or understandings or by calling attention to the new circumstances requiring
new action.
The American Management Association has given ten commandments of good
communication. These are as follows:
1) Clarify your ideas before you communicate.
2) Examine within yourself why are you communicating and what is the true purpose of
this communication.
3) Before you launch q: con~municationmeasure, consider the total physical and human
setting which will get invoived in the process which you want to ignite.
4) Consult others for planning because your own subjectivity, operates adversely in
designing your communication network.
5 ) Be mindful of the content of human message, because it iS possible that the message
may be lost in the context, and the overall configuration of the contents may disfigure
the message itself.
6) Convey other things to help him because a communicatee is not only looking forwal,
for a command, but he is curious to seek guidance and assistance.
7) Follow up your communication, for it being a chain process does not stop at a given
point of a letter or the despatch of a message. It needs to be continuously followed and
strengthens at every bend of the way. It ensures effectivity and keeps It moving till the
attainment of goal.
8) Communicate for today as well as for tomorrow. It means the communicalor should
establish a rapport and establish his own image as knowledgeable person with sound
commonsense and robust pragmatism. This image makes him a better communicator
and even those who do not take him seriously today, will gradually respond to his
communications.
'
9) Acdon suppons communications. Communication is not merely letter writing. It is

desirable that the cornrnunicatee should watch and assess the behaviour of the
communicator.
10)Seek to understand before you get understood. Commonly, understanding of situations,
requires more brains than imposing one's ideas on helpless subordinates as it is not
easy to understand others, if someone is ignorant. These help in achieving a shared
understanding of shared purposes. If these essentials are not observed the
communicatiorl process may break down.
Chester Barnard was one of the earliest writers who have recognised the importance of
communication as a facilitating factor in maintaining authority in organisations. According
to him, the following seven elements are very important in maintaining authority in an
organisation:
Concepts in Organisation -111
1) The channels of communication should be definitely known.

2) There shouId be a definite formal channel of communication to every member of an
organisation.
3) The line of com~municationshould be as direct and short as possible.

4) The complete fonnal line of communication should normally be ysed.
5) The persons serving as communication centres should be competent.

6 ) The line of communication should not be interrupted while the organisation is
functioning; and
7) Every communication should be authenticated.

Note: i) Use the space below for your ariswers.
1) Explain the impnrtance of communication in organisations.
.......................................................................................................................................................
a
2) What are the main elements of communication?
i! :
i
...................................................................................................................
1
3) What factors make communication effective?
There are three types via., downward, upward and lateral, based on the direction of
communication flow. It would be woi-thwhile for us to briefly discuss fhese types. These
fonnal types are also supplemented by informal types like the 'grapevine'.
Downward Communication
Downward communication refers to the instructions and other official messages
originating with the top personnel of an organisation. These are transmitted from top to
down through hierarchical set up and reach the lowest ranking official in the chain. The
top level for downward communication makes use of devices, such as, directives, written
or verbal orders or instructions, manuals, staff conferences, budget sanctions, other
authorisations to inform the lower rungs about its attitude and ideas as well as to direct,
guide and advise. 'In large organisations, downward communication is difficult enough to
begin with, because orders must descend through numerous intermediate levels before the
point of execution is reached. Miisunderstandings can easily occur when instructions pass
through so many people. If little upward communication exists, the difficulties are
multiplied, because the orders themselves are apt to be unrealistic and are likely to meet
with worker's resistance.'
In upward communication, messages are passed by the lower levels in the hierarchy up to
those heading the organisation. This includes whatever information is passed up through
methods, such as written and verbal reports pertaining to performance and progress,
statistical and accounting reports related to work, written and verbal requests for seeking
guidance s~~ggestion
and discussions. The upward reporting system is often of very limited
use or value in finding fault. in the agency's operation because some tirnes the head of [he
agency may appear to be unbelievably blirrd as to what is really going on in his agency;
yet based on the reports he gets everything is fine: these reports simply do not present hi~n
with all the facts.
Lateral Communication
Lateral calmmunicationmay take place arnong officials of the same level in the hierarchy
or among the officials who are out of su~erior-subordinaterelationship. We may call it
Contepts in Orgatllsation --I1
acrohs communication. l'he methods viz., written or verbal iriformation and reports, formal
and informal as well as personal contacts, staff meetings and coordination comnzittees, are
used in this type of communicatiort. This type is helpful in bringing together the related but
different parts of the organisation. Assuring coordination of organisational objectives, ihe
officials of the organisation should communicate their plans and interactiorls to one
another clearly.
Informal Communication
Tile rigidity of formal channels gives rise to informal channels of conmunication. They
supplement formal ones. Such channels of communication, often called 'grapevinc' are
branded as dangerous and mischievious to organisational functioning. They damage the
organisational interebls by carrying gossip and False information. But oftcn they play a very
constructive role. For example, take Lhe case of a person in an organisation who is worried
over a particular matter, but has no access to such information which will relieve hirn of
his tension. In such circumstances, the informal channels which'have an access to that
information will help the employees by furnishing the information or by informing to
higher ups about his genuine concern over the matter.
Informal communication flows througi.1 friendship circles and other small groups in the
organisition. They may even be uilorthodox channels like espionage networks. One
positive feature of these cliannels is that it removes some of the problems in upward cornrnu~rica~ion.
They also facilitate downward and lateral communication.
The greatest danger of infor~nalchannels is that they can. distort the information. If the
aclministrators know what type of infornlal channels are working in the organisation anti
what sort of infornlation is circulated, it helps them in coordinating the affairs. Excessive
dependence of the employees on informal channels is an indicator of weak coordination in ,
the organisation. Some times infornzal channels work to sabotage the organisational
I
purpose. To counter this danger, organisatiotls have to develop openness in infornlalion
sharing and socialisation practices.
28.6 'MEDIA OF COMMUNICATION

It wol~ldbe possible to classify the communication media i n t ~three main groups: Audial,
Visu,il and Audio-Visual.
Audil.1 cornlnullication media is adopted through cor~ferences,the interviews, the

inspection trips, public meetings, broadcasts, telephone calls, etc.
Visual communication media includes written con~municationsviz., circulars, ma~.lurrls,
reports, bulletins and hand books and pictorial forms namely pictures, photographs,
posters, cartoons, slides, flags, insignia, etc.
Audio-visual media comprises sound motion pictures, television and personal
demonstrations.
Each of these media has its advantages and disadvantiiges bun it is up to t l ~ emanagement to
decide what media will be used for which purpose.
The conference as method of cbmmunication has gained momentum in attaining marked
popularity. This method helps in avoiding delays, minimisllag correspondence and reducing
red-tapism. The main uses of the conference method, according to Millett, are: (1) to gain
awareness of a problem; (2) to help in problem solving; (3) to gain acceptance and
execution of deci'sion; (4) to help/prornote a sense of unity among the officials of the
organisation; (5) to help in appraising personnel; and (6) to help in encouraging an
exchange of information and informal relationsl~ipamong administrative personnel.
Conferences aid ir~dividualsto discharge, their present responsibilities mare effectively,
coordinate their warking relationship, and enable them to profit from others experieace,
broaden their view point and formalise organisadonal colnmunication.
The conference method possesses the advantage of creating a high degree of interest, full
and equal participation by group members, satishction through mutual achievement,
acceptance of results by participants inculcating habit of anaiysis and integratiol, of
thought, developing group morale and possessin,: an informality.
There are some limitations of conference method in the views of the Estimate Committee
of Government of Ifidia. Its 9th report stales: "The conferences have become so xiany and
are sotnetimes so unwieldy that it is impossible for officers participation in them to do frill
justice to the subject matter of the discussions and, in prcctice, instead of the meetings,
short discussions, noting.,, etc.... they sometimes lead to protracted correspondence, in as
much as different view points which are expressed have to be recorded, corrected and
reconciled and delay occurs in framing agreed minutes and sometimes further conferences
become necessary as a result of incomplete discussions. sometimes, the same officer has to
attend more than one conference the same day and cannot obviously be fully prepared for
each conference, consequently, he does nor contribute fully to the discussions. In ihort, the
conference system is proving more elaborate than the original procedure of noting on
files."
Conferences should be carefully managed so as t o make them most useful. h conference
must follow or observe preliminary planning, expert services, rules and provide for
adequate organisation for effective working. Persons responsible for preliminary planning
nlust be given adequate or sufficient time and the qualified persons should be assigned
tasks well in advance. The conference room should be well equipped with the provision of
aids like black-boards, slides and projectors, recording, seating arrangement, timing, eto.
The personality of the Chairman and the procedure adopted may lrelp in niaking the
conference successful.
28.7 FACTORS INI%IBITHNG6110MMIJNHCATIOW

There are certain factors which come in the way of S I I I O O ! ~l'low of c o ~ i ~ ! ~ ~ u ~ ~ ~ c ; l f i r n
process. With the result, the comlnunication becomes inet'l'ective. ' I l ~ c y;Ire dc\crilxel
below.
Rigidity
In a conversation, the meaning attached to viirious words and expressions very from person
to person. Soinc people llold stray views on varioa~smatter!;. They hardly lisrcn to other
persons, in view of their rigid smrad on certain matters. This leads to ineftkclive
communication. People have to tlevelop the skill of listeninE to others. They must have
patience to accomtnodate the view points of others. This lead!; to effective co!nrnunication.
Generalisations
Another factor which leads to ineffective colnr-unication is generalisation. If an aged
person has had n bad experience with some youth, he considers all youth as unruly.
~
all
Similarly, if a person had read an unimpressive poem written by a poet, I P considers
that is written by that poet as unworthy. Siicll feelings about persons and things in day to
day life act as stereotype ideas on one's personality. This leads to ineffective
communication.
Extreme Oainions
Some people br:tnil everything in this world as either good or bad. In their day to day life
they show rigidity. But, in real life it is difficuh to view things in two simplified
cornpartnients. There are so Inany grey nreas which esist. Pedple with extreme opinions
behave in such a way, that if a person is good in one area, they consider him gorid in
every aspect of life. This happens in the other way also. This leads to ineffective
communication.
There is need to overcome some of these limiting factors and make the communications
effective. The following suggestions are given for the pul'pose:
a) Communicariori should express the total needs of the organisation.
b) Communication is effective in a climate of mutual trust and confidence.
C) Communication sl~ouldbe treated as a continuing programme. It should not be equatcd
with a brief campaign.
dl The putpose of com~ni~nication
and the person to w!~o~n
directed should be very clear.
Concepts in Organisition-JI
e) C ~ m m u n i c a t i ~should
~ n be both ways i.e., upward and downward.
f) The language and line of communication should be very clear.

g) Communication should reflect the policies, programmes and practices of management.
More important than the above is the need for mutual understanding and respect and
-confidence and trust between communicators. Only this will enable communication of
personal feelings and real problems.

I ) Explain the role of informal communications in an organisation.
2) How conference method helps communication process?
3) What factors inhibit communications?
4) What safeguards do you suggest to make comrnunicatiorrs effective?
'
28.8 LET.US 'SUM UP

Communication, which is one of the main principles, is in fact the blood stream of
administrative organisation. Communication means shared understanding of a shared
purpose. Communicator, t~anslnissionprocedure, form, recipient and desired response are
its main elements. The media of communication are viz., audial, visual and audio-visual.
Conference method is proved to be the most useful but has some limitations too.
Downward, upwards and lateral are the types of communication. Communication should
reflect the policies, programmes and practices of the management. Informal channels of
communication, to some extent give positive results. However, it needs skills to handle
ainf6rmal communication. Otherwise, it may even sabotage the organisational purpose. ,
Communication becomes ineffective in case the people iniolved in communication hold
rigid attitudes, stereotyped ideas and take extreme positions on people and matters.
,
Communication will be qffective if people have mutual trust and confidence.
'
28.9 KEY W O ~ D S
Communicatee: Person who receives the communication.

Grape Vine: An informal method of communicating information from person to person.
House Journal: A periodical publication issued by an organisation business firm to

infonh its employees or patronh of news and activities.
Insignia: Badges or distinguishing marks of office, honour or membership.
Pragmatism: A concern for and emphasis on practical matters.
'
Socialisation: To participate in friendly interchange with people.
28.10 SOME USEFUL BOOKS.

Avasthi.A. and Maheshwari S.R., 1986. Public' Aclministration; Lakshmi Narayan
Aggarwal: Agra.
.
,
Bamard, Chester I, 1938, The F~inctionsof the Executive; Harvard University Press:
Cambridge.
Hicks, Herbert G & Ray Gullet C, 1975. Organisations Theory and Behaviour; McGrawHill Book Company: New York.
Luthans, Fred, 1977. Organisational Behaviou,-;McGraw-Hill Book Company: New York.
Millet John D, 1954. Management in Public Services; McGraw-Hill Book Company: New
York.
*.
C Q ~ C ~inPOrganisation
@
-11
Nigro, Felix A. and Nigro Lloyd G , 1973. Modern Public Administration; Harper & Row
Publishers: New York.
Tead Ordway, 1951. The Art ofAdministration; McGraw-I-iill Book Company: New York.
28.11 ANSWERS TO CHECK UOkTR PROGRESS

EXERCISES
1) See Section 28.2
2) See Section 28.3
3) See section 28.4

J
1) See Section 28.5

2) See Section 28.6
3) See Section 28.7
4) See Section 28.7
ADMINISTRATIVE PLANNING
29.0
29.1
29.2
29.3
29.4
Objectives
Introduction
Meaning and Significance
Nature of Planning
Types of Planning
29.4.1 Policy and Programme planning
29.4.2 Activity Planning and Ccntral Planning
29.5
29.6
29.7
29.8
29.9,
29.10
29.11
29.12
Planning Process
Planning Techniques
Location of Planning Activities
Problems of Planning
Let Us Sum Up
Key Words
Some Useful Books
29.0 OBJECTIVES
After studying this unit you should beable:
J
* to explain the meaning and signifi6ahce of planning in administration
*
*
*
to distinguish between policy planning and programme planning and activity planning
and central planning
to describe the process and techniques of planning; and
to analyse the pkoblems of planning.
.29.1 INTRODUCTION
I
Administration has generally becn defined as an art and science of getting .things done. In
the management of public affairs, 'administration' i$ conscious action to ensure that the
'
policies of government are implemented faithfully in order to achieve intended results.
For
1
instance, if the government policy is to distribute crop loans to small and marginal farmers .
to improve their kcopomic status via better production, administrative planning would
involve a serieslof ?ctions starting from proper identification of the beneficiaries to actual
utilisation of loah funds for the intended purposes. Administrative planning would thus
embrace a number of action plans'such as target group identification, determinatibn of .
demands for quantum of loan funds, timely disbursement of loan, monitoring of utilisation'
'of funds, finding out the quantum of actcral output, and ensuring timely repayment of loan
funds. Thus, administrative planning is crucial for the achievement of results of public
sponsored programmes. In this unit, we shall study the significance, techniques and ,
process bf administrative planning.
29.2 MEANING AND SIGNIFICANCE
,
a
Administration involves planning, organising, leading and' evaluating people and

programmes, so as to achieve specific goals of the government. Thus, planning is the kist
and foremost activity to achieve results in the administrative process. It involves
,.
determining goals,and committing the nlcessary resources in advance. In simple, it is to'
decide on what to do how to do and who is to do, with xeference to an activity in the
.
processbf administration. Several definitions are available, on planning and the most
/
, ,
'!b
.35
-I1
widely quoted definitions arc discussed here;-Simon and his associates define planning as
the activity that concerns itself with proposals for the future, with the evaluation of
alternative proposals, and with the methods by which these proposals may be achieved.
Planning is rational, adaptive thought applied to the future and to matters over which the
planiiers, or the administrative organisation with which they are associated, have some
degree of control. According to Peter Drucker, "Planning is the continuous process of
making present risk taking decisions systematically and with the best possible
knowledge of their futurity, organising systemntiqally the efforts needed to carry out these
decisions, and measuring the results of these decisions against the expectations through
organized systematic feedback." Millet describes planning as the process of
determining objectives of administrative efforts and of devising the means calculated to
achieve them. Planning is a conscious activity of rationalising the decision making
processes in an organisation. It is, according to Dimock and ~ i m o c k'an
, organised attemptto anticipate and to make rational arrangements for dealing with future problems by
projecting trends.' Planning is indispensable to administrative process as decisions to
realise the goals limit the range of choices available to the administration owing to limited
resources.
Despite its obvious importance, administrative planning is rarely discussed and followed in
administration. We are more familiar with economic planning or financial planning, but
we know very little about the nature and methods of administrative planning. Yet every
administrator who has easned some reputation in the profession does follow some Sort of a
planned approach to his job. It is understood more as penonal skill than some kind of
transferable knowledge.
, The general tradition has been that the government departments function with very little
formal planning. There are many reasons for this state of affairs. As John Garrett: who was
a member of the consultancy group employed by the Fulton Committee in England (1968),
pointed out: "There has.been a body of opinion in the higher Civil Service, though it.is
now diminishing, that systematic research and planning has little relevance to its work.
Concentration upon the awareness of ministerial responsibility tends to put a low valuatiop
on systematic research-based planning and a high one on rapid reaction to the topic of the
day."
Predominance of politics, job security, absence of price signals or profit motive are some
of the major reasons for lack of sustained planning effort in government, Also planning
,
awareness has been low in government often because of the absence of clear objectives and
standards against which achievement could be measured with a degree of precision.
In spite of this deficiency in government operations, the need for planning has been widely
acknowledged, and various methods and techniques are now being proposed to make
planning a reality in government. The socio-economic and political environment of
government is never static, and governments everywhere are struggling hard to cope with
changes both at home and abroad. Again, resources are always scarce and they have to be
allocated among competing alternatives to maximise production and achieve all-round
social satisfaction. .
All these reasons are compelling enough to accept planning as an essential first step in
governmental operations. Planning, be it economic or financial, is forward-thinking. It
involves a methodical mental exercise about achievement of results by means of advance
preparation of activities-scheduling. Thus, planning essentially involves 'simulation' of
activities-sequences. The real aim in planning is to achieve intended results which may be
anything like increased agricultural productivity, reducing infant mortality, removing
illiteracy, ctc. With more and more cost cons~iou~ness
in government now and because of
,
increasing result-orientation in Public Administration in recent times, administrative
planning has assumed critical importance in govem,ment all over the globe. In a developing
country such as ours, rapid socio-economic reconstruction depends almost exclusively on
large-scale and varied public programmes and projects. In this context, administrative
,
planning has a,crucial role to play. It is now universally acknowledged that administrative
plahning is the key to planned deve!oprnent and achievement30fintended results. In the
,developing countries, there is urgency .about time-bound fulfilment of targets and
achievements. For instance, in India every five-year plan sets down taaets for each sector
such as agriculture, irrigation, electricity etc. In this context, administrative plannipg
becomes a critical input in target fulfilment.
.
'
Pianlling follows policy malting. Tliesr ~ w aclivities

o
are distinct brad interrelated. Folicics
lay clown rhe fundamental principles of gsven.nmental action. They provide the framework
which planning has to take place. They set the terms of' reference within which
pl;ins are f'o~mulaterl.
Plarlllillg is ;t process, ~vhilea plan is 8 procluct. As a process, planning involves deciding
in advance what is ~ C he
I
clone and how. Decision-making ;and planning are obviously
closely related. Planning is also decision-n-laEting; yet it is rnolp than decision-making. A
piall is oriet~tedtowards the iitture arid has an action imp1ic;ation. It is projective and
inoolve:<a visio~land a pes.spective. A decision filndarnentally involve:; selection of an
alternative nrizong various choices. Colicern for the future and for n chain of activities need
not necessarily be its h;illnlnrk. /hl all the different stages of planning, decisions, however,
are of paramount importance.
Planning is of many types. Based on time it is calegorisetl as short term and long term
planning. There is ~nicloancl rliacro level ]:)lamling. 'I'he fotmer concentrates attention on a
'There is also
specific area and tile Iintter refers to the entire i\rci+of the orgailisalio~~.
physical planning which deals wiilt spatial aspects. Dirnock and Dimock identify three
types of planning: ( 1 ) nnilie,niil econornic planning (lealing with the whole of economy or a
part of It: (2) top ietel aclmii?istrutive plimning fix the government as a whole or for its
principal departriierlts or agencies: anti (3j oper;ttional planning which is primarily
concerned with carrying out tire ottjectives. As students of Public Administration we will
study different aspects of ~lministrativepl;rnnirlg, pirticulariy policy imd programme
planning and activity and central pla~lning.
29.4 Policy Plannlling and Pmgrannnle IDlaening

Policy pl;~nningis c c m ~ m with
~ ~ pse~rlriibion
i
of brontll policy guidelines s f the
govemrrlent in powcr. It normally iravolvcs a new en:tctmunt or amendments to an existing
legislation. Prclgmmme pllwning involves operationi~lisiltio~~
of policy into specific
ob,jecuives. This is ricme b?; idei~iifyingspet:ific putposcs, allocation of resources,
identification of specific cdep~artmentsand agencies to handle different purposes; and 1Sxing
responsibility for results. Aclministriitive agencies participate in both types of planning. In
policy planning tlaey assis1 tlic policy makers in government; \vhile in programme planning
they clarify their role and tiirection. Policy planning invokes more legislative action and a
large number of actors in the policy miikil.tg process. As sr~chit is nmre complex when
cornpared to progralnlne planning. (3n the otlrer hand. programme planning i~lvolvesInore
adrninistrative a;ld profcs!;ion~!l context to work out the details. Thus policy planning sets
the broad goals for ;~ci~srirnistrritive
action. It is mor.i: a tniitter of v;~lueconsiderations of
political across in rhc gclvenl~nent.Once the policy is decitled. the administrative agencies
of the governnnsr~thave ro inlplenrcnl i t . This is subject to periodical review and feedback.
Frogranme planning is a conti~luou?;
process wirl~irithe public policy. tIowever, the
ild~ninisrrativeagencies ca~rlotbe totally tjelinkecl Ilwn policy fc)rmul:dion process. The
politici~lpower is distl.ibuted among the legisl;ktive, executive ;~ndjudicial branches.
Administrative osganisauions work under the varying iilflucilces of these branct.les.
Departmental heads participate in poiicy formulation exercise by sending proposals.
infor~naticmand data required by the executive and the legislilture. Solnetinnes the
administrative i~genciesdetermine crucial issues of public policy by interpreting the policy
directives. Higher level civil servants such as the secsetarics of the government
c s part nf the decision-making
departments and the chief executives of public e n t e ~ ~ r i sare
exercise in the government.
Adrninistrarive agencies have relatively Inore involver:lent artd particip;~t:ionin plagrsrnme
plannihg. However, their actions arc subject to the review and supervision of legislature
atid its committe-ees. This i s rnore so at the time of legislative debates on the budget
sanctions for various departments and agencies.
concepts in Organisation
-11
~ h ~ u planning
gh
is es5entiully an administrative functions, it cannot be separalcd from
public policy and decision-making. In other words, planning is a good example of political
and administrative coordination.
29.4.2 Activity Plsl~nlngand ~ e n k aPlla~llning

l
Planning at different departmental levels and below is concerned with specific activities.
These activities are part of a programme. For i~ls~ance,
the welfare programmes for
children can be divided into activities such as nutrition, education, health facilites, etc.
Detailed plans have to be forn~ulatedto facilitate implementation of each activity.
Accordingly the quantity (how much), quality (how best), and lime iby whiit date) limits
are set and rhe personnel responsible for achieving the results are idenlified. This is known
as activity planning or operational planning.
While nlalcing activity plans, the administrators have to ~nitintainthe clarity of purpose.
The boundaries of each activity is io be clearly demarcated and defined. It helps in
measuring the pe~fornlanceof each activity plan against its objectives.
Central planning is concerned with monitoring and appraisal of various activity plans at a
departmental level. This appraisal has three objectives. Firstly, it goes into the preparation
of plans, data base, assumptions, reasonableness of the targets and resources,
reasonableness of the time targets, and the adequacy of the administrative machinery to
acconlplish the targets. Secondly, it goes ~ritothe interrelationships armlong several
activities wlth reference to linkages. Finally, the review and appraisal concentrates on thc
scope of the work to b
:: accomplished under each activity, with reference 10 budgetary
provisions and the government's priorities. Thus, central planning keeps ;I watch on
activity planning.
1
Checlc Your Progress 1

1) What is planning'?
2) Why is planning important in developing countries?
3) Explain the nature of planning.
A~BministrativePlanning
4) Qistir.g~~ish
belwcen policy planning and progranlme planning.
.......................................................................................................................................................
.......................................................................................................................................................
......................................................................... .............................................................................
. ....................................................................................................................................................
......................................................................................................................................................
.....................................................
.......................................................................................................................................................
5) W i l a ~is activity planning?
.......................................................................................................................................................
28,5 PLANNING PROCESS
.....
-----.----
--
--
i) Goal Clarification and Deteraaainafibaa ~ifC>bjeclives

?'he first step iil thc planning ~I.OCCSC;
is concerned with goal clarification and
iJ6ie1minalionof al>jectives.1'40 doubt this is ;an exceedingly difficult task in government.
A hard seorcll is necessary to iind out the besic pirpcssc and the major objectives of
government programtnes. Action has to taht: place within tile framework of purpose and
0k)jectives. For instance, a slogan like 'garlbi hatao' is not very helpfill in
administrative parlance. Ht has to be operrtaion;ilised into clearly ac:hievable concrete action
plitns.
ii) Forecast tile Flattare
The incvit:tble next step is to forecttst the future and try to see tltrougli the darkness of the
coming years as clearly as possible. The time-horizon of planning may be vary.
Undersr;nnlling of the f ~ ~ t u probuhilities
re
starts with an adcqu:lte knowledge of existirlg
?,
Conce~tsin Oraanisnbiora
-11
conditions. Detailed lcnowledge of the present position is helpful in making future

projections. It might be necessary to phase out an action plan and watch performance at
each specific phase.
iii) Outlining Altel-native Courses of Action

Alternative courses of action in terms of programmes and projects are set forth at the next
stage. The planner outlines the alternative for the benefit of the decision makers who are
finally make choices out of them. This exercise is necessary from the point of view of
~nillimisationof costs and maximisation of benefits.
iv) Mobillsation of Resources
The next step will involve mobilisatioli of resources to back up the actual course of action.
Finance, manpower and materials have to be quantified and properly assessed at this
stage.
v) Brganisationai Planning
Another step in the planning process illvolves organisational planning including planning
of methods and procedures. The existing organisation may have to be modified marginally
or changed substantially. New procedures may have to be adopted to facilitate the pursuit
of planned action. 'The plan procedure invariably contains a built-in arrangement for
reporting and feedback in order that the results of action can be mettsured and corrective
steps taken in case of malfunctioning. Administrative planning subsumes financial
planning, personnel planning, resource planning and organisationnl planning. The whole
exercise is directed toward the n~anipulationof critical organisational resources to bring
about planned changes.
29.6 PLANNING TECHNIQUES

Various techniques have been evolved to facilitate governmental planning and make it
more and more precise and scientific. Planning, Programming and Budgeting System
(PPBS), Programme Evaluation Review Technique (PERT), and Critical Path Method
(CPM), Mandgement Information System, Cost Benefit Analysis, Organisational Planning
are but a few techniques very much use in government today. We shall now briefly discuss
about each of them.
The Planning-Programming-Budgeting System (PPBS) has been widely used in the U.S;
Government. It has also been put to limited use in the Governrncnt of India. This technique
grew out of Robert McNamara's quest for economic rationality in defence expenditure,
when he was the U.S. Defence Secretary. Very briefly, the steps involved in PPBS are as
foll0,ws:
1) The department's objectives have to be defined clearly and the programrnes needed to
accomplish the objectives have to be outlined.
2) The output of each programme has to be carefully calculated in relation to the
objectives.
3) Total costs of the programme have to be worked out as clearly as possible.
4) Within a long range and perspective view of the future, programme planning has to be
undertaken on multi-year basis.
5 ) 'The programme objectives have to be rigorously reviewed and their outputs and costs
examined carefully. Ultimately, one has to arrive at the most effective means of
producing a desired outpiit at the lowest cost; and
6) The last step would be to integrate PPB into the budgetary process as it rolls on from
year to years.
One of the most widely used network techniques is Programme Evaluation and Review
Technique and Critical Path Method. In PERTICPM, the activities to be accomplished in
completing a project are identified. It involves steps ranging from the start tb the
completion of a large project. All these steps involved are written in a diagrem. showing
1
I
the sequence of events in an orderly manner. The time required o! complete each activity,
required, resources, and expenditure on each activity are estimated. The network
diagram undergoes modifications, until a harmonious combination of time, resources and
costs is reached. Responsibility for completion of each activity is allotted to a position
holder in the administration. Thc network is used to monitor and review the progress of
work. Time and cost over runs are identified in advance and appropriate action is
initiated.
Administrative planning has to take care of organisational planning as well. Specific
government departn~entsare involved in he performance of allotted activities. It is
necessary to bring about a close fit between organisation and intended activities.
Administrative planning, since it charts out future courses of action, has to depend on
reliable data and information. Proper systems of data storage and 1;etrieval become relevant
in this context. What is known as Management Information System has now been accepted
as an indispensable aid to planning and decision-making. After all, administrative planning
is meant to bring about desired changes within the governnlental organisation or in some
,
has to rely on the techniques of
specific sectors or aspects of society. ~ e n c eplanning
projection and forecasting.
24.7 LOCATION OF PLANNING ACTI[VHTPE$

The task of administrative planning can be undertaken at various levels of an organisation.
But the total task of an organisation can be visualised only from the top level. Hence
organisation-wide planning is the job of top management. In doing such an exercise, lhe
lower levels need to be consulted and their participation sought. The (MBO) Management
by Objective type technique is often adopted by progressive managers to enlist the support
of lower level functionaries i n planning and to execute the tasks at their levels. Such
deseggregated approach to task performance does, of, presuppose a conception of the total
task of the organisation.
.
In management parlance, plnnning is normally considered as an activity which belongs to
the 'staff' segment of an organisation. By contrast the 'line' segment is conventionally
treated as the implementing agency. While this distinction is broadly true, it needs to be
emphasised that the 'line' segment also gets involved in 'planning' activity when it coines
to executing the jobs entrusted to it. What actt~allyhappens is that the 'staff' agencies that
are placed closest to top rn:ulagernent engage in 'macro' plan~iingor organisation-wide
planning, while the 'line' agencies undertake their respective planning functions at the
'micro' or specific operational levels.
29.8 PROBLEMS IN PLANNING

Policies and plans, unless implemented have no meaning. In irnple~nentationthey
encounter many a problem both structural and value-oriented. We shall now discuss a few
such problems of planning.
Means and ends
It is difficult to control the behaviour of people to the full extent. Human beings can only
be partially controlled. A person can weaken a systcn~aticallyprepared plan. In such
circumstances, the objectives will be lost. For example, government coines with a plan to
improve the financial wition of a local body so that it is possible to implement some
welfare programmes. ~ b t a, tax consultant can help people in avoiding payment of taxes or
at least avoid paying the correct amount of taxes. A planner has to keep this problem in
mind while preparing plans. He has to see that there is large scale acceptance of the plans
by the citizens. He also has to be careful with the means by which he is going to
implement the plan. Sometimes the ends of a plan may be really genuine. But, if the
means are not up to the acceptance levels of the community, such plails are bound to fail.
Government structure
I
plans may fail if the government structure which is entrusted with the responsibility for
heir impIel.rlentationis deiiciellt. For example if the government structure is not given
nocjgh resources in terms of men and rnateri:ils to ilI'lplenle!lt a pian, it is doubtful whether
he plar! succeeds, A plan to irnprovt. literacy levels in villages will not succeed if it is not
irovided with a str1,lcture which allots resource5 and monitors the lltilisation of such
esources. Another aspect is that a politician who has a part in implementation of a plan is
oncerned about the next electior~,wllereas an adnlinistrator has a long trmz view of such a
,]an and its success. But. both are p:vt of the planning process. When the poiiticinn takes a
Ilort telm view and the administrator talies long term view of the same prr!blem, it faces
iificulties.
>
Values of people
One of the most important firctors influe~lcingimplementation of a plan is the values and
~ t l l i cof~ adminislratol-3.' h e success of a plan depends on them. If an administrator is not
having the right valucs, he may either defeat the very purpose of a plan or use the plan for
his personal ends. FOIexample, the mid-day meal scheme for school children planned by
Andhra government could not be successfiil because of lack of right values on the part of
,)eople administering the plan.
Check Yaer~rProgress 2

1) Explain the steps involved in planning process.
2) What are the steps in PPBS?
.......................................................................................................................................................
.......................................................................................................................................................
3) Explain the problems of planning?
Admlristrative Planning
.......................................................................................................................................................
29.,9 LET US SUM UP

The planning process is central to all functions of administration. It is accepted as an
integral part of governmental functioning. Planning can be categorised into policy
planning and programme planning. Programme plans are more detailed than policy plans.
Central planning is a function of reviewing and monitoring activity plans. A wide variety
of techniques are adopted to monitor and control the performance of planning. PPRS,
Programme Evaluation Review Technique/Critical Path Method and Management
Information System are some of the most popularly used methods in planning. Planning
involves several problems both in terms of structures and values which need to be tackled
properly.
29.lO KEY WORDS

Garibi Hatao: Slogan given.for eradication of poverty from Iddia by former P.M.
Mrs. Gandhi in 1970's.
Infant Mortality: Number of infants dying under 1 year of age in a year.
Methodical: Characterised by method.
Parlance: Way of speaking.
Precision: Accuracy.
Retrieval: Gathering back.
Simulation: Imitation.
Cost Benifit Analysis: The systematic method and process of studying and evaluating
whether the expenditure for products, materials or services are justified by the benefits
they may provide.
Planning, Programming and Budgeting System (PPBS): Used in the executive branch
of the U.S. Federal Government, Also put to limited use in some Ministries in India. The
budget clearly reflects the Department's objectives and programmes in fulfilment of these.
The output of each programme has to be calculated in relation to the objectives and total
costs.
Programme Evaluation Review Technique (PERT): A relatively new, planning and
control system. It is designed to help top management with planning, research,
problem-solving, decision-making and control of organisational processes.
Critical Path Method (CPM): An aspect of PERT; this is a method of network analysis
that, by means of diagrams of the order in which jobs are to be accomplished or
completed, is used for planning, estimating, scheduling, and controlling, engineering,
construction or related projects.
Management Information System (MIS): Collective term refering to any advanced
organisational (electronic mechanical, modular, evalutionary etc.), Communication device,
Process, network or system that is capable to generate, record, store and make available
information and data as required by management for planning, organizing, decision
making and control.
Co~lceplsin Organisatloin .- I1
-.---....-
--
29A1 SOME IJSEFUL BOOKS
]Bhatt;icharya, Mohit, 1987. Public Adnlilzistration. 'Fhe World Press; Calcutta.
Dimock, Ed\.varrJ Marshall & Dmock, Glrrdys Ogclen. 1975. P ~ ~ h lAi rd r ? l i ? ~ i ~ h . uOxford
ti~~.
& IBH Publishing Co.,: New Delhi.
Eiardwick, C.T and Landu~rtB.F, 1970. Arirnlnistlutive S t ~ . ( z t clnd
t ~ ~Dcr-isiorz /Vuking.
Taraporevala Sr Sons: Bombay.
Millett, John D, 1954. M~nilgenzerrrin thp Public Seivices. M[cgraw-Hill ]Book Companjr:
New York.
Simon, Herbert A, et al, 1950. Public Administi-crtion.Alfred .4. ICncbpt: New York.
29.312 ANSWERS TO CHECK YOUR PWOGRE$S

EXERCISES
1) See Section 29.2
2) See Section 29.2
3) See Section 29.3
1)See Srib Section 29.4.1
5) See Sub Section 29.4.2
1) See Section 29.5
2) See Section 29.6
3) See Section 29.8
UNIT 30 AUTHORITY AND

RESPONSIBILITY
Structure
30.0
30.1
30.2
30.3
30.4
30.5
30.6
30.7
30.8
30.9
Objectives
Introduction
Authority : Meaning and Definition
Authority and Power
Approaches to the Study of Authority
Sources of Authority
Pre-requisites and Adequacy of Authority
Limits to Authority
Responsibility
Types of Responsibility
30.9.1 Political Responsibility
30.9.2 Institutional Responsibility
30.9.3 Professional Responsibility
30.10
30.11
30.12
30.13
30.14
,.
Authority and Responsibility

Let Us Sum Up
Key Words
Some Useful Books
30.0 OBJECTIVES
@
*
*
@
explain the meaning of the concepts of authority and responsibility

differentiate between power and authority
explain the pre-requisites for the acceptance of authority in organisations
describe the sources of authority
discuss the limits to authority
s
describe different forms of responsibility; and
deliniate the relationship between authority and responsibility.
30.1 INTRODUCTION
Administration is the process of coordinating and facilitating the work of people in
organisations. People, formally and informally organise themselves as members of
different organisations in a polity. Each organisation is a battle ground for different
interest groups in the society. This is mainly due to scarcity of resources and limited
options available in the environment. This leads to a situation where people are more
concerned about who gets what, when and how in an organisation; rather than the
organisational purpose. As Pfiffner and Sherwood put it, "here is where the basic values of
the organisation are involved; and here is where the struggle for control, power and
authority is at its lowest." Therefore, it is of paramount importance to study the concepts
of authority and responsibility to understand the administrative dynamics and processes
in organisations. The modem thinking about public officials is that the ultimate control
is internal. It is a feeling of self-responsibility in a person. A study of such factors help
the students of administration to understand the public bureaucracy and its role in a
democratic state. In this unit, we will study the concepts of authority and
responsibility.
-II
30.2 AUTHORITY: MEANING AND DEFINITION

Authority is the foundation of administration in public life. It is normally exercised in a
fomalised structure of hierarchy in an organisation. It is the legitimate power to influence
the behaviour of a person or a groups of persons. According to Max Weber, authority is the
willing and unconditional compliance of people, resting upon their belief that it is
legitimate for the superior to impose his will on them and illegitimate for them to refuse to
obey. Henry Fayol, defined authority as the right to give orders and the power to exact
obedience. Thus, authority is the legitimate right to command or influence others to behave
toward the attainment of specific goals of an administrative system. In the administrative
system, each position has specific rights that job holders acquire from the title of the
position. As Allen puts it, "authority is the sum of the powers and rights entrusted to make
possible the performance of work delegated". However, authority is not just confined to
the commands, rights and instructions of superiors in organisations. The other equally
important side of authority is obedience and acceptance. Chester Barnard was one of the
writers who had recognised the importance of obedience and acceptance in the
organisational process. According to him, "authority is the character of a communication
in a formal organisation by virtue of which it is accepted by a contributor to or member of
the organisation as governing ..... or determining what he does or is not to do so far as the
organisation is concerned." In other words, authority is the legitimate right to guide a
person's behaviour in an organisation subject to the condition that the person accepts that
right by showing his obedience to it.
30.3 AUTHORITY AND POWER

Authority is an inseparable part of rights inherent to a position. These rights are constant,
irrespective of the persons holding the position. In other words, authority is legitimate and
positional. Power is the capacity to influence the decision-making of an authority holder.
Power may be described as the influence to change the behaviour of a person or persons to
suit the power holder's objectives and advantages. Authority is closely related to the, '
concept of power. Administrative system and various administrative organisations and
offices are involved in exercising their powers in the government. Thus, authority may be
defined as the legitimate power of office holders in administrative organisations. Power not
supported by law, constitution and norms is illegitimate. Illegitimate power is dangerous to
the society. The legitimate power or authority is the servant of the people and it should not
become the master of the people in a democratic society. Legitimate power or authority is
to be used in public interest in a society. To safeguard the people in general from
illegitimate power we have several mechanisms that act as limits and controls. We will
discuss these issues in the section on controls on authority.
30.4 APPROACHES TO THE STUDY OF AtTTWORITY

The concept of authority in an administrative organisation can be studied from three
important stand points. They are:
1) Legal aspects of authority: It covers the genesis, sources, rules and norms which define
the scope and limits to authority.
2) Positional aspects of authority: It covers the rights, duties'and responsibilities of
different position holders in organisations and their status in the organisation.
3) Human aspects of authority: It covers the inter-personal relations, cooperation,
communication and acceptance aspects of authority in organisations.
You will have a proper view of authority if you understand it along these three dimensiok
As each one of these dimensions gives only a partial view of the concept of authority, there
is a need to study authority from all these three dimensions. Moreover, Public
Administration is based up09 law and constitution, legal and const dtional provisions are
given paramount importance in the society, and the legat basis of authority is very
important in running the affairs of the nation. In organisations, the legitimacy of authority
is more important than other things. Another important aspect is its acceptance by the
people. These two factors constitute the whole meaning and substance of administrative
processes in a society.
Other aspects that matter in the administrative process are the personality considerations.
Administrators have to possess wisdom and good judgment so that their authority is
accepted by those concerned without question or comment. The nature of goals and
decisions of the administrators are to be seen as acceptable, viable and in the best interests
of the people. The administrators have to possess leadership skills to make an effective use
of authority vested in them. That is why, normally people with leadership skills are
effective in achieving acceptance to their authority from the people in general. Persons
without leadership qualities normally fail to get acceptance from the people despite their
authority and position in the organisation. Thus, we have to keep in mind the three
important dimensions of authority, while studying it.
There is another way of studying authority. We know that in the administrative process,
there are three important stages, viz., (1) the making of a decision on a matter concerning
an individual or a group or groups of people, (2) the communication of that decision to
those concerned and (3) the implementation of the decision in spirit and letter. All these
stages involve the use of authority by those vested with it and the acceptance by those
covered by the actions.
-
30.5 SOURCES OF AUTHORITY

Administrative agencies play a vital role in running the public affairs, achieving the goals
and objectives of the government, and protecting the public interests from the actions of
vested interists in the society. The three sources of authority in administrative agencies
are:
Law
Tradition
* Delegation
We shall discuss about these three sources of authority.
Law
Many aspects of authority have their genesis in the constitution. Other aspects come from
different laws and legislative enactments. Judicial interpretations, precedents and case
laws also give authority to the administrative persdnnel. The superior subordinate
relationship in organisations, hierarchy and division of labour speak about authority
relationships in organisations. They also describe the right to command and the duty to
obey in an organisation.
Tradition
The authority conferred by law itself is not sufficient to command obedience. Traditions
play an important part in administration as a source of authority. Normally, organisations
over a period of time develops norms, codes and work habits. These norms and codes
speak about the obedience given to different authorities in different situations. For
example, i i a situation if a particular officer is not t'here, who will officiate in that position
depends on norms and codes in the organisation. The norms and codes are partly
developed by practices and traditions and partly developed by training and indoctrination
in the work place. The administrative personnel give due respect to authority and maintain
it as a major value in the profession of administration. Different persons working in
organisations recognise this authority as one of the main ingredients helping the
organisation in achieving its purposes through coordination.
Delegation
Top administrators or heads of departments and units confer authority on their
subordinates through delegation. Thus, delegation acts as a source of authority in
organisations. This can be written or oral, but always concerns with a purpose. In fact one
of the functions of an administrator is to develop his subordinates to shoulder higher
responsibilities. This is achieved by delegating them some of the authority to achieve a
Concepts in Organisation -Il
purpose of the organisation. While delegating authority enough care is to be taken to see
that there is equal responsibility to judiciously use that authority for a public purpose.
Thus, the law, tradition and delegation play effective role in granting authority to the
administrative personnel. The evidence of authority in the official orders is seen by quoting
the source. For example, some times the authority holder puts his official seal or stamp. In
other cases, the authority is explained in descriptive tgrms by using expressions like "By
order of the government of ...." The titles, ranks and positions give a clue to the source of
authority. Some evidence of the source of authority is a must in getting acceptance from
the society in general and those concerned in particular. This makes administrative
communication and orders effective.
30.6 PRE-REQUISITES AND ADEQUACY OF

AUTHORITY
It is believed traditionally that authority in an administrative system flows from the top to
the bottom, The top can be the society at large, or the govemment, or the parliament. It
need not necessarily be a particular decision maker like the minister or a civil servant. On
the other hand, Chester Barnard views that authority comes from the bottom. According to
his argument, authority of a position holder depends upon the acceptance by his
subordinates. If he is not accepted, it is seen in the behaviour of his subordinates. It shows
the position holder's capacity to handle authority. According to Bamard, four conditions
are required to facilitate acceptance of authority in an administrative system. They are:
1) The subordinates must be able to understand the communication of the person holding ' ,
authority.
2) The subordinate should feel that this communication is consistent with the purpose of
the administrative system. .
3) The matter of communication is in tune with the personal interests of the subordinate;
and
4) ~he'subordinateis mentally and physically in a fit position to carry out the instruction,^
given in the communication.
(.
It may be considered that the superiors have no authority, in case the subordinates do not
accept the authority. Thus, the subordinates have option of disobeying even legitimate
authority, if they so choose. In other words, Bamard proposes that there are limits to
legitimate authority. To obtain acceptance outside the limits, which is called by Barnard as
the outside of zone of indifference, an authority holder has to use his skills which are not
part of his positional authority. Barnard's contention is that the traditional view of
authority (that it can be camed out without question) is not correct in today's
administrative organisations. This indicates the need for developing leadership skills on the
part of administrative personnel to use their authority effectively to achieve the
organisational purposes.
Another issue is that whether the authority that is available to the administrative personnel
is adequate to carry on their duties effectively? To answer this, first of all we have to look
at the factors that are responsible for the authority of administrative personnel ili the
society. A number of authors including Machiavelli and Max Weber have explained three
factors that contribute to the authority of the administrative personnel. They are discussed
below.
1) Career jobs
Administrators enjoy the benefit of career jobs. This guarantees permanency which is not
available to other participants in the society. Chief executives of the government may
come and go and the same is the case with parliamentarians, legislators and public men.
Government officials have tenure in their jobs and their decisions have a lasting impact on
the lives of people in general.
II
1
2) Expertise
1
Administrative personnel possess knowledge and skills as a result of their education and
I
I
experience in the job. With the result they have more skills and expertise in a subject when
to any other section in the society. As Rourke opines, that in the modem society
this expertise is pre-eminently from the fact that a variety of highly trained administrators
practice their trade in public organisations. These personnel keep a hold on skills and
information that is required to formulate and to implement public policy. Thus the ability
to use the skills and information contributes to the authority of administrative personnel.
3) Outside support
Because of their career jobs and expertise, public administrators have access to several
interest groups in the society. These groups lend their support to the public administrators
as an exchange for their services, both formally and informally.
Despite these above three strong factors facilitating exercise of authority, we often hear
administrators complaining that their existing powers from the sources of authority are not
adequate to handle public affairs and they ask for more authority. We are also aware of the
practice that governments come with more and more laws on subjects such as finance, law
and order or trade and commerce to give more powers to the administrators. This gives rise
to a situation the administrative personnel can not remember the laws & enactments due to
their large number. It is difficult to decide the adequacy of authority just by laws and
enactments. Administrators have to depend on traditions and they have to develop
leadership skills to deal effectively with the situations rather than just asking for more and
more powers. Millet emphasises the need for adequate authority in four areas to effectively
carry out their functions. They are:
1) Programme authority
Administrators should have adequate powers in deciding the goals and objectives of
administrative activities within the limits set by law.
2) ,Organisational authority
' .
Administrators should have sufficient powers to create and organise structure suitable to
implement the programmes and policies effectively.
3) Budgetary authority
Administrators should have powers to determine budgetary needs as per the programme
objectives and priorities.
4) Personnel authority
Administrators should have adequate powers to appoiht personnel, assign them suitable
tasks and functions, and to appraise their performance periodically. They should also have
powers to reward and take disciplinary action. Within an organisation, administrators need
power to motivate, appraise and discipline various categories of personnel in carrying on
the day to day affairs of the administrative agencies. The highest power is to dismiss a
person from an organisation after due process of law and procedures. The lesser and lighter
punishments are suspensions of various types, withholding a promotion, withholding a pay
increase, changing the duties, transferring to another place, and official censure. All these
methods are used to enforce discipline and to improve performance of various job holders
in the organisations. In all the cases deployment of authority to meet organisational
purposes is seen. On the positive side, promotions, pay increases, letters of appreciation,
etc., are used to improve the morale in the organisation.
. Unless the administrators have adequate powers in the above areas, it is difficult for them
to achieve the organisational goals. Any deficiency in any one of the above areas will not
guarantee administrative performance. More powers in one area will also be counter
productive to the cause of successful administration. State legislatures and parliament have
' to keep these matters in view while making enactments.
30.7 LIMITS TO AUTHORITY

Authority cornes from a source, In other words, there is a source which can exert control
On the use of authority. such controls are required to check misuse and abuse of authority
for illegitimate purposes. These controls are discussed below:
Concepts in Orgpisation-I1
Legislative Controls
Parliament and the state legislatures influence and control the authority of administrators
by making them accountable for their actions. They give guidelines to the administrative
organisations through different ministries and consultative committees. They also go into
the working of public enterprises and other government agencies. During discussions on
the budgets, the performance of different departments comes for review. In specific cases,
parliament members or members of a state legislature can raise discussion on the
functioning of a department or the functioning of a particular position holder or position
holders. These steps act as controls on the exercise of authority by the administrative
agencies.
Courts
Law courts and administrative tribunals while going into specific matters involving
administrative agencies and their personnel review their actions. The judicial
pronouncements act as effective controls on the working of administrative agencies.
Individual citizens and organised groups question the actions and functioning of
government agencies and personnel through law suits. In addition, commissions of enquiry
on the functioning of government agencies give their views to the'government for further
action. In all these cases, the administrative actions are scrutiqised and reviewed. This
helps in checking the misuse or abuse of authority.
Constitutional Safeguards
Citizens of our country can appeal to the President of the Republic or to the State
Governors against the actions of administrative personnel, if their grievances are not taken
note of by the other agencies. In addition in some states, there is the i~lstitutionof LOK
AWKTA, which can look into the specific complaints against office holders in
government. These mechanisms work as controls on the misuse of authority of
administrative personnel.
Press and the Media
The press and the media act as a mechanism of control on the authority holders in
administration. By periodical news reporting, various actions of the government and its
agencies are put to public scrutiny. The press can mobilise public opinion against misdeeds
of officials or the government agencies. The press can also raise the matters involving
public interest in a court of law. Organised interest groups such as social action groups,
environmentalists and social reformers use the press to check the misuse of office by
government agencies.
Hierarchy
In an administrative organisation, there are different levels of officials and staff with
varying degrees of authority and responsibility. The actions of an administrator are under
the supervision and control of his immediate superior in the organisational hierarchy. Thus,
it acts as an internal control mechanism on the administrative personnel.
In a democratic society, these are some of the important control mechanisms on the
administrative agencies. Above all these mechanisms, the concept of administrative
responsibility acts as a restraint on the misuse of authority.'
.i*

.......

1) What is authority?
"....................................................................................................................................................
Authority andResponsibility
2) Distinguish between authority and power.
.......................................................................................................................................................
.......................................................................................................................................................
.......................................................................................................................................................
.......................................................................................................................................................
What are the sources of authority?
4) Explain the pre-requisites of authority.
Concepts in Organisation -U
5) Are there any limits to authority?
Responsibility is the obligation to carry out certain duties. It has an inseparable

relationship with authority. Without authorily it is not possible to take up responsibility.
An administrator, while giving authority to his subordinates should also make them
responsible.for exercising authority judiciously and purposefully. Responsibility is of two
kinds, viz., operating responsibility and ultimate responsibility. An administrator can
delegate operating responsibility to his subordinates but not the ultimate responsibility.
The ultimate responsibility can never be delegated. The three concepts of authority,
responsibility and accountability are the integral parts of the process of administration.
Authority is the right to command, responsibility is the duty to carry out the command, and
the accountability is the term used to denote the proper discharge of thc duties in letter and
spirit. A person's responsibility is complete only when the duties are done according to the
letter and spirit of the command. According to traditional administrative theory, there is a
distinction between two forms of authority relationships, viz., line authority and staff
authority. Line authority denotes direct and ultimate responsibility for achieving results.
Staff authority is a supporting function in helping line authority in its endeavour. Line
authority can be equated to a superiors' authority, white staff authority can be equated t o
that of the staff. Staff authority is advisory in nature. One way of differentiating line and
staff is by defining its role in the ultimate responsibility in achieving the results,
I
30.9 TYPES OF RESPONSIBILITY

Responsibility denotes the accountability of the authority holders for achieving
results in the administrative process. The concept of responsibility is a guardian against. misuse of authority. Responsibility in the administrative process is of three types, viz.,
political, institutional and professional. We shall now discuss these three types of
responsibility.
30.9.1 Political Responsibility
In a parliamentary system of government the most important control on administration is

political responsibility. There is ministerial responsibjlity for the actions of a ministry and
the departments under it for their actions and funcfiions. The ultimate responsibility for the
success or failure rests on the minister concerned. This acts as a control device on the:
functioning of administrative agencies and offices under a department in a ministry. T h e
minister as a political functionary provides guidance in policy matters and the
.
implementation is given to the administrative agencies of different types including the
public enterprises. The political head is ultimately responsible to the chief executive and to
the legislature for the working of the adm'inistrative machinery under his corprol. This
responsibility will bear fruit, only when there is cooperation from the administrative
1
n~acIlinerycomprising a large number of officials at different levels. If the officials are not
cooperative, the minister concerned hias to facz the criticism for nsn-performance from the
chief executive and the legislature. 11.1extreme cases the minister concerned Inay have 10
m&c: an exit, in view oi' political responsibility for perfnrmance. To make the political
responsibility of due minister fsl.elitfu1asid pmposeful, the official machinery has to
cooperate with his policie? and progmrnmes, which are actually the policies ,and
programmes of the gn!/ernmenL af the d,iy.
~ 1 administrative
1
ngency trr institution Elas to be respoisible and responsive to public
welfare. Otherwise, it may be difficult for it to exist in the long nln. In other words, in its
own interest, it has to be responsible and work ira public interest. We have exan~plesof
reorgmisatioal of official a~encies,by mergers and integration to meet the public needs.
Some organisatlorns and institutions in course of time I.recome self centred and work for
themselves, ignoring the fact thrrt they exist to serve the people. Such institutions will face
problems of survival in the lung nm. I-Iowever, administrative agencies and departments
fight tooth and nail to protect thcir own intcrcsts and identity. This throws a challenge to
the political masters and to society in general to initiate action through o~giinisational
changes to bring out ordt:r in d ~ work
e
of public osganisations.
When compared to the past, today a number of specialisis such as doctors, engineers.,
scientists, accoumntaz~ts,eornpnny secretaries, lawyers and a host of other specialist and
professionais are entering into aclrninistrative services and public enterprises. Ati
professionals, they have ethics and codes of conduct which they have to maintain in
discharging their duties. Moreover, professional institutions also enforce discipline and
respcmsibility on tlneir members. In extreme cases, professional institutions terminate the
.-~rlenlbership
of a person when he is found guilty of malpractices. There alc also instances
of professionals in the public service quitting thcir jobs when it ccrrtles to the question of
professional standards and integrity. This ethical responsibility is not just confined to
technical personnel only. Now-a-days, administrative personnel and civil servants have
dcveloperl a professio~lalstatus and they go by standards and ethics. This is n welcome
feature in civil services. Prafcssional responsibility is more effectively enforced by the
individtial conscience of administrative personnel about what constiriites ethically
acceptable bcbaviour and conduct.
30.18 AUTIIOWBTY
AND RESPONSIBILITY
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--
A time honoured principle is that authority and responsibility should be equal. This tneans
that any officer or einployee who is charged with the responsibility of accomplishing any
given task must be given authority commenwrate with the task to carry it our. 111 any
organisation if the execrative is responsible for undertaking a fi~l~ction
he sllotlld be clothed
with the authority to recruit personncl, to incur expenditure and to control the
'
subordinates. If the executives are not given the authorily in personnel and financial
matters, they should be divorced from their resporlsibility also. In this context observation
of Urwick is noteworthy. He said that "to hold n group or individual accountable for
activities of any kind without assigning to him or them the necessary authority to discharge
tha~responsibility is manifestly both unsatisfactory and inequitable. It is of great
importance to smooth wrarking that at all levels authority and responsibility should be
coterminous and coequal'" But quality of control, and management by committees and
,. exercise of functional authority make the appliaabilify of this concept diffirllt.
7
Note: i) Use the space below fchr your answers.

1 ) What is responsibility?
Authority annd Responsibility
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2) Distinguish between the three types of responsibility.
3) "Authority and Responsibility should be equal". Discuss.
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3o.11
LET US SUM UP
Authority and responsibility are integral parts of the process of administration. The
traditional view that authority flows from top to the bottom in an organisation, is
questioned by many. Barnard proposes that acceptance by the subordinates and their
obedience to authority is an important factor in auth~rity~responsibility
relationship. The
main sources of authority are, law, tradition and delegation. Administrators enjoy the
bellefit of career jobs, expereisc arid support fronl the organised groups in the society. They
often cornplain that their powers are inadecymate. They have to develop leadership skills
and in the absence of it they are not effective in all situations. There are certain
nlechanisrrls in the folln of legislatzlrt, law courts, constitutional safeguards, press and the
hierarchic relationships in organismzions, which act as controls on the !nisuse and abuse of
authority. Above all, the principle of responsibility acts as a control on the abuse of
authority. Responsibility is of three types, viz., political, instjtutional and professional. The
growth of professional re.;ponsibility is a hedthy sign in civil services. It will be Inore
effectively enlorccd by the ir~dividualconscience than by laws and rules. The traditional
concept is elrat authority and resporisibility should be equal and coterminous, but in the
modern cornples orgarnisatioras this principle is being put to severe test.
30.12 KEY WORDS

Compliaaace: Consenting without protest.
Contention: A point of dispt~ez.
Judicial Prcrenoannceme~iilts:Judicial judgment court decisions.
Polity: A fonn of government.
Precedents; An example or instance used to justify later similar occurrences.
30.13 SOME USEFUI, BOOKS

-
Bamard Chester, 1938. TEtt Fl4ttcrion.s of'thc Ev~e('litil*e.

EB:trvnrd University Press:
Cambridge.
Fay01 Henry, 1949. General and Ijlti~dstri(~l
M(a?augernmt.Sir Issac Pitman: London.
NcFarland Dalton E, 1964. Management: P~.inci;>lrsarid Prnrrice. Macmillan: New York.
irz the Plrblii- St*rvica. McGraw Will: Ncw York.
Millet, John D,1954. Matz(~gem~nr
Pfiffner John M & Shcswood. Frank P, 1968. A~/nrink.\rr.uti~~~
Ot~gc.~trrst~riotr.
Prenfice Hall
of India; Neb Delhi.
Robbins, Stephen P, 1978. The Arin~inistmtiwProrvess.Prenticr: I4all of India: New Delhi.
Rourke, Francis E, 1969. Bureaucracy, Politics and P~hiic.Policy. Little Brown: Boston.
Urwick Eynclall, 1948. T/z6lc'Elements of Adntinistrution. Harper and Brothers: New York.
'Wekr Max, 1947. Thc ?'lic~oryojSocial and Economic*Olgani.s(~fions
(Translation by
Talcot Parsons and A.M. kdenderson). Free Press: New Ytrk.

EXERCISES
1) See Section 30.2
2) See Section 38.3
3) See Section 30.5
4) See Section 30.6
5 ) See Section 30.7

1) See Section 30.8
2) See Section 30.9
3) Scc Section 30. I0
UNIT 31 LEADERSHIP
Structure
31.0
31.1
31.2
31.3
31.4
31.5
Objectives
Introduction
Meaning of Leadership
Leadership Theories
Leadership Qualities
Functions of Leaders
31.5.1 Leaders as Executive
3 1 S.2 Leaders as Teacher
31.6
31.7
3 1.8
31.9
31.10
3 1.1 1
31.12
Techniques of Leadership
Styles of Leadership
Hazards of Leadership
Let Us Sum Up
Key Words
Some Useful Books

@
define leadership
* explain theories of leadership and styles of leaders

@
describe the functions and qualificaiions of leaders

discuss the techniques of Ieadership; and
explain the problems and hazards of leadership.
--
31.1 INTRODUCTION
The most irnpo~-ranttask in the public service is to guide and direct work of the group as a
whole cowards desired objectives. Leadership assumes much more importance in the
modem government since the size and the number of organisations continue to grow.
Further, there is a need for effective participation of hundreds and thousands of individuals
who are continually joining the organisation with little prior knowledge of what the
organisations are striving to do. They involve in more and more complex functions of
individual duties.
A combination of several factors separates the individual members more and more from a
personal connection with the organisation he joins. The tie becomes impersonal cold and
un-inspiring. Generally, in many Government organisations work is divided
departmentally. Each will work independently. To provide link there is a need for a leader.
Again, the division of labour tends to separate and isolate individual members from the
central purpose. In every organisation the tendency is both for the departmental heads and
for the rank and file members to see the organisation's problems in terms of primarily of
their functional effort. Only competent leaders can correct the tendencies which
functionalism and division of labour create. The leader alone can keep tiie entire group
committed to the goals whiclr could produce the best results.
Thus, the multiplication of organisations, functions, departmnents, and subordinate
geographic units lead to [he increased importance of leadership. In this connection it is
necessary to mention that formerly it was thought born leaders were enough to handle the
situation. Now the scene underwent a change. The demand is for effective leaders in many
fields, on many fronts and at successive levels of authority. There are not enough born
leaders to go round. We have to develop them.
/
1
In view of our need the idea of leadership should also change. We do not look towards a
unique individual set apart with umsual personal qualities. Organisations requires people
who can adminisler it.
In this connection it is necessary to clarify certain doubts. Generally, leadership tends to be
expressed in terns of power to command or ability to dominate. Commanding by itself is
not adequate as a basis for getting things done. Command is an exercise of power over
people. But leadership is interested in how people can be brought to work together for a
common end effectively and happily. It implieb the use and crearion of power with people.
It is conce~nedabout the process by which result is auained. Thus, we rnay cor~cludethat
in every organisation the whole man has to be appealed to and persuaded to do the job.
There is n need for total involvement in the organisation. This will be ensured only by a
good leader.
Let us try to define leadership. Evcry executive whether he deals with the people directly
or indirectly is potentially in a position to lead people. He has the task of bringing them
into an effective working harmony. To achieve this, there is a faclor known as leadership.
Leadership is defined as the activity of influencing people to cooperate towards some goal
which they come to find desirable. This definition may bc elaborated further. There are at
least four distinct fiictors in the definition. First, it is usefuI to explain the way by which
people rise to leadership. Second, the process of influencing requires study. Thirtl, the
nature of goals which people will find desirable has to be analysed. And fouith, the
qualities exhibited by leaders in action can be considered.
Some details, though brief, are required to explain the above mentioned factors. The
executive who is also the leader, sometimes gets his chance to lead because the situation in
which he finds himself' is one where the best results come in terms of leading than i11 terms
of commanding. It is the situation and not the person alone which allows the leader to
function. Thus every leader is as rnuch a product of the setting of his life and times as of
his own will to power. Sometimes we find self constituted leaders who will push his way
up by a combination of a strong personality with a vigorous, assertive ego and a steady
detem~inationto accomplish certain results.
The wcond process, is through a democratic political process where a leader is selected
from the group. In this there is a understanding between the leader and the led. In this
situation rhe leader chosen by the group has the most advantageous conditions for success.
Yet in another way he is in conlparativcly greater difficulty because he is always being
tested. However, the leader selected by a group has the best chance of winning and holding
his following.
Finally, people get the chance to be leaders through a method commonly found in many
organisations where boards of directors or trustees appoint top executives who in turn
select the lower executives. Here the group has vested interest which brought all of them to
a common platforn~.The problem of the leader is to show them that in serving the
corporate group they itre serving themselves; that in being loyal to the organisation as a
whole they are also loyal to themselves.
31.3 LEADERSHIP THEORIES

Leadership is one of the most important topics which was widely researched both by the
individuals and institutions. Studies by Ronald Lippitt and Ralf K. White, at the University
of Iowa, Bureau of Business Research of the Ohio State University and University of
Michigan have undertaken pioneering studies on leadership. The important theories of
leadership are trait theory, situational theory, group theory, etc. We will now discuss some
of these theories to gain a broad understanding of leadership.
Trait Theory
Studies on leadership in the beginning concentrated on the qualities of leaders. The major
Leadership
-111
question that was always asked was what qualities or traits analte a person a leader. S o m e
believed that leaders we bo& and are not made. This is what is popularly called the
'Greatman Theory' of Leadership. These born leaders possess certain traits and
characteristics, certain natiaral abilities which allow them to become leaders. The trait
approach is particularly concerned with identifying the personality' Waits of leaders, Later,
behavio~ralstudies have revealed that the leadership qualities lare rlot totally inhorn a n d
they can be acquired through learning, traini~~g
and experience. Several studies tried trp
identify the important traits and there was wide variation in the traits identified by the
scholars. Keith Devis for example, identifies four important traits for a successfial leader
viz., intelligence, social maturity and breadtl~,inner motivation and achievement, d r i v e
and human relations attitude. We will study some of these characteristics later in this unit.
Group Theory
Grvup theory was also developed by social psychologisis. This theony ernphasises that the
leader provides benefits to his followers. According to this theory, the followers depend
upon those leaders who satisfy their needs. B e y extend support ar~dcooperation as l o n g as
the leaders satisfy their needs and motivate them to achieve the objectives and goitls of the
organisation. Halander and Julion have ernphasised this point when they said.
"... the person in the role of leader who fi~lfills
expectations and achieves group
goals provides rewards for others which are reciprocated in the form of status,
esteem, and heightened influence. Because leadership embodies a two-way influence
relationship, recipients of influence assertions may respond by asserting influence in
turn ..... The very sustenance of the relationship depends upon some yieldirlg to
influence on both sides.
Situational Theory.
Both trait and group theories were found inadequate to provide an overall theory of
leadership. Therefore, the scholars turned their attention to the situational aspect of
leadership. They begun a search for situational variables which influence leadership roles,
skills and behaviour. This tkieory believes that leadership emerges from the situatiori a n d is
influenced by the situation. As a result leadership differs from situation to situation. F.E.
Fielder, who is important proponent of this theory, feels that people welcome leaders
because of situational factors. He ernphasises that it is not meaningful to speak of an
effective Ieader or an ineffective leader. We can only speak of a leader'who tends to fx
effective in one situation and ineffective in another situation'.
31.4 LEADERSHIP QUALITIES

Certain qualities are essential in any leader because they are vital to take the individual
towards success. Deficiencies can be eliminated by conscious effort. Good qualities can be
strengthened. But it is not possible to cultivate all the attributes since some are rliore innate
than others. An exhaustive list is not possible. However, certain specific and easily
identifiable traits are enlisted here on the basis of practical experience although ,several of
them fall under psychological terns.
A11 the,qualities listed however, do not necessarily appear in every leadership situation nor
are the? all equally required of every leader. The aim is to present a comprehensive picture
of all desirable qualifications.
i) It is generally agreed that possession of a generous and unusual endowment of physical

and nervous energy is the secret of the most successful leaders. Those who rise in any
marked way above the general public have more drive, more endurance, greater vipour
of body md mind than the average person. Robust health and basic strength is an usrct
for the effectiveness of the leader. Everyone of us realise how important is the phyhiciil
and nervous conditions in our working. Sluggishness, apathy, fatigue are generally
considered to be the stumbling elements of good leader. The leader also must recognibe
that his job is more demanding than the average worker. Therefore, the leader should
be careful about his health and vitality.
ii) The second quality which is clearly predominant in every good leader is a strong sentr
of a dominant purpose and direction. The leader is one who k~iawsmuch better what he
wants to get it done and where he wants to go. It means he possesses clarity and
precision as to the objectives, purpose or aims he want to achieve.
iii) The next quality pertains to enthusiasm. The mere presence of a sound purpose is not
enough. It must be felt to be sound by all. A sound purpose must be supported by
dynamic emotion, hope, will to win and a robust sense of joy in the job. Thus
enthusiasm is essential. It is important because it is self sustaining. If the leader has
real vigour on the physical side and definite objective on the mar~ualhorizon, then
enthusiasm is an automatic offspring. Enthusiasm can be deliberately increased but it
requires great energy, and deep intellectual conviction. A good leader is always
conscious of this fact. He should be a known enthusiast.
iv) Affection and friendliness are essential in a good leader. Infact, affection and
friendliness are positive motivating forces over the conduct of those upon whom it is
expressed. This will work in more than one direction. The tendency is for friendliness
and affection to evoke a reciprocal response. However, the leader has to guard against
sycopi~ancy-andother-evilsassociated with it in the name of friendli~iessand affection.
The followers must be able to trust their leaders. The followers want to feel a sense of
solidarity, of honesty and reliability towards the leader. The people should gain the
trust or confidence. In shdrt they want the leader to possess integrity. It is not necessary
being a paragon of virtue because it is not possible. But what is required is acting
appropriately to the expectations of the group we may hasten to'add here that where
there is a divergence of views relating to the major objectives of the organisation then
the leader should maintain his integrity and convince the followers. If he fails, he
should quit after giving a reasonable time, making clear to the group the grounds on
which he has acted. But these are extraordinary illustrations.
Integrity is demanded for another reason also. In a complex society like ours there are
conflicting demands. It becomes impossible to have a competer~topinion about many
issues. Yet the opir~ionis sought and a decision is expected. In this situation, people expect
the leader to possess co~npleteintegrity. This is a major problem of entire life philosophy
of the individual.
To these above general qualities, Chester Barnard adds four other qualities of leader. They
are (i) vitality and endurance; (ii) decisiveness; (iii) persuasiveness, and (iv) responsibility
and intellectual capacity, in that order of priority. Millet identifies eight qualities which a
leadership should possess. They are (i) good health; (ii) a sense of mission; (iii)'interest in
other people; (iv) intelligence; (v) integrity; (vi) persuasiveness; (vii) judgment and;
(**:;i) loyalty.
-,reek
Your Progress 1

I ) Explain the significallce of leadership.
2) What is Trait Theory?
Leadership
-11
3) Explain. Siiuutiorial Theory of leac!crship.
4) What qualities are irnporraint for a leader'?
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31.g FUNCTIONS OF LEADERS
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--
Leader has a significant role in the organisational Ilfc. The success or tailurc of
organisations are greatly dependent upon how well the leaders perfonns his functions. It is
necessary, therefore, to know as to what fimctionl: ;leader perfonnu. Hick!, and Ciullett
have identified eight important functions of a leader. 'Uiey are (i) arbitrCL;;iig,
(ii) suggesting; (iii) supplying objectives; Ilv) catalysing; (v) providing security;
(vi) representing; (vii) inspiring; and (viii) praising. Chester Banlard identifies three main
functions of thc executives. They are to 111aintai11communications in the organisation, to
secure essential services from individuals, and to formulate purposcj and objectives.
The work of a leader is restricted neither to the eight functions identified by Hicks and
Gullett nor to the three functions identified by Barnard. Broadly, the work of a leader, who
will be an executive, includes the following:
i)
ii)
iii)
iv)
v)
vi)
vii)
planning and defining policies and procedures.

organising the activities of all the individuals.
delegating authority and responsibility
controlling them towards the desired results
supervising Lhe work of the group
giving general orders and guidelines
interpreting and transmitting policies
viii)training the key subordinates to carry executive load

ix) coordination and
x) stimulating and vitalising all the individuals who are contributing their efforts.
A leader should support definite objectives in the organisation so that it becomes easier for
the people to understand thc goals of the organisation. If the objectives are sound then it is
possible for the lead~rlo become sound. The leader must be certain that he has a sound and
therefore an appealing purpose before he tries to win followers. In this exercise the leader
shoulcl try to interpret the experiences of his followers occasionally so that the finer points
could be explained to them. It could be convincing since the experience would benefit the
followers. In sum it means the leader should take the followers into confidence while .
rhe objectives of the organisation.
The process of drawing out support from the followers for any aim is often a crucial one
for the leader. It is possible only when the followers are convinced that the interest's and
the desires of them are being talcen adequate care. Leadership is not a matter of hypnosis or
salesmanship. It is a matter of bringing out from within the individuals, positive impulses,
motives and efforts. In fwt leadership is known by the personalities it enriches and not by
those it dominates or captivates.
i 36.5.11 Leader as Executive

'
I'
,
I
The most important aspect of the leaders with which we are really interested is that of
executives whose primary duty is to direct some departments or its units or some
enterprise. 111this respect they lnust first be able to do the executive job. It means they
should see that it is done. This requires a detailed analysis.
In every organisation there are many tasks and activities to be carried out. There is always
a need for sub-division and fi~nctioniildistribution of duties. It requires coordination.
Further, the executive at the top cannot possibly know all thc details. This situation is
confronted by all the top executives corporations, Government departments etc. As the size
of the organisation increases the technical command of the top executive who is the leader
of the organisation seems to decrease considerably. It is true that in every leadership
situation the leader has to possess enough grasp of the ways and nlearls to give wise
guidance to the staff as a whole. Due to [he complexities, the job of leading has its own
special techniques and these are different in kind from thc special techniques of directing
or operating line or staff departments. In a large organisation thc top executive posts
require primarily a coordinative responsibility. The executive leader in such a situation
should be more than a goad technician. The conductor of an orchestra is the best example
of coordinator. Thus, the coordinative technique means ability to formulate, transmit,
interpret and supervise the working of people from top to .bottom. There may be some
variations in the organisations. But there are certain broad aspects which are comtnon in
many leadership positions.
The effectiveness with which the purpose is being realised depends mostly on the t'echnical
grasp of the leader. It means he should be farniliar with standards of sound performance
and related matters of technical irnportancc. The leader should be in a position to make use
of the available expertise shrewdly. The expert should be on tap and not on top. Now it is
for the leader to take advantage of this situation, hl addition, there is more and more to
leadership in other directions. It is the ability to make a team out of a group of individual
workers, to foster a team spirit, to bring their efforts together into a unified lotal action. It
is in this broader sense that the real skill of leaders is being increasingly viewed.
Ultimately the leader has to get results. There must be action and accomplishment. The
group objectives should be realised. This is very important and also vital. It is essential that
the leader should take human experience in hand and make it the way he believes it should
take.
Decision-making is, psychologically, one of weighing evidence, sorting out alternatives,
and making n choice by which one is willing to stand. Exercising sound judgment is
essential. The leader has to understand certain very well known elements. If these are
carefully followed, the results of judgments are sure to bc better than if no conscious
attempt is made. L.et us list out those eiemenls.
In the first instance, the leader should recognise the problem he faces. Secondly he has
to gather all the facts and data relevant to the problem. The next step is its classification '
and arrangement into related groupings. The fourth step is the formulation oT possible
solution. The fifth step will be checking of this possible solution and finding out whether it
is the good solution. Thus testing is necessary to get sound results. Finally, adoption or
acceptance of the trial solution as valid and useful. This kind of procedure is called
inducting thinking or sometimes called scientific method. Decision made as a result of a
careful adherence to these steps will be far more sound than the random selection. The
procedure has certain difficulties but under the circun~stancesit is the best method.
Concepts in Organisntion-11
The leader must be careful about announcing the decisions. We most impress upon his
followers with the fact that a decision has been reached and there is no scope for functions
in opinion, hesitation; delay etc. He must act and support his decision. It is his
responsibility and cannot escape it. Sometimes it is at this point that many leaders reveal
their weaknesses.
:
The capacity and the willingness to rnake decisions can be cultivated. Prior planning and
standard routine will be useful in several decisions. There is a need for taking counsel,
eliminate confusion from the followers. It is necessary to state that there is no place for
stubbornness, obstinacy or inflexibility on the part of the leader. Finally, the real leader
will stand ready courageously to pay the price of seeing his decision through without
blaming others for his own errors.
The next important function of leader, particularly in public orgariisations, is the capacity
to delegate authority to subordinates, to carryout their essential duties. Leadership
becomes effective when others are persuaded to accept the assignments given to them and
proceed to carryout their duties. In effect, leadership is dependence upon the faithful
performance of one's associates and subordinates.
Some people try to do everything by themselves. They do not trust others. They
dislike inter-dependence. But in every organised effort in large groups dependence
upon one another becomes essential. The leader has no choice except to delegate authority
to others. The essence of delegation is to confer discretion upon others to use their
judgement in meeting specific problems within the framework of their duties.
Management leadership must then accept the responsibility for how this discretion is
exercised.
Intelligence in a personality is colnpletely in-built than most others. In the context of
organisation, the intelligence of a person is see11as the capacity to see the problem. It is
also the ability to appraise situation readily and tackle it. This capacity differs from perso11
to person. It is difficult to develop the intelligence by conscious effort. But it can be safely
stated that there are many leaders who have made up the deficiency through dete~mination,
integrity and friendliness. In this connection, mention may be made regarding two other
qualities as special evidences of intelligence-namely imagination and a sense of humour.
The capacity for imagination can be improved by deliberate effort. Imagination is essential
in more than one way. A sense of humour is important as a lubricant. It will facilitate
smooth flow of communication without hurting anybody.
31.5.2 Leader as Teacher

The next important aspect of leadership is that of staff development. In this connection it is
important to mention that a good leader is a good teacher. A good teacher is never a boss.
He is a &ide who will set up a goal, pose some problems, guide the activities afid hold a
person to a new way of mind and conduct. This is true of evkry executive in the
organisation. Let us examine some of the tested principles of a good teacher which will
ultimately be of immense use to the leader.
In the first place, the good teacher tries to build up a feeling in the learner that he is
engaged in an activity which is very inlportant for him. Thus a good leader like teacher has
to generate a desire to learn and willingness among the learners. In the second place,
learning' should begin at the point of the learner's-Present total outlook and equipment. The
new objectives should be related to what he now knows and feels. The third aspect is that
learning involves the whole organism. One has to think, feel and act appropriately for the
process to go on successfully. Briefly, it is said that the leader has to be sure that his
followers are given a chance to go through much the same experiences as have led him to ,
believe in his objectives. The fourth aspect in this analysis is in regard to the duty of the
executive to guide the foliower and provide him a chance to think and supply the
I
I
I
I
Leadership
infommation which constitute the immediate sub.iect matter of the learning. The leader
should help to arouse interest in the objectives of the group. A good leader may sometimes
win temporary support for his objectives by verbal advocacy but the real support has to
come from an experience which is deeper than learning to exhortation. One can say with a
sense of conviction and cmotion.
One final aspect of the teaching process needs a mention here. Learning takes time.
Beyond a point we cannot hurry up. The teacher and the leader alike should be aware of
the capacity and competence of the learners and direct their experiences and thus lead
them on to the desired changes in attitude.
In conclusion, it is clear that the learning process requires an active experience of
for a favourable result by those being led. The leader cannot afford to be in a
haste. It is a slow proces? But it is essential.
31.6 TECHNIQUES OF LEADERSHIP

111 any art there are definite techniques. This is true of leadership. There are certain
techniques which deserves mention. Conscious cultivation of them can bring about
improvement in general and leade~.shipvalue in particular. Giving orders occupy the first
position. Order is a functional fact. It is in~plicitin the tasks or duty to be performed. Every
individual is expected to know, as a result of good training, what is expected of him and
what are the standards of good performance. This is what scientific management teaches
us, and which every execlltive is expected to adopt. Thus on the basis of this definite and
sound method, order giving can be reduced to a minimum. But it cannot be entirely
dispensed with.
There are certain exceptions to this. Emergencies and other contingencies must be attended
to by the leader because the followers always look towards the leaders for the line to
follow. Under these circumstances the leader must step in and take command of the
situation. Problems of working method will arise. The relationships among the individual
workers, or the inter-relationships of groups or of depaftments require special adjustments
which may entail giving orders.
The leader must be clear while giving orders, remove all possible doubts and confusion.
The words used must be carefully chosen and should convey the same meaning to the
speaker and the listener. The order should be explicit. If the order is oral then the leader
should impart the order in a natural, vigorous and firm tone of voice. It should not lead to
anger or annoyance. If warranted, the order may be repeated. Any superficial behaviour is
not a healthy sign of a good leader. Thc leader should phrase the orders courteously. Avoid
terms like 'Do this' or 'Do thatY.Courteous phrase may seen1 weak but it is the most
effective method. In conclusion, good leadership implies good manners, from top to
bottom in any organisation. It is veky essential in every democratic society. The leader has
to avoid giving too many orders at one time. This creates confusion, slowness of
assimilation and hewildem~ent.Keep orders simple, keep them in time sequence, space
them according to priorities. The orders should be positive in contact. It means one has to
avoid negative oornmands. Finally, makc sure not to issue contradictory orders.
Let us look at the problem of handling followers who do not attend to their duties
seriously. The process of reprimand, punishment or criticism should be bslsed on clear
facts and figures. Penalties should be definite and administered even-1.1andedwithout
partiality or animosity. Failures on the part of individuals have to be dealt with carefully
because there may be reasons beyond their grasp. Hence, careful consideration of various
factors is essential.
Another factor of tremendaus importance is the assurance that good performance is being
appreciated by the leader. The leader should not hesitate while giving praise for good
work. The executive, however, has to follow some standard procedure. Whenever, a
standard proccdure and method is followed, the leader has a definite piece of informatiorl
for a conclusion. Commendation can be given in public where the group will know that the
merit has been recognisecl. The total hearing and appearance of the leader is another
important factor. The leader should be straightforward in personal dealings. There is need
for r\ proper balance between friendliness, cordiality, and undue familiarity.
I,
Concepts in Organisation -11
A good leader has to encourage the followers to evolve new ideas. It is possible thraugh
organised group deliberations. Fostering a sense of group identity among the followers is
another important element the leader is expected to develop in the organisation. This
improves the morale of the group. Self disciplines in the group is another item which
deserves attention by the leader. Finally the leader has a clear duty to see to it that on all
important issues the followers are informed of all relevant facts about new policies as
quickly and fully as practicable.
Now let us look at the factors affecting leader's influence over others? There are a
number of processes through which the leader influences others. The most important of
these are:
(i) suggestion; (ii) imitation; (iii) persuasive argument; (iv) publicity; (v) reliance upon
the lagic of events (vi) a show of affectionate devotion;(vii)the creating of a typical
problem situation. It is not possible to generalise in advance as to when the leader
should wisely uke one method or another. Often several of them are in operation at the
same time. But a conscious knowledge about how each influence works will help the
leader.
Suggestion may be either direct or indirect. It is used normally to build up or maintain the
prestige of the leader. It is also adopted to avoid the danger of offending the pride or
disturbing the self confidence of the followers. Suggestion is also useful in getting
supporters.
Imitation is not an active process for the leader. It is rather a support upon which he can
frequently rely upon. It is said that nothing succeeds like success. It is because people will
imitate; c'opy and kllow along as soon as success, status and esteem are present.
Persuasive argument is important and also very essential to influence individuals for an
agreement on specific issues. It is an art in which the leader has to gather all the evidences
and opinions and convince the follower to adopt a desired course.
'
1
!
I
Publicity is another technique, of which all of us are fi~llyaware in the modern times. It
will build prestige, interpret facts, attitudes and co~iclusionsto all concerned. The
leader has to choose the niedia and methods of publicity depending on the size and
character of the followers. It is necessary to differentiate between publicity and
propaganda.
1
I
The leader has to be watchful to sense the trends, and tendencies at work and find out the
logic of events and direct the followers accordingly.
Devotion to the leader, perhaps sometimes blind, is always a powerful weapon.
Lastly, let us consider the most efficient method of influencing others. This is explained in .
terms of helping to create in and around the group of followers a definite set of conditions
and circumstances which the followers feel problematic or difficult. In this situation a
leader recognises a dificulty and helps to give it a sharper focus and then offers a solution.
A further fact not to bbe ignored is that people are influenced by a leader because he
becomes a symbol of some higher cause.
'
31.7 STYLES OF LEADERSHIP

The style an executive selects greatly influences his effectiveness as a leader. Leadership
style provides motivation for the achievement of organisational goals. Improper styles may
cause irreparable damage as the employees may fed dissatisfied and resentful. Broadly
three leadership styles are identified viz., autocratic, participative and laissez-faire. Each ,
of the styles has both advantages and disadvantages. The leaders adopt different styles at .
different points of times depending upon the station. We shall now briefly discuss each of
these styles.
Autocratic Style
I
'
In this, policy and decisional authority is concentrated in the licandsof the leader. It is the
leader who decides policies and modifies them according to his own wishes. This type of
leaders expect unquestioned acceptance of the leadership by their subordinates. I1 is very
difficult to anticipate the behaviour of the leaders because of their autocratic style. Leader
tends to be personal and remains aloof from the group. He considers himself superior and
all his colleagues inferior, inexperienced and ignorant. This type of leadership has the
advantage of quick decision-making. But it causes pain to the employees and results in
dissatisfaction. In the process employees may become passive towards organisational
goals.
Participative Style
This style is also called the democratic style of leadership. In this, leaders obtain the
cooperation of the employees in achieving organisational goals. They allow the employees
to participate in decision-making process. All policies and decisions are arrived at through
group discussions. Leader encourages and assists his colleagues and only provides
alternatives instead of dictating the final decisions or policies. The members of the group
enjoy greater freedom. Leader is generally objective both in praise and criticism. Leader
recognises the work of subordinates. He believes that the subordinates are capable of
making decisions. Participative style leads to improved employee-employer relations,
higher morale and greater job satisfaction. It also seduces the burden on the leader. A
major problem in this type of leadership is dilution in the quality of decisions as every
view point has to be taken into.consideration in fom~ulatingpolicies and taking decisions.
It is also time consuming because of consultative process.
Laissez-faire Style
In this type of leadership, the organisation does not depend on the leader to provide
external motivation. The employees motivate themselves. They enjoy greater freedom and
the leader's participation in decision-making is minimal. No attempts are made to regulate
the course of events in the functioning of the organisation. Leader only assumes the role of
one of the members of the organisation. This style of leadership has advantage of giving
freedom and independence to the employees. But unfortunately in the absence of a strong
leader the employees may not have proper direction and control. This may lead the
employees to become frustrated and may even result in organisational chaos.
311.8 HAZARDS OF LEADERSHIP

There are certain-constraints on good leadership. In the first place, leaders should properly
regard other pe'r;ple as ends in themselves, not as mere instruments to realise ends imposed
by a leader. Secondly, any normal, healthy minded person will exercise power by
persuasive influence rather than by coercion.
I
The manifestation of various causes and occasions of mental disturbance show themselves
under the following:
Every leader gets an opportunity to satisfy an inner urge for enhancement of his ego. Bul
this love of self aggrandisement can easily get out of hand. This is a dangerous tendency.
This excess may take several farms. It may lead to a feeling of superiority and aloofness,
vanity, pride etc. ,He m8y demand too much. flattery and personal loyalty and therefore
gather a set of 'yesmen' or sycophants. There are several ways through which the leader
will have set right his behaviour.
In the next instance, a leader should guard himself against emotional instability. This will
take the form of chronic irritability and quick temper. Another hazard in the leadership
style pertains to obsessive few complex. The leader in some cases entertains the feeling
that he is not good enough for his task or is on the verge of failure. All such feelings
undermine self confidence. They curb enthusiasm. They are inhibiting factors and tend to
destroy the sources of personal power. The leader has to avoid such self defeating
propositions,
'In certain other instances, good workers just below the level of top executives,seern to
be well qualified to lead but are afraid to try when a chance is given. This inferiority
feeling also becomes one of the powerful hazards of leadership. Another aspect which is
equally dangerous is the tendency to legitimise irregular activity. Legitimisation means
that whatever we do we try to defend it and support it as a correct decision. This is no1 a
healthy symptom. This will generate an attitude of self-righteousness in the leader.
-11
This tendency will create a feeling among the fol'loweis that their leader is a
hypocrite.
Finally, the leader must be vigilant about the sadism. It means any form of behnviour from
which the individual derives satisfaction, which imposes suffering pain or cruelty upon
others. This is the most unfortunate trait for a leader to have. One manifestation, not
always thought of as sadistic, is the use of sarcasm. This is also not desirable.
In conclusion, the corrective line to be followed, is re-ducation in the light of full
knowledge of the causes of the maladjustments. Discover and confront the realities. That is
the general dictate which must be followed wherever any of the several kinds of potential
9nzards of leadership listed abQve are found to be present.

1) Explain the functions of the leader as an 'executive'.
2) Is leader a teacher? How?
.......................................................................................................................................................
.......................................................................................................................................................
3) How does a leader influence others?
Lendership
4) Distinguish between autocratic and participative styles of leadership.
.......................................................................................................................................................
31.9 LET US-SUMUP
'
In this Unit we have discussed that leadership has an important role to play in the efficient
functioning of organisations. In particular we have discussed the theories of leadership,
functions of leaders, qualities of a good leader, leadership styles and problems and hazards
of leaders.
31.10 KEY WORDS

Styles of leadership
Autocratic Style: In this style of leadership, the leader has the absolute authority to take
decisions.
Participative Style: In this style of leadership, the employees too participate in the
decision-making process.
Laissez-faire Style: Here, the employees have full freedom to take decisions, leaders'
participation in decision-making is minimal.
,Theories of leadership
Trait Theory: According to this theory, leaders have inborn qualities.
Situational Theory: According to this theory, leadership emerges from situation and is
influenced by situation.
Group Theory: According to this theory, a person is accepted as a leader as long as he/she
satisfies the needs of the groups.
31.11 SOME USEFUL'BOOKS

'
Barnard, Chester I., 1948. Organisation and Managenlent; Harvard University Press:
Cambridge
Hicks, Herbert G. and Gullett, C. Ray, 1975. Organisations: Theory and Behavioul.;
McGraw Hill Book Company: New York.
/
I
Concepts in Organisation - II
Luthans, Fred, 1977. Organisational Behavioul-; MCGS~W

Hill Book Company:
New York.
Millett, J.D., 1954. Management itt the Puhlic Set-vice; McGraw Hill Book Campally lnc.
New York.
Nigro, Felix A, and Nigro Lloyd G., 1973. Modern Public Administ?-ntiotz;Haver and
Row Publishers: New York.
Pfiffner, John M., and Sherwnod Frank P., 1968. Arlministrativc Orgm~isatiort;Prentice
Hall of India Private Ltd.: New Delhi.

EXERCISES
1)' See Section 31.1 and 3 1.2
2) See Section 31.3
3) See Section 31.3
4) See Section 31.4

1) See Sub-Section 3 1.5.1
2) See Sub-Section 31.5.2
3) See Section 31.6
4) See Section 31.7
CmEF EXECUTIVE
'
32.0
32.1
32.2
32.3
Objectives
Introduction
Meaning of Chief Executive
Types of Chief Executives
The Parliamentary and Presidential Types of the Chief Executives
The Titular and the Real Chief Executives
Single and Plural Chief Executives
The Collegial Executive of Switzerland
32.4 Various Types of Local Chief Executives

32.5 Functions of the Chief Executives
:.
32.5.1 Political Functions

32.5.2 Administrative Functions
32.6 Aides to the Chief Executive

Staff Agencies
Line Agencies
32.7 The Indian Executive

The Union Executive
The State Executive
Executive at the District Level
32.8
32.9
32.10
32.11
32.12
32.13
The District Collector as the chief Executive

Conclusion
Let Us Sum Up
Key Words
Some Useful Books
32.0 OBJECTIVES
..."...--.
After reading this unit you will be able to:

b clearly understand the meaning of the word chief exccutive
@ differentiate between various types of chief exccutives
@ analyse the fullctions of the chief executive
d~ understand the need for staff and line agencies and
@ describe the role of District Collector as the chief executive.
Governmental power is three-fold, legislative, to make laws; judicinl, I s ii'lterpre'i thc

laws; ano L;;LG.
, r t . * c.,&'<ry
out the laws. There is a separate organ i~l-ch;~rgc
5~each
function, bur the separation is not rigid. A complete separation would lead to perperilal
deadlocks in administration. Thus there are v~lriouspoints of calltact between aEE the
three organs of the government to ensure smaoth functioning of governmental
programmes. With expanding complexity sf the activities of the modenm Stnee. the
legislature is not in a position ta have direct dealings with the adrninistratiori arid $0,
it is the executive branch which is becoming mare and more powerful. The mod.esn
State assigr~sa variety of functions to the executive. Thus it has become a vital part of
the government.
'
In this unit, we shall analyse the functiorls of the chief executive in the light of thc
differences between the real and the n o m i ~ ~executive.
al
The unit will also highlight thc
growing strength and importarice of the chief exccutive. We shall also discuss the need
for staff and lirie agencies for advising the chief executive and in carrying out his
policies. The unit will enable the student to understand the crucial role of chief
executive in the task of administration. We will also come to know the factors and forces
behind the chief executive at the Union, State and local levels.
c ~ n p t in
a Orgmisatim
- rn
32.2 MEANING OF CHIEF EXECUTIVE

The executive is that branch of government which is charged with the execution of taws.
It consists of various administrative agencies which are involved in the implementation
of the laws. According to F.A. Nigro, "the executive branch of government in Public
Administration is a truly visible form". The executive branch of the government
includes the chief executive and the civil servants who execute the laws made by the
legislature. Thus the role of the executive is of paramount importance.
By 'chief executive' we mean the person or body of persons at the head of the
administrative system of a country. The administrative hierarchy of a country
resemb1es.apyramid, broad at the base and tapering off towards the top till it ends at a
single point, the apex. The chief executive is at the apex of the administrative pyramid
Iie is a person or personsin whom the executive power has been authoritatively vested
for performing various functions. In a political system, the person or persons in whom
the constitution vests the executive power of the government is the chief executive. In
public o r private organisations, the person who is at the top position with the major
responsibility of carrying out the work of organisations is the chief executive.
The chief executive has to perform various political and administrative functions. He
occupies a central position in Public Administration. He determines the goals of the
organisation, prepares plans, determines the tasks, fixes priorities, takes crucial
decisions, mobilises resources, recryits personnel, coordinates the work of all the
departments under him, motivates the personnel, provides leadership and supervises
the implementation of plans. He sees that goals of organisation are achieved with
maximum efficiency and optimum use of resources. The success or failure of an
organisation, therefore, depends on the dynamic nature and character of the chief
executive.
32.3 TYPES OF CHIEF EXECUTIVES

The type of executive varies with the form of government. In a dictatorship, the chief
executive comes to power through a military coup and continues to be in power through
army support. Modern democracies have either a Presidential or a Parliamentary/
Collegiate executive, which is chosen from, and responsible to, an eIected legislature.
The parliamentary andPresidentia1 Types of the Chief Executives
In countries like India and the UK, with parliamentarysystern,the chief executive
consists of the Prime Minister and other Ministers. The Prime Minister heads the
cabinet in these countries. There is a close, continuous and intimate executive
legislative relationship as the cabinet is accountable to parliament in thc parliamentary
system.
In the Presidential system like the USA, the chief executive is the President. In such a
system, the President is neither a member of parliament nor accountable to it. The
President of US can be impeached and removed from office by the legislature i.e. the US
Congress by two-third majority. In the USA, for instance, because of the system of
checks and balances, Congress, the President and the judiciary have become separate.
entities independent of each other.
The Titular and the Real Chief Executives
In parliamentary form of government, all executive power is vested in the titular or
constitutional head in theory and all decisions arc supposed to be taken in his name. It
means that the head, whether it is the King or the President can exercise his powers only on
tbs advice of the ministers and not independently. Thus, though the Constitution vests the
powers with ihe President or the King, in practice these are not his real powers and
cannot be exercised by him without the consent, of ministers. The chief executive in
this s y s t e . ~remains titular or nominal.
The real executiveis the Council of Ministers or the Cabinet to which the legal powers
of titular executive pass, It means that legally he does not havepny powers but in
practice exercises ail tfnepowers vested in the titular head. In England, the Queen and
1
I
in India, the President are the titular chiefs and in both the countries the real executive
is the cabinet headed by the Prirne Minister.
In countries like the USA, the President is the real chief executive, as the powers
legally vested in him are also exercised by him independently.
Single and Plural Chief Executives
0
In countries where parliamentary system of government prevails, the real chief
executive is the cabinet which is a plural body. Thc body comprises the Prime I\/dinister
and other ministers. The Prime Minister works on the advice of his rrninisters. Ul~ltkne
this, the chief executive in the Presidential system of government (like inr the USA) is:^
single individual, the President. Though h e functions under the system of separatiom of
powers and checks and balances, he takes his decisions in an indepcltdent manner.
The Collegial Executive of Swibzerlawd

The Swiss Executive belongs t o neither of the two types i.e., the plural or singular, it
has featugs of both the types. This type of executive is callled the Collegial Executive.
Xt represents a mixture of some of the basic principles of Lhe parliarncntary and the
presidential types.
.lust like the parliarncntary type, the Swiss Executive is a plural bodycomisistinlg ofscveii
members. It is truly Coilegial because in it there is nobody like the Prime Minister
holding a position of primacy. All its members are equal in rank and arc responsible to
the legislature.
Unlike the tnembersof the cabinet and 1ik.ethe US President, the Swiss Executive, [the
FederalmCouncil)is elected for a fixed terrn and is irremovable during the period.
~wceckYour ProgrGss 1
ii) Check your atlswcrs with those given at the end of the unit.
1) Explain the meaning of chief executive.
2) What is the difference between the Pnrliamrntsry and Presidential chief axecutivcs?
3) U.S. chief executive is a:

a) Plural chief executive
b) Single chief executive
c) Parliamentary chief executive
d) Collegial chief,executive
4) In whi'ch of the foEollowing countries,.is tbe Collegial executive fourzd'?

a) USA
b) Great Britain
c) Switzerland
d) ilndia
Concepts ln Orgmisntions IIII
VARTOUS TYPES OF LOCAL CHIEF EXECUTIVES
32.4
The type of executives discussed so far are present at the Union or Central level. Besides
these, there are various executives at other levels, thestudy of which is also important.
The local executive, assumes different forms in different countries and is variously
designated. It can b e single or plural, political or administrative, elective or .
rrqn-elective. The executive shares two types of powers and functions: political and
administrative.
The local executive can be classified as single executive when political authority is
vested in a single person. The American, the European and the Japanese Mayors, the
Indian Chairman of Zila Parishads and of Panchayat Sanitis are examples of single and
strong political executives. The plural executive consists of a group of individuals, one
of whom is chosen as its chairman. The plural type is illustrated by the committee
system of executive under the English local bodies.
'
Apart from the political executives, at the other end of the spectrum are the municipal
commissioners/the chief executive officersithe district development officers of Indian
local authorities, the city managers of the USA and the chief executives of the U.K.
They offer effective administrative leadership, sharing some executive powers which
are political in character.
Thus the local executives, may be political on the one hand and non-political,
official or expert on the other: The American mayor, the committees of the English
local bodies and the heads of the English local bodies are. political. There are executives
who are primarily administrative like the American city manager and chief executive
officers of looal authorities in India, who are appointed by the State government.
I
There are local executives who are strong, others which are weak. The involvement of
thk executive in adrninistratiokalso makes it a strong executive. Its relationship with
the local council is another factor which determines the position and status of the
executive. It can be said,that an effective local executive can be one that combines
strong political leadership with professional leadership. But the Indian'rural local
authoritiks are providcd with strong leadership both in politics and administration with
two separate positions present i.e, politician and professional administrator.
In India, the city municipal corporations which are known for effective administrative
leadership with the Municipal Commissioner as their chief administrator, suffer from
inqffective political leadership as the executive authority is dispersed among various
municipal authorities.
32.5
'
FUNCTIONS OF THE CHIEF EXECUTIVES
The chief execut.ive is the head of the country and in that capacity h v far reaching
legislative, executive and judicial powers granted by the Constitution of the country.
Besid'es him there are numerous lesser chief executives at the state and local levels who
also have to perform various legislative, executive and judicial functions in their
,"
respective areas. The nature and quantity of fuwtions keep changing at every level.
In companies or corporations the chief execunve has the important task of interp&i:ting
the policy of the Board of Directors to the rest of the management and the general
public. He has to ensure that policies and programmes laid down by the board of
directors have been understood by all the employees. He has to devise the various
procedures of organisation and determine its structure. The chief executive, at any
level has a dual role to play i.e. political as well as administrative.
32.5.1 Political Functions

The source of political power under democracy is primarily the people themselves and
secondarily the legislature which is the representativ~body of the people. The chief
executive obtains his oflice through the votes of his people. It means that the office of
the chief executive is the end-result of apolitical process. For executive discharge of the
duties of his office and proper working of the administxariom, the chief executive needs *
'
the support of the legislature and the people. Therefole, he must always work for winning
:he support of the legislature and the electorate. Thc chief executive has to perform his
activities by keeping in view the public interest as well as the interest of the nation.
Admi~listrationcannot run smoothly unless there is interaction between the people and
the administration. Thus, political management is one of the most important functions
of the chief executive.
we mentiuned earlier, chief executive also exits at other levels e.g., in public
organisations, private enterprises etc. A t these levels too, the chief executive has an
important political role to perform. In actual practice, the chief exccutive in a
parliamentary form of government performs many functions which the head or heads
of the public or private organisation (which ran be a general manager, managing
director or a secretary) perform. The executivc in a pi~rliamentarysystem is controlled
by the legislature and in an organisation ir is controlled bv the Board of Directors. Even
though the chief executive in public organisations, is not a result of political proc'ess.
he has to interact with peoplc, press etc., to run the organisation. Hc rnobiliscs the
efforts of the personnel to achieve organisational goals. This means that political role
of a chief exccutive is very crucial and he cannot avoid it, whether it is at the national
level, state level o r local levels. His pc)lieical function of galvanising thc entire
administration to action in pursuit of the accepted goals and objectives and winning the
people's support ancl consent thus assumes imporlance.
32.5.2 Administrative Functions

The chief esccutivt: has to perform a number o f administrative functions. Luther
Culick sums up these functions in thc acronyrn POSDCORR, which has been
referred to in the earliar units. Marshall Dinlock summarises these funct~onsin one
sentence: "He is a trouble shooter, a supervisor and a promoter of the future
programme". We will now discuss the major functions o f the chief cxccutivrs in somc
detail.
F'orrnulationof Administrative. Policy
Oneof the major functio~lsof the chief executiveis the determination and formulation
of adrninistrative policy. He issues a number of specii'ic policy directions, written or
oral, which enable the administrative officers t o pcrforn~their duties in a proper
manner. Thcy acti~allyserve as a guide to administration. Thc ch~cfexecutive is
cor~sultedby the departmental heads and other administrative officers on certain
important and controversial matters. His ability and personality has close bearing on
administrative efficiency. The Icgislnture only enacts laws in gencr:ul terms. The
executive fills them with details to make then1 fit for application.
Deciding the Details of Organisation
The legislature provides for the estiiblishment of main units of organisation, like
departments, commissions and corporations for the implementation of various laws.
But the details of internal organisation are to be filled in by the chief executive. Thc
chief executive can nlsu create new administrative agencies or reorganise the existing
ones. T!lc chief exccutive also prescribes, how the operating personnel shall perfor111
certain or all of their duties. Thus the chief executive authorises the structure of the
organisation.
Issuing Directives, Proclamations, Orders etc.
In order to make any decision really meaningful, it is necessary to convert it into

effective action, which the chief exacutive achieves by directing.
The chief executive issues directives, proclamations, orders etc. to make the
administrative activities conform to the statutory provisions, directives, circulars etc.
and t o help in bringing about uniformity in the behaviour of people involved in the
implementation of policies and programmes. The kind and number of directives,
orders etc. issued by the chief executive sets up the tone of the admi~ristration.H e has
to direct the personnel to start or stop o r modify an activity..
Appointment and Removal of Personnel
It is the responsibility of the chief executive to see that the heads of different
departmentsperform their duties sincerely and efficiently. Hence he also has the power
to select the officers. I n almost all the countries the chief executive makes appointments
*
c ~ a c ~ pdnt sOrgantsntions
to higheroffices. In India, all important appointments such as that of State Governors,

Ambassadors, Chief Justice and Judges of the Supreme Court and State High Courts,
the Attorney General, the Chairman and members of the Union Public Service
Commission are made by the chief executive. Recruitment of administrators to other
ranks is made by Public Service Commission on the basis of competitive examinations.
So even where merit system of recruitment normally prevails, key appointments are
made by the chief executive.
In public and private organisations, key appointments are made by the chief executive.
The recruitment of personnel is done under his supervision andwith his due consent.
The chief executive also has the power of dismissal or demotion of public servants, if he
finds it necessary in the interests of administrative efficiency. Dismissals are subject to
certainconstitutional arrangements. In the removal of personnel of the lower cadre he
is guided by the Civil Service Rules.
Coordination of Various Executive Activities
Modern administration consists of various departments, commissions, divisions and
sections each performing a specialised part of the function. In order to create unity in
this huge mass of diversified activities, a very high degree of coordination and
integration is needed. The chief executive has to bring harmony, settle conflicts and
guard against overlapping and duplication in administrative activities. For this, he may
create inter-departmental committees .and other coordinating agencies at various
levels. Thus coordination is one of the most important functions of the chief executive.
It is his foremost duty to see that numerous activities undertaken by several
departments in implementation of a particular policy lead to fulfilment of
administrative goals.
Management of Finance
Jr is the duty of the chief executive to prepare the budget and submit it t o the legislature
for approval. He should make full report regarding past operations and present .
conditions, and to make a statement regarding provisions made for meeting the
revenue and expenditure needs of the government in the future. When the budget gets
its approval by the legislature, it is again the duty of the chief executive to look for its
proper execution and implementation.
Supervise, Control and Investigate the Administrative Operation
The chief executive has to see that the public business is carried on properly. He has to
supervise the work and exercise control over the functioning of various administrative
activities. H e has to check the reports regarding the working of different departments.
He has to issue instructions, 'warn' when the 'work is not being done properly and
'encourage' when it is running smoothly. He can also make enquiries to investigate any
administrative matter and set up investigation committees for the purpose e.g. in India
we have Vigilance commission, Central Bureau of Investigation set up by the central
government. These agencies help the chief executive in his supervisory functions.
Public Relations
Since Public Administration is ultimately responsible to the public, it has always to
keep the people informed about the nature and purpose of its activities. For this reason,
the chief executive functions as the spokesman of the administration by enunciating
public policies and keeping the public informed on important major administrative
decisions and actions from time to time. It is his responsibility to defend the
administration when thereis conflict between administration and public. H e maintains
relations with the press, various interest groups, voters and the legislature.
Maintains a Proper System of Communication
The chief executive maintains a proper communication link between him and other
departments of the organisation. For smooth functioning of any organisation, it is
essential that information passes from superior to the subordinates and vice-versa in an
understandable and clear manner. The chief executive has to facilitate effective
interaction among organisation members to enforce proper communication between
the personnel.
As a Leadk
The chief executive provides leadership in the organisation. He sl~ouldinspire the
entire administrative machinery to work harmoniously for the fulfilment of
organisational goals. He should motivate the personnel and try to inculcate ideas of
hard work, loyalty, quality and high rate of productivity among the people engaged in
implementation of goals. The leader must also carefully assess the feelings, aspirations
and style of working of the personnel. His role as a leader is most crucial in
administration as it affects the entire atmosphere in which administrative machinery
functions. As a leader he must prevent hasty judgments and haphazard actions,
facilitate control, encourage innovative thought and creativity and minimise
uncertainty and cost in the organisation.
32.6 AIDES TO THE CHIEF EXECUTIVE

No Chief Executive can perform the above mentioncd functions all by himself. He
needs help and this help is provided by the organs attached to the office of the chief
executive. According to Mooney, "Always there are too many things to think about,
too many factors to consider, too diversified a knowledge required for solution for the
unaided capacity of one leader to encompass". Thus it is impossible for the chief
executive to work without any assistance. Hence there is the need for delegation of
work and powers.
The chief executive delegates some of his powers to the organs attached tvhis office but
keeps to himself the more important functions arid overall responsibility of the
delegated activities. Delegation, thus, does not interfere with his supreme
responsibilities. Delegation can be of two types, the staff and the line, Staff and line
agencies reduce p;essurt: upon the chief execulive..You will read about the staff and the
line agencies in the next two units, but some discussion is very essential here to describe
the relationship between the chief executive and these agencies. The terms line and
staff are both taken from the military vocabulary. Line refers to the chain of command,
extending from top-ranking officers down to the lowest rank, they implement the
decisions/policies of the chief executive. The staff refers to the service rendered to the
chief executive through advice and counselling. Staff agencies help the chief executive
by providing him with information he needs for decision making
Staff Agencies
According to Mooney, the staff is "an expansion of the personality of the executive. It
means more eyes, more ears and more hands to aid him, informing and carrying out his
plans". Literally, 'staff' means a stick on which you can lean for support, but which can
neither initiate nor decide your movements. Staff always remains in the background. It
makes preparations for executive's decisions, but docs not decide itself.
According to Pfiffner, thrre are three kinds of staff agencies, these are general,
tecllnical and auxiliary. The general staff helps'the chief in general matters by adv~ce,
collection of information and research. It acts like a filter and a funnel asit only lets the
most important matters reach the chief executive keeping back the matters which can
be settled elsewhere in the organisation. The technical staff advises the chief executive
on technical matters. Auxiliary staff performs functions common to various
administrative departments e.g. printing, accounting etc. It prevents duplication of
activities.
Thus, staff agencies keep the executive duly informed and save his time by ensuring that
matters reach him in a prompt and convenient manner. It supplies the chief executive
with relevant data and fruitful advice and also sees that the decisions taken by the chief
executive are properly implemented. Major staff agencies in India are the Planning
Commission, the Cabinet Secretariat, Cabinet Committees, PM's Office etc. In U.K.
the example of staff agencies are the Cabinet Committees. In U.S.A., the White House
Office, National Security Council are some of the staff agencies.
Line Agencies
It is with the line agencies that the ordinary citizen comes into contqct. These agencies
are concerned with the execution or fulfilment of the primary objectives and functions
Concepts ~nOrganbations
-m
of the government and deal directly with the people. They provide services to people,
regulate their conduct, implement programmes sanctioned by the legislature, collect
taxes etc.
Line agencies can be of three types-the Departments, Govt. Corporations and
Independent Regulatory Commissions of the U.S.A. In India, we find two types of Line
agencies-Departments and Public Corporations. Major line departments in the Govt.
of Indiaare those of Health, Defence, Education, Railways, Communication etc. The
Damodar Valley Corporation, the Industrial Finance Corporation, the Indian Airlines
Corporation and the Air India International are a few examples of Public Corporations
in India. AH these line agencies help the chief executive in carrying out his decisions and
policies.
'The relationship between the chief executive and the staff and line agencies can be
diagrammatically.shown as:
Chief Executive
Line
I
General
Staff
Technical
Staff
I
Departments
Auxiliary
Staff
Public
Corporations
Independen~
Regul;~tory
Commissions
Even at the local levels, the staff and line agencjes are there to help and advise the local
executives. If we take the example of a municipal corporation, the city mayor is the
chief executive who is assisted by the deputy mayor. The staff agencies perform
functions with respect to personnel, finance, planning and legal assistance and help the
chief executive. The line agencies help the executive by carrying out functions relating
to health, police, recreation, library etc. Thus staff and line agencies perform various
functions in order to assist the chief executive in executing his policies and decisions.
The functional relationship between the chief executive and staff and line agencies in a
municipal corporation can be diagrammatically shown as:
City Mayor-Chief Executive
~ e ~ uMayor
t i
P~rsonnelFinance Planning-Legal
L
7
Fire
Public
Public
Recreation Library
P~licg
Health
Works
,'CheckYour Progress 2I

-..-
1) Discuss briefly any two functions of the chief executive.
..........................................................................................................
i
r
2) Wow d o the staff.agencies help the chief executive in carrying out his functions?
.I . .
..........................................................................................................
3) Which one of the following is not a staff agency?

a) Central Secretariat
b ) Planning Commission
c) PM's Office
d) Cabinet Committees
4) Which one of the following is not a line agency?
a) Departments
b) Independent Regulatory Commission
d) National
Security
Council
,
.
32,7 THE INDIAN BEXECUTlVE

Chief Executive in India is the head of administration at respective national, state.
district and local levels. At the Union level, President is the Constitutional or the
nominal chief executivc while the PM as the Head of the cabinet is the 'real' chiefexecutive. Administration at this level is helped by secretaries in charge of different
departments like finance, education, commerce etc. At the State level, the Governor is
the constitutional chief executive and Chief Minister (CM) is the real chief executive. In
States the Chief Secretary is the pivot of administration and provides major assistance
to the CM. At the district level, the District Collector (District Magistrate) is the chief
executive. He is the most important functionary in the district. Now we will discuss
about all these executives in some detail:
The Union Executive
The Constitution says that the "executive power of the Union shall be vested in the
President" (Article 53). The President of India is thus the head of the 'executivd power'
of the Union. The various powers that are included within the comprehensive
expression 'executive power' have been classified under the following heads:
a) Administrative power : The execution of the laws and adn~inistrationof the

departments of government,
b) Military power : The command of the armed forces and the conduct of war.
c) Legislative power : The summoning, prorogation, etc., of the legislature, initiation
of and assent to legislation etc.
d) Judicial power : granting of pardons, reprieves etc., to persons convicted of crime.
Despite all these powers, the President of India is only a nominal executive as he has to
exercise his functions with the aid and advice of Council of Ministers headed by Prime
Minister. The PM and his cabinet thus is the real chief executive at the national level.
Thoug;~q-ciden* :-~ l a nominal
y
head, he does have some discretionary powers e.g.
ordinance marclnz power and pardoning power. He also has certain special powers
relating to 'UnionTerritories'. Me has the power to give instructions to Governors. Me
has the power to appoint certain commissions for specific matters. He also has special
powers in respect of the administration of Scheduled Areas and Tribes. Thus, even
though he is not the real executive, he is not totally deprived of real powers.
Still it is true that the PM is the keystone of the Cabinet arch. He is the linchpin of the
executive wheel. As Chairman, he presides over the meetings of the Cabinet, prepares
the agenda and guides its deliberations. He allocates portfolios among the ministers.
He communicates to the President about the happenings in and outside the country. He
is the chief spokesman of the the Cabinet in Parliament. He declares its policy. He is
the chief coordinator of Ministries and Departments. Me makes the major
appointments in the name of the President. He represents the country at various
interriationai forums. He is the leader of the nation. H e is the real chief executive and
in all his work is assisted by the Council of Ministers. The Cabinet Committees, the
Cabinet Secretariat and Prime Minister's Office provide siaff support to the chief
executive. They provide the necessary information and material for formulation of
"
..*.
conrepls in Orgnnisntiolls
-m
policies and also oversee the monitoring and implementation of the decisions of the
chief executive.
At the central level, the chief executive, that is the Prime Minister, is also assisted by
the Cabinet Secretary who keeps the chief executive informed about the agenda of the
cabinet meetings. The work of administration is run by the Secretariat. It assists the
chief executive and ministers in formulation otpoliciespolicies. The Secretariat helps in policy
making, framing rules, exercising of financial control, guiding and directing the
executive agencies in the performance of their tasks gnd in evaluating the work of the
executive agencies. Thus a vast network of agencies both staff and line help the chief
executive at the national level.
The State Executive
Our Constitution provides for a federal government having separate systems of
administration for Unionand its States. A t the head of the executive power of a State
is the Governor, who like the President of India, is a constitutional ruler. We has to act
according to the advice of the Council of Ministers responsible to-the state legislature.
Governor of the State has various powers relating to appointment of judges, members
of State Public Service Commission etc., addressing, summoning, proroguing and
dissolving the state legislature. granting pardons, remissions etc. But all these are not
his real powers as he performs them with the advice of Council of Ministers headed by
the Chief Minister. He also functions under the direction of the President. The Chief
Minister with his Council of Ministers, thus is the real chief executive at the State level
white the Gcrvernor is the nominal chief executive.
At the State level, the political head is the.Chief Minister, but the administration is
headed by the Chief Secretary. He is the kingpin of the State Secretariat. His control
extends to all other departments of the Secretariat. He is the Chief ot the Secretaries.
H e is the head of the civil services in the State. He is the Chief Public Kelatiorls Officer
of the Government. Such an institution does not exist at the central level.
The Chief Secrefary, performs the following functions:
i) He is the principal adviser to the Chief Minister.
ii) He is the Secretary to the Cabinet. He prepares the agenda for the Cabinet
meetings, arranges these meetings, maintains records of proceedings etc.
iii) He exercises general superintendence and cor~trolover the entire Secretaxiat.
iv) He has the authority to make postings, transfers etc. of government personnel.
v) He is the immediate executive superior to each District Callector so far as
development activities are concerned. Thus the Chief Secretary acts as a staff
agency to the Chief Minister.
Execntive at the District Level
The role of chief executive assunses great importance in India at the district level.
District is the basic unit of administration and it is placed under the charge of ;iDistrict
Collector. Thus District Collector is the chief executive in the district. In n way, the
position of District Collector is more important than the other chief executives ;it the
national and State levels as there is no nominal o r political executil~eat fhe district
level. The District Collector is the sole executive and also the real exccutivc. I-fe has
various functions to perform, both political and administrative.
32,8 THE DISTRICT COLLECTOR AS THE
CHIEF EXECUTIVE
It must be cleal by now that the chief executive at the. district level has a very important
role to play. District Collector is the kingpin of administration and all the
administrative powers are vested in him. Becausc of the importance of the District
Collector as the chief executive in the district, it is essential to discuss his role in greater
details.
The functions ofthe Collector are so varied in naturc that it is Impossible t o encompass
them within the framework of this unit. Still some miijor functions of the Collector can
be mentioned here:
i) The Collector is in direct charge of the Revenue Lfepartment in the district. His
revenue functions include the fixation of land revenue and its collectiorl,
iriaintntena3ce of land records and decision in revenue cases.
He maintains law and order by performing the functions as a District'Magistrate

with the assistance of the district police, sometimes the government departments,
educational institutions, representatives of the people etc.
iii) He has to ensure an uninterrupted supply of essential commodities in the district.
ii)
iv) He is responsible for proper implementation of various social welfare and aural
development programmes.
v) He is also designated as the District Election Officer for making necessary
arrangements to complete the general election process. He is also responsible for
conducting elections to the local bodies.
vi) He has supervisory powers over sorne of the local bodies like the municipalities,
village panchayats and block samitis etc.
vii) The Collector has to assume charge unde,r unforeseen situations such as natural
calamities and utilise the District machinery to meet the situation.
viii) The Collector tries to secure coordination at the district level in the working of the
various State government departments. He is assisted in his work by the
Sub-Divisional Officer (S.D.O.), Tehsildar, Quanungo, Patwari and Village
Chowkidars.
ix) The District Officer exercises control over field offices through his visits to the
blocks, inspections and meetings with his subordinates. By this he is able to
monitor different programmes and also fix priorities.
Thus the Collector has rightly been called the pivot of district administration. H e
represents the State Government in its totality. Other officers in the district look at him
for support and advice. Citizens too turn to him for redressal of their grievances. He
acts as a buffer between the government and the district administration, between Public
Administration and citizens as well as among citizens themselves. He is the best
example of real Chief Executive in the country. The position he occupies in the district
is shown below:
Collector
I
(District)
Sub-Divisional Officer (a group of tahsils)
I
Tahsildar
(Tahsil)
~ a i b ~ a h s i l d a r (partsof a tahsil)
~ u a h u n or
~o
(a group 6f patwari circles)
Revenue Inspector
Note,: i) Use the space below fo; your answers.

ii) Check your answers with those given at the end c~fthe unit-.
1) Why is the district coIlector called the kingpin of administration at the district level?
............................................................................................................
...........................................................................................................
........................................................................................................
2) Who is the real executive at the state level?
....................*......I..............,,.,.
....................................................
,I
Coacepts in Orgakatlans EI
3) Who is the nominal executive at the national level?
--__
----
32.9 CONCLUSION
-__
Today, we witness a gradual and steady growth in the powers of the chief executive. AS
you know, the governmental power is three-fold legislative, judicial and executive.
Lately, there has been q tendency for the executive to gain in power'at the expense of
both the legislature and the judiciary. Drafting and irlitiation of bills has passcd into the
hands of the executive and a s a result the legislature confines itself to consideration of
bills initiated by the executive.
The volume of legislative business has increased, Parliament has no time to examine the
bills in detail, it just provides the outlines and leaves it to the Executive to fill the
necessary details. The executive has thus acquired the power of delegated legislation.
Executive already has supremacy over the judiciary as it has the power to appoint and
transfer judges. Economic planning and the need to monitor plan implzmentstion have
also greatly strengthe~~ed'the
powers of the Executive.
Due to Executive's ever growing powers it is necessary that a person with
administrative capability, leadership qualities, even temper, deep knowledge,
intelligence, firmness of purpose, continuous interest in work, energy etc., is selected
as chief executive. The entire development of the country rests on Chief Executive's
shoulders. He has to perform his functions with full zeal and vigour at all he levels in
the country so that the policy goals are realised in time without thc wastage of resources
and efforts.
32.80 LET US SUM UP
-.
Thus we see that the chief executive is the person o r persons who head the
administration of a country. Whatever may be thc type of chief executive -single or
plural, presidential orparliarnentary , nominal or rcal or even collegial type he has dual
function to perform i.e. political as well as administrative. Chief Executive is the !lead
of the administration at Union, State and local levels in the country. Public enterprises
and private organisations also have chief executives in the form of Chair~nan/Managing
~ i x i c t oas
r their heads. Role of the chief executive is becoming wider and complex
every day. In India at the district level, his role as the District Collector is very crucial
as ha is both nolninal and real chief at the district level and performs varied and multiple
functions. Without the continuous leadership of the chief executive, administration
cannot work.
--
32.11 KEY WORDS

Checks and Balances: Thjs system enables each department to exercise partial control
or c h e ~ k011 the others, Itwas designed to bring about an overall balance and to prevent
the tendency of each branch of government to become irresponsible in its particular
field e.6. law making power of Congress Is checked by U.S. President's veto power and
Supreme Court's power of interpretiilg laws.
Ordinance : The law-making or law-amendii~gpower of tisc PresidentIGovernor when
the legislature is not in session. Such an 0r~linalic.eis oftemporary duratioii and expires
within six weeks from the date of the reassembly of the Legislature r~niesswithdrawn.
Prorogue : Discontinuing meetings of Parliament without dissolving it.
Remission : Reduction of the amount of sentence without changing its character, e.g.
a sentence of imprisonment for one year may be remitted t'u six months.
Reprieve : A stay of t:;iecutlon of a sentence, e.g. pending n proceeding for pardon.
Senate :Lowcr House of U .S.Congress
,
I
Separation of powers : It means that three principle functions of government

legislative, executive and judicial should be exercised by different persons or bodies of
persons. All the three branches are independent of each other.
U.S. Congress : The Parliament in the U.S.A.
Veto Power : power of the President to withhold his assent to the bill passed by the
legislature either temporarily or permanently.
32.12 SOME USEFUL BOORS

Aiyar, P.R. Krishna, 1988. Public Administration (Chapters 3 4 and 5); Criterion
Publication, New Dcl hi.
Avasthi A. and Maheshwari S.R. 1987. Public Administration (Chapter 8); Laxmi
Narain Agarwal : Agra
Maheshwari, S.R., 1986. Indian Administration (Chapter 31); Orient Longman Ltd.
New Delhi.
Sachdeva, D.R. and sogani Meena, 1980. Public Administratiort (Chapter 6 ) : '
Concepts and Application; Associated Publishing House : New Delhi,
Sharan Parmatma, 1974. Theory and Practice of Public Administration; Meenakshi:
Meerut.
Sharma M.P. Public Administration in Theory and Practice (Chapters 5,6 and 7);
Kitab Mahal : New Delhi.
32.13 AN$ WERS TO CHECK UOlLTR PROGRESS

EXERCISES
1) See Section 32.2
2) See Section 32.3
3) (b)
4) (c)
1) See Section 32.5.2
2) See Section 32.6
3) (a)
4) ( 4
Check /Your Progress 3
1) See Section 32.8
2) See Section 32.7
3) See Section 32.7
Chief Exwutiv-
UNIT 33 LINE AGENCIES

Structure
Objectives
Introduction
Line Agencies-Features
Government Departments
Bases of Departmentation
Public Corporatiahs
33.5.1 Reasons behind the Rise of Public corporations
33.5.2 Features of Corporations
33.5.3 Distinction between Departmentsand Corporations
Let Us Sum U p
Key Words
Some Useful Books
Answers to Check Your Progr ss Exercises
33.0 OBJECTIVES
After studying this unit you shoulhbe able to:
o define line agencies
o explain the structure and features of government departments
@ explain the bases for the formation of departments
@ describe the features of public corporations; and
distinguish between departments and corporations.
r:
33.11 INTRODUCTION
In Unit 32 you have learnt that the chief executive constitutes the topmost point of the
administrative structure of a government and is helped by some organisations or
agencies in his work. These organisations or administrative agencies are divided into
three categories namely (i) line agencies, (ii) staff agencies, and (iii) auxiliary agencies,
depending upon the nature of work performed by them. Those administrative agencies
or units, which directly carry out the function
of achieving the very purpose of the
e
government organisation, make decisions, and direct, supervise and command are
called "line agencies". Those agencies which help, advise and assist the line agencies in
carrying out their work are called "staff agencies" and those which provide common,
house-keeping services to all other agencies arecalled as 'auxiliary agencies'. You have
already read in Unit 32 that the Departments of Health, Defence, Education, Railways,
etc., are examples of 'line' agencies of the government of India. The Planning
~olnmissionand Union Public Service Commission are examples of 'staff' agencies.
This distinction between 'line' and 'staff' agencies was developed first in military
administration. In military, right from the Commander-in-Chief to the soldier w.hoare
directly involved in the military operations are called 'line' units. But there are other
units which supply food, clothing, arms and ammunition, carry on spying operations,
build bridges and~oads,and provide medical and nursing aids, but who do not take part
in actual fighting with the enemy, are called 'staff units'. This distinction of 'line' and
'staff' has been borrowed from military administration and applied usefully in civil or
Public Administration. In this unit we will study two types of the line agencies, i.e.,
Government Departments and Public Corporations. In the next unit we will study the
'staff' and 'auxiliary' agencies,
33.2 LINE AGENCIES-FEATURES

*,
Before we proceed to study the departments and'corporations, let us understand the

meaning of line agencies o r 'line units'. In the Government of India, Ministry of
Railways is a.major Department. Its $rimary function is to run the passenger or goods
trains between different points. Right from the Railway Minister to the engine driver
all those who are involved in the running of trains are 'line' agencies. But to carry out
this primary task, it is necessary to build railway stations, recruit the personnel, lay
down and protect the railway tracks, purchase rolling stocks, keep accounts and
perform a number of other activities. These activities are secondary functions and are
carried out by the 'staff' units like Railway Recruitment Board, Railway Training
College, Railway Police Service, Railway Construction Divison, etc. Primary functions
are an end in themselves whereas the secondary functions are the means to achieve the
primary functionslobjectives. Primaly.functions are carried out by 'line' agencies and
secondary ones by 'staff' agencies.
In order to carry out the major primary functions of the Government a number of
departments or administrative agencies are establisircd in every administrative system.
These agencies are called 'line agencies' because they are directly concerned with the
execution or fulfilment of the primary objectives of the Government. 111order to
implement the programmes sanctioned by the legislative authorities they make all
important decisions and issue orders. They are responsible for controlling, regulating,
directing and commanding the administration. They come frequently into direct
contact with the people, deal with the citizens and provide services to the community.
They have the power and authority. The basic responsibility of carrying out the
functions of the Government lies on them. These agencies are, therefore, called 'line'
agencies. Department of Education andaDcpartment of Health, Indian Airlines
Corporation, Life Insurance Corporation, Central Board of Customs and Excise are
some examples of the line agencies of the Government of India. They are directly
responsible for carrying out specific primary objectives of the Government in their own
sphere.
Features of Line Agencies
We have seen that 'line agencies' are those administrative units or organisations which
are directly carrying out the majorlprimary functions of the Government. IIIorder to
understand the concept of line units more clearly let us see what are their salient
features.
Carries Out the Major or Primary Objective of Organisatiorls
Firstly, line agencieslunits are carrying out the major, primary or substantive objectives
for which an organisation is establishecl. For example imparting ed~lcationthrough
teaching is the major function for which any university is established. Teaching
Departments are directly carrying out this objective and therefore, they are the 'line
units' of a University. Rut accounts department, examination department or library are
not directly teaching or ixnparting education and therefore they may be termed as
"staff" or "auxiliary" units and not line units.
,
I
Authority to make Decisions

Secondly, line units have the power and authority to make decisions, issue orders and
control, direct and command the administratiori under them. They are in one chain of
command. For example in the Police Department right from the Inspector General of
Poliqe to the police constable all are involved directly, with the maintenanbe uf law and
order. They are all in one line of command. But the Police Training.Collcgeis not a line
unit because it is outside the line of command and therefore, it is a 'staff unit of the
Home Department.
Responsible for Execution of Government Programmes
Thirdly, line units are responsible for the execution of government policies and
implementation of programmes sanctiorned by the legislative or executive authorities.
Entire policy execution is finally their responsibility. They make decisions, issue orders
and command and direct the administration.
Ilireetly in Contact with Penlple
Fourthly, line agencies directly deal with the people, comeinto contact with the citizens
and provide them the.servicese.g. a teacher teaches the students, a policeman protects
acitizen, a doctor looks after the health of the citizen etc, Similarly in the government,
the Education Depaftment, Healt! Department or Agriculture Department dirkctly
provides services to the concerned ~ e o p l e ,
Concepts in C~rgnnisations ~n
Directly under the control of Chief Executive

Fiftllly, line agencies are directly under the line of control and supervision of the chief
executive. They are also responsible to the chief executive and to the legislature,
e.g., Head of a Government Department is a Minister who is directly responsible to the
Prime Minister and also to the Parliament. Similarly the Board of Directors of a Public
corporation is directly responsible to the government and Parliament.
In general, there are three types of line agencies which mainly carry out the work of
administration in most countries of the world. They are Government Departments,
Public Corporations and Independent Regulatory Commission (I.R.C.). The I.R.C.
are mainly establislred in America due to its special constitutional set up and political
ideology. The departments and corporations are found everywhere, in India, in U.K.,
in U.S.S.R.andin almost all countries of the world. In the next part of this unit you will
study about the departments and public corporations.
33.3 GOVERNMENT DEPARTMENTS

Dictionary meaning of the word 'department' is 'a part or a portion of a larger whole'.
In admillistration the whole work of n government is divided into. different parts and
carried out through very big units of administration which are called 'departments', For
example, there is a Department of Education, Department of Defence, Department of
Health, etc. Most of the work of the Government is carried out by different
departments. We can, therefore, say that the departments are the most important and
primary units of the administrative system of a country. Generally the departments are
very big. They work directly and immediately under the control of the chief executive.
In all the countries of the world, the major work of a Gavernment is done through
'departments'. It is the oldest system of doing the work of a Government. In ancient
and medieval times also the kings used to divide their work into departments and
entrust each department to different officials e.g. a 'Senapati' incharge of the defence
forces or a6Faujdar'incharge of Police force of a "Khajanchi" incharge of 'Khajana' or
Treasury or 'Bhandarpal' incharge of the 'Bhandar' (stores and supplies work). In
order to effectively carry out the entire work of any government it is necessary that the
work must be divided into different part's or sections. When the work is divided, then
different areas of work have to be carried out by different agencies and therefore,
automatically the departmental system comes into existence. In modern times the work
of the government is increasing and, therefore, the departments are becoming more
and more important as units of administration.
Who establishes a Department?
We have seen that the Departmentsare immediately below and directly responsible to
the chief executive. But the organisation of reorganisation of the Departments is not
always the responsibility of the chief executive. For example, in America the
departments are created and established by the legislature i.e., the Congress; in Russia
the establishment or reorganisation of the departments require an amendment to the
Constitution. But in England and India the chief executive i,e., the Prime Minister can
establish and reorganise the departments as per l~islherwill or convenience,
Types of Departments
All departments are equally important in administration but according to their nature '
of work, size and in'ternal structure they can be divided into different types.
1) Large and Small Departments
On the basis of the size of the departments, we can say that there are some large
departments and some small departments. Department of Railways, Department of
Finance o r Department of Defence are examples of large size departments whereas the
Department of Atomic Energy is a small department.
2) Old and New Departments
In any government, some Departments are very old, that is the Departments which
have been existing for a very long time like the Treasury Department of U.K, or the
II
Finance Department in India. But there are some new departments established due to
new activities of the Government like Civil Service Department in U.K. or Human
Resource Development Department in India.
3) Single-Function or Multi-Function Departments
There are some departments which are built around a single compact function like the
Department of Defence or Education. There are other departments which have many
sub-divisions carrying many different functions like the Department of Home Affairs
or the Department of Food, Agricu1tur.e and Cooperation.
4) Operating or Coordinating Departments
Depending upon the nature of work performed, the departments which carry out actual
operational duties, like Postal Department are called Operating Departments; whereas
those departments which have only coordinating duties like Panchayati Raj .
Department or General Administration Department are called 'coo~dinating
departments.'
Similarly there are some departments like the Finance Department which have most of
their work concentrated at the headquarters only whereas there are other departments
like Post and Telegraph Department whicli have to work through subordinate and lield
offices spread all over the country.
Salient Features of the Departments

Departmental system is the oldest and most important method of doing the government
work. For thousands of years most of the work of the governr~lentis done by the
departments only. Following are the important features of a Government Department.
Generally, the departments are the largest units of administration.
@
Departments are oldest and most traditional units of administration.
Departments are just below the chief executive in the administrative hierarchy.
Departments are directly responsible to the chief executive or the nearest to him.
Each department is under tht: direct control and supervision of the head of tlie
department, who is incharge of the day-to-day administration of his department. In
India, each department is under the co~itrolof a Minister, who is appointed by and
responsible to the Prime Minister.
Departments are responsible to both the Executive and Legislature. Its day-to-day
administration is controlled by a Minister and its policies are decided by the Cabinet
and Parliament. Thus through the Parliament, the departmental administration is
responsible and answerable to tlie people.
In the Departments, the head of the department is a Minister (politician) who represents
the will of the people. Below him there are civil servants who are experts and
experienced administrators. They have to carry out the decisions and orders. Thus in
the departments politicians and civil servants jointly carry out the administration of the
country. In a department there is both popular public control over administration as
well as control is by trained, skilled and specialist civil servants. But these clements are
very well combined in a department.
Departmental system is simple, convenient and easy to understand for tlie common
people. It also ensure public control over administration. Therefore, most of the
countries prefer departmental system of administration only.
33.4 BASES OF DEPARTMENTATION

We have seen that departments arc the largest, oldest and most important units of
administration through which most of the work of the government is carried out. Let us
now study how a department is formed and what the bases or principles of the
formation of deparfments are.
In order to carry out the administration efficiently it is necessary to divide the work of
government. Greek philosopher ~ r i s t o t l ehad suggested two alternatives for division
Line Agencies
Concepts in Organisntiom
- EI
of work namely, according to, persons or classes and accordirigto services to be

provided.
According to Luther Gulick, in the modern times we can observe that there are four
principles or bases of the formation of departments about which you have read in some
earlier units. They are purpose, process, persons and place. Luther Gulick calls it "4
P" formula. We will discuss about each in brief.
purpose
In many countries a department is formed for a particular purpose or function of the
government. There are many functions which the governments have to perform. These
functions have to be identified and for each function a separate department is
established. For example 'to defend the country', a DefenceDepartment is established,
to look after the health of the people, a separate Health Department is established and
to provide education to the people' an Education Department is established. In many
countries maximum number of departments are established on the basis of purpose
only. It is the easiest and most common and efficient principle of the formation of
departments. It avoids dupIication and overlapping of work and it is simple to
understand. Common citizens can easily say which work is being done by which
Department if they are formed for specific purpose and for perfor~ningspecific
functions.
Process
Process means a technique or skill or a profession of a specialiscd nature. For example
accounting, typing, stenography, engineering, legal advice etc. are some of the
processes which are commonly needed in all government organisations. All
organisations need typing and stenography, buildings, legal advice, or accounting.
These processes cut across all departments and other government agencies. In some
countries, therefore, separate departments are established on the basis of different
processes. For example a Law Department, or a Public Works Department, or an,
Accounts ~ e ~ & t r n eisn established
t
which can serve all the other departments and
fulfil their specialised needs. But there are only a few departments which are based on
'process' If the departments are established on the basis of process then, specialisat ion
and uptodate,technical skill can be made available to all, thcre will be maximum
economy and better coordination and uniformity in administration. At the same time
there would be arrogance and superiority complex and narrow mindedrless amongst the
staff of the process-based departments. In any case there are few departments which
are formed on the basis of 'process' in all countries.
Persons
In every society there are some persons or groups which hsrve special and distinct
problems and they need some special services. For example there are refugees, tribals,
scheduled castes and backward classes, handicapped people or pensioners etc. In some
countries a few government departments are specially established for looking after all
the problems of some specific group or persons, The Rehabilitation Department,
Tribal Welfare Department, Pensioner's Department or Social Welfare Department,
Labour Department etc. are examplesof those departments which are established on
the basis of 'persons'. It becomes very easy and simple for the concerned group or
persons to approach such departments and these departments cap also efficiently
provide all types of services to them in a systematic and coordinated way, But due to
the establisl~mento~specialdepartments far special group of people these groups
develop vested interests in them and work as a 'pressure group' in administration. In
.many countries a few departments are, however, created on the basis of groups or
persons.
Place
In every country there is some area, territory or regioh which needs some special
attention, some specific service from the government because there are some specific
ordistinct problems of each such area or place. Therefore special area o r place is taken
as basis of formation of a department for that particular area. The bcst example of such
a Department before Independence was the 'Department of Indian Affairs' in the
British Government. And even now there is a department dealing with Scotland,
another dealing with Ireland in Britain. Foreign Affairs Department of the
Government of India is one example of such departments. Many of the departments are
'
divided into divisions which look after different geographical areas or regions. For
Line Ageneles
example the Railway Department has several regional divisions like Western Railway,
Central Railway, Southern Railway, South Central Railway etc. In India we have very
few departments created for some specific area or place.
We have thus seen that there are four principles or bases namely purpose, process,
persons or place, which are used for establishment of departments. Each one of the
principles has some advantages and disadvantages. The natural question which arises is
that which basis should be considered as the best for formation of a department? It is
very difficult to give an answer to this question. In fact, the departments are not formed
on any one single principle. All the four principles are used in the formation of
departments. Keeping in view administrative convenience, socio-economic and
political conditions, the departments are established by making use of all the four
principles of departmentalisation. No one principle is the best. All the four bases ape
complementary
. .
. . . . . .to
. . . .each
. . . . . . . .other and all are used in all the countries for the formation*o,f
. .
departments.
..,.
Check
Your
Progress 1
-. ...- -.-_.
_*. .*.,.. . . . . . .
.....
. .
.....
1 Explain the terms 'line' and 'staff'
,"
2 What are the features of line agencies?
...................................................................................................
3 What are the features of departments?
I ...................................:.........................:.............................................
4 Law Department is based onwhich of the following 4 Ps.
i) Purpose
ii) 'place
iii) Process
iv) Persons
\
> . ,I
23
/1:I
11
I<
33.5 PUBLIC CORPORATIONS

Public Corporation is the second type of line agencies. We have seen that departments
are the oldest, largest and most popular units of administration throughout the world.
But when the departments are not useful for the execution of many new functions of
the modern governments then corporations are created. In recent years modern
governments have to undertake many economic, financial and commercial functions.
Departments are not suitable to carry out such new functions and, therefore, public
corporations are established in many countries. Public Corporations are insfitutional
inventions of the 20th century. The necessities and complexities of the modern age has
given birth to public corporations. Let us see why public corporations have become
necessary.
33.5.1 Reasons behind the Rise of Public Corporation$

Increase in Welfare Functions of the State
The modern state is welfare state. They have to look after the welfare of all the people.
State has to work in all aspects of human life, political, social and economic. As a result
the welfare functions of modern state have tremendously increased. All the functions
cannot to carried out by the departments. New administrative institutions have to be
created to carry out new functions. Therefore public corporation are established for
some special purposes.
Result of X~ldustrialisation
In modern times industrialisation and urbanisation is rapidly taking place. Even in our
own country we see that new industries are coming up in places around us and cities arc
growing at rapid speed. In such a situation it becomes necessary for the government to
regulate the industries and business. Sometimes the state has to take up some of them
directly into its own hands. This is done to provide good services to the people at
reasonable prices. For such business and industrial activities the Public Corporations
are established. Both for the development of industries and also for running the
government industries the public corporations like Industrial Finance Corporation or
Industries Development Corporation etc, are established.
To provide Basic Services to the People

In all the countries governments have to provide some basic services to the people at
reasonable prices. One example is that of bus service. This basic lransport service is
taken up by the government for the benefit of the people. This function of running a
transport system requires businessskill, flexibility and quick decision making. For such
functions public corporations are established. We have Road Transport Corporations
in all the states like Maharashtra State Road Transport Corporation or Andhra Pradesh
State Road Transport Corporation etc. We also have Electricity Supply Corporations
in many states.
Due to Nationalisation
If some business or industry isnot working in the public interest then, government takes
over its ownership. This is Nationalisation. Nationalisation is considered as a step
towards socialism. Our objective is to have a socialistic pattern of society. Insurance
Business, Air Services etc. were nationalised by Prime Minister Jawaharlal Nehru
and the Banks were nationalised by Mrs. Indira Gandhi. h order to run these
nationalised industries or business Public Corporations like Life Insurance
Corporation, Air India and Indian Airlines Corporation itc. have been established.
We have seen that modern governments have to undertake new, economic,
commercial or industrial functions for the welfare and service of the common people.
Many times industries are nationalised and run by the government. Government
departments are not suitable for carrying,oyt these new functions. Because these
functions should be run like it is run by a businessman or an industrialist. It requires
business skill, quick decision making, flexibility and autonomy. These things are not
possible in a departmental system. Therefore public corporations are established.
Corporations can run these functions better, because they have altogether a different
structure from the departments. They have more freedom in decision making and more
flexibility in the day-to-day working than the departments. Let us now try to understand
the origin and salient features of the public corporations.
Origin of Public Corporations

A Public Corporation is normally established when government undertakes business
industries or commerce. A public corporation is owned by the government. Its
management is like a private corporation. Only difference is that a private corporation
is owned by private shareholders whereas public corporatiorls are owned by the
government. In fact the idea of pubIic corporation has been boaroaved by the successful
working of privately owned corporations only. In private corporations money is
invested by shareholders and individuals but the management is done by a Board of
Directors. This Board is elected by the shareholders and it is the responsibility of the
Board to manage the corporation effectively, make day-to-day decisions and earn
profit for the shareholders. It is ultimatelyresponsible to the shareholders and it has to
submit annual reports to them. But in the day-to-day administration of the corporation
the Board has a lot of freedom. Shareholders do not interfere in the daily routine work
of the Board. This is known as autonomy of the Board of Directors. In western
countries the private corporations are very successful in doing thc busincss. Therefore,
this idea was taken up by the governments of western countries, when they wanted to
undertake business type gf functians. Public Corporations first came into existence in
England and then thcy were established in other European countries. When
government of India nationalised Life Insurance business, it established the Lik
Insurance Corporation. Similarly Indian Airlines Corporation, Food Corporation of
India, Da~nodarVallcy Corporation, Industrial Finance Corporation, Central
Warehousing Corporation and a number ofother Corporations were established. State
governments have also established corporations for a number of activities like Road
'Transport, Industrial Development, Electricity Supply, Development of tribals and
backward classes and backward regions etc. For example in Maharashtra, there are as
many as 27 public corporations, they are established from time to tims by the state
government.
33.5.2 Features of Corporations

We have seen that today there are many public corporations established by central and
state governments in our country. Let us try to understand the special features of the
public corporations which make it so useful for business type of functions of the
government.
I
Qwnership of Government
Public Corporations are owned by the government, which invests mqney and
establishes them for some specific purpose. Money invested in public corporation is
public money. That is why they arc called 'public corporations'.
Management by a Board
Each public corporation is managed b, a Board of Directors. The Chairman and
members of the Board are appoilited by the government. The Board is respolisible for
the day-to-day m a n a g h e n t of the corporation. It makes the routine decisions and
implements those decisions. It has autonomy in the day-to-day administration, but the
broad policy directions are given by the government from time to time. Board has
freedom within those broad policy directives. It has to submit annual reports, audited
accounts etc. to the government. Board is thus responsible to the government and
Parliament. We can say that indirectly the Management Board is responsible to the
people because the money invested in the corporations is public money. But ordinary
citizens or the governmelit do not interfere in the day-to-day functioning of thc public
corporations. It is the responsibility of the Board of Directors only.
Estabia'shed by Lzw
Public Corporations are established by law or statute passed by Parliament or
Legislature. Thc purpose of the corporation, composition of the Board of Directors,
their number, tenure, Fowers and responsibilities etc. are all laid down in the law. In
order w make any change in them it is necessary to amend the law. Each corpora ti or^
has a separate law and is governed strictly by the provisions of that Iaw.
Has a 'Corporate Status'
Each Public Corporation has a 'corporate status'. It means, in the eyes of law, a
corporation has a status like an ind~vidual.It can hold and dispose off property. Xt can
~hneeptsin ~ r g ~ l ~ i s a t i o m
ns
enter into contract with any other agency or person. It can sue (file a case against)
anybody or can be sued by anybody. Although a public corporation is an administrative
agency of the government but in the eyes of law it has an independent status like a
citizen, This is called 'corporate status' of the public corporation. Because of this a
corporation owns property in its own name and not in the name of the government. In
courts, a case can be filed against the corporation and not against the government.
Created fur Specific Purpose

~ a c public
h
Corporation is established by a separate law for some specific purpose. It
cannot do anything else. It is limited by the law. For example Life Insurance
Corporation (L.I.C.) can take the insurance of the life of an individual but camot
undertake the insurance of property or vehicles etc: The L.I.C. Act itself prelrents i t
from doing So.
Has Financial Autonomy

Autonomy means freedom in-a limited sphere. A Public Corporation has autonomy in
the financial matters. It can raise funds, invest them in the manner in which it wants,
purchase and sellgoods and property, make contracts etc. The strict government rules
and regulations are not applicable to public corporations. In matters 1ilr.t: expenditure,
accou~tting,budgeting, audit etc. the publiccorporations have autonorny. Government
laws and rules are normally not applicable to them. But bkoad policies of the
government are binding orbthem in this matter.
Has Autonomy Regarding the Staff

Noi-mally the servants of the public corporation are not civil servants. Thcy arc
recruited by the corporation and not by the Public Service Commissions. Their pay scale
and conditions of sewice are different from those of the government servants. They,
however, have to follow certain broad policy guidelines (e.g, regarding 'reservation
policy' etc.) issued by the Government. Otherwise public corporations enjoy freedom
in the matter of personnel (staff).
Autonomy in day-to-day Management

We have seen earlier that the public corporations are managed by a Boarcl of Directors.
This Board has autonomy in day-to-day management. Government issues only some
policy guidelines. It does not interfere in daily routine matters of management. This
freedom of operation is very important for the successful working of the corporations.
Rigid and unsuitable government regulations and cont'rol are not applicable to the
public corporations in their day-to-day working. This freedom is necessary to run a
business-type of activity.
Accountable to Government
It is true that public corporations have financial, personnel and managerial autonomy
but at the same time they are responsible and accountable to the government. They
have to work according to policy guidelinesgiven by the government from time to time.
They have to submit the annual report and other documents to the government. Board
members are appointed by the government and they can also be removed by the
government. Also in some matters, approval of government is necessary. Thus we can
say that public corporations are accountable to the government.
Responsible to Parliament/Legislature
Public Corporations are created by law. They have to work according to the provisions
of the law. There are discussions on the working of these corporations in the
Parliament. Members of Parliament may ask questions about them and the concerned
minister has to give answers to them. Annual reports of the corporations are submitted
I
to the Parliament. Parliamentary Committee
on Public Undertakings can enquire
about the working of the publiccorporations. We can thus say that public corporations
are responsible to Parliament/Legislature also.
In conclusion we can say that the idea of public corporation is borrowcd from private
business corporations. The only difference is that in private corporations the moncy is
invested by the shareholders but in public corporations money is invested by the
government. Government is the owner of public corporations. Its management is not
carried out by a ministeror politician. For this purpose, an indepentlent Board of Directors
--
/I
li
I/
is appointed. This board has a Chairman, Managing Director and other full-time and
part-time members, who have expert knowledge and experience in that particular field.
The board is non-political in character. The powers, functions and responsibilities of
the corporation are laid down in law. Corporations work strictly according to the
provisions of the law. They have financial, personnel and day-to-day managerial
autonomy. At the same time they are responsible and accountable to the government
and Parliament. In the words of American President Franklin D. Roosevelt, "Belblic
Corporation is clothed with the power of government but possess.ed by the flexibility
and initiative of a private enterprise". Thus in the public corporatioll there is a
combination of business flexibility and public responsibility. This , i ! j the best form to
adopt when government wants to enter into the field of business.
Some Problems of Public Corporations
Public Corporation is the best agency when Government wants to do business because,
it has freedom in financial, personnel and operational spheres, it has business flexibility
and efficiency and it is free from direct political control and interference. At the same
time it has limitations imposed by the law and policy guidelines of the govern~nent.
These limitations are:
i) In the working of the organisations it becomes difficult to draw a clear line between
the general policy and day-to-day policies. As a result there is too much
governmental interference in the day-to-day matters of corporations. This leads to
conflict between the government and the public corporations.
ii) Another problem is how to have a balance between autononly and rcsponsibility.
If too much freedom is given to corporations, tlicn they can get out of control. If
there is too much control, they cannot function effectively. Thus a balance between
freedom and control is necessary.
iii) Public Corporations are useful only for the functions like business, banking,
transport, credit, financing etc. But it is not useful for traditional governmental
functions of defence, law and order, justice etc., for these only departments are
useful.
iv) There are no well knit schemes of incentives and disincentives in public
corporations, so managerial motivation is very weak, this ilclverselyeffects the work
in corporations.
33.5.3 ~istinetioibetween Departments and Corporations

So far in this unit we have studied government departme,nts and public corporations.
Let us now make a distinction between thc ilepartments and corporations. 130th of
them are line agencies of thc government but they arc different in many ways.
DEPARTMENTS
1. Department is headed by a Minister,
who is a politician. H e is assisted by one
or more Deputy Ministers.
2. In a department both policies and dayta-day administration is the responsibility of the Minister.
CORPORATIONS
1. A Corporation is headed by a Board of
Directors, who are experts in their
fields.
2. In a Corporation general policies are
determined by the Government and
routine day-to-day matters are decided
by the Board of Directors.
3. Departments have strict financial control 3. Corporations have financial autonon~y.
over tliem.
4. Departmental staff is recruited by Public 4. Corporations have autonomy in the

personnel matters and have their own
Service Commission and governed by
rules and regulations regarding the
strict rules, reglitations of the
government.
staff matters.
5 . In corporation system there is scope for
5 . In the department system, usually
routine procedures of administration are
experimentation and there is flexibility
in making decisions.
followed. There is no scope for experimentation and there is no flexibility.
6 . Departments are large, traditional
6 . Corporations are useful for new
economic and commercial functions of
organisations useful for routine government functions.
the government.
1.lne Agencies
Conapts in Organhations IIl
7. There is direct political control over the 7. There is no political control'and less
departments through the Minister.
political interference in public

corporations.
Thus we have seen some of the differences between governmeot departments and
publiccorporations. Both of them are the line agencies of the government. It is true that
most of the major functions of the government are carried out by the departments and
only those functions which require business skills, commercial efficiency a n d freedom
from political interference are entrusted to public corporations. But in modern times
the number of public corporations is rapidly increasing.
.*
.Check Your Progress 2

1 What factors led t o the establishment of corporations?
2 What are the salient features of cbrporation
....................
...-...w
......(........................
3 What factors distinguisll corporations from departments?
...........................................................................................................
LFc Agendea
33.6 LET US SUM UP

Formal organisations are divided into line and staff agencies. In this unit you examined
the definitions and features of line agencies, features of government departments and
the bases of their formation. You have also studied the need and significance of
corporations, their features and the distinction between departments and corporations.
In the next unit you will study about staff agencies.
33.7 KEY WORDS

Audit : It means to ensure that in the process of spending government funds, all rules
and regulations which govern expenditure are adhered to. To see that expenditure has
been ihcurred by the authority which is empowered to incur it.
Autonomy : Management of a Public Undertaking having full charge and authority to
run the enrerprise.on sound business practices and commercial principles, to take
decisions independently without any interference by the government.
Independent Regulatory Commission (I.R.C.) : The I.R.C. is a peculiarly American
variety of administrative unit born of the special constitutional set-up of the U.S.A.
These are co~npletelyindependent of the chief executive, that is, the President, they
perform administrative, quasi-judicial and quasi-legislative functions e.g. Inter State
Commerce Commission, Federal Trade Commission etc.
3378 SOME USEFUL BOOKS

Avasthi, A. and Maheshwari, S.R., 1984. Public Administration; Laxmi Nqrain
Agarwal: Agra.
Dimock, M.E., and Dimock, G.O., 1975. Public Administration; Oxford and IBH
Publishing Co. : New Delhi.
Pfiffner, J.M., and Sherwood, F., 1968. Administrative Organisation; Oxford 11314.
Publishing Company : New Delhi.
33.9 ANS.WERSTO CHECK YOUR PROGRESS

-
EXE~CISES
, 1 See Sec. 33.1

!\ 2 See Sec. 33.2
'. 3
See Sec. 33.3

4 (iii)
Check.YourProgress 2
1 See Sub-Sec. 33.5.1
2 See Sub-Sec. 33S.2
UMT 34 STAFF AND AUXILZARY AGENCIES

Structure
34.0
34.1
34.2
34.3
34.4
34.5
34.6
Objectives
Introduction
Meaning and Importance
Salient Features of the Staff Agencies
Functions of Staff Agencies
Types of Staff Agencies
Auxiliary Agencies
34.6.1 Salient Features of Auxilia:y Agencies
34.6.2 Distinction between Staff and Auxiliary Agencies
34.7
34.8
34.9
34.10
Let U s Sum Up
Key Words
Some Useful Books
Answers t o Check Your Progress gxercises
34.0 OBJECTIVES
e explain the meaning, importance and role of staff and auxiliary agencies
e describe the features, functions and types of staff agencies; and
@ distinguish between line, staff and auxiliary agencies.
34.1 INTRODUCTION
As you read in Unit 33, in any country the chief executive constitutes the highest point
of the administrative structure. H e has to run the administration, but he alone cannot
do all the work. H e needs help. Under every chief executive there are many
administrative units and agencies. These agencies are the line and the staff. The: line
workis the function of authority and command and'staff' work is the function of help,
advice and counsel. Those units which are doing line work are called 'line agencies' and
those doing the staff work are called 'staff agencies'. There are third type of agencies
also. They provide common house-keeping services to all other agencies. They a r e
called as 'auxiliary' agencies. In previous Unit we have studied about the line age:ncies
like government departments and public corporalions. In this unit we will study about
the 'staff' and 'auxiliary' agencies.
34.2
I41EANING AND IMPORTANCE
We know that in modem times the functions of administration have increased

tremendously. Administration has b e c ~ m ea very complex and complicated activity.
The number of administrative agencies has increased. At the same time the size of I he
administrative organisations has also become very large. Due t o all these factars it haas
become very difficult for the chief executive to carry out his work all alone. He has sts
mahy things to do; so many decisions to make; so many letters t o reply; and so many
visitors t o meet. Thus he is over-burden$d. He has no time. He needs advice and
assistance. He needs relevant and up-to-date information without which he cannot
function. Those individuals, officers o r units which provide help, assistance, advice a n d
information to the 'chief executive' are called 'staff agencies'.
Like the chief executive other executives also need the help, advice and assistance of
the staff. In the previous unit, we have studied the line agencies working directly under
the chief executive like the government departments and public corporations. We
know that these line agencies carry out the actual executive work and exercise the
authority and command on behalf of the chief executive. There are ministers in charge
StaB and Auxillnry Agencles
of the departments and members of the Board of Directors of the public corporations.
They are the executives of the line agencies who exercise the authority, make decisions
and run the administration. These executives, ministers, directors and Inantigers also
cannot carry out all their functions without the help, advice and assistance of the "staff
agencies".
We can thus say that all~executivesincluding the chief executive, carrying out tlie,line
functions need the seririces of the 'staff'. Without the help'of the staff, no line agerncy
can function efficiently and no executive can perform all his functions on his own. So
'staff units' perform very important role in administration.
Ilistinction Between 'Line' and 'Staff'
The distinction between 'line' and 'staff' units was first developed in military
administration. We read in the previous unit that there are some units in the army which
actually fight in war. Right from the Chief Commander to the soldier, they are all in one
line of command and under one authority. The Chief Commander, the general, the
brigadier, the major, the captain, the platoon commander, the: subhedars etc., in this
chain of command are called 'line' officers and the units under their control arc called
as 'line' units in military administration.
But can the line units fight a war without regular supply of food, water, clothing, arms
and ammunitions? Can they proceed unless pr'operroads and bridges are built on their
way? Can they go ahead without medical and nursing aids? Can a Chief Commander
make decisions unless all the maps of the war-front and thc other relevant information
are made available to him? In military, there are those units which supply food,
clothing, arms and ammunitions, medical and nursing aids; units which carry on spying
operations; units which build and repair roads and bridges; units which prepare maps
of the war-front areas; units which keep all relevant and up-to-date information of the
war-front ready for the use of military commanders. These units do not lake part i n
actual fighting with the enemy on the war-front. Theirwork issecondary in nature and
is carried out behind the scene. But without their work the 'line units' of the army
cannot fight. They are called 'staff units' in the military and their function is called 'staff'
function. This distinction between 'line' and 'staff' units has been borrowed from
military administration and usefully applied to Public Administration. Let us now
understand what is meant by the 'staff' units in Public Administration.
Meaning of Staff Units in Administration
The dictionary meaning of the term 'staff' clearly explains the nature of the staff units.
Literally, 'staff' means "a wooden stick carried in the hatzd on whiclz one cart lean for
support". It cannot make movements on its own. It can move only if you and your hand
want it to move. It cannot initiate your movement but if you decide to move, the stick
in your hand will give you support and take you wherever you want to go. This exactly
is the role of the 'staff units' in the administrative structure of a country
Another relevant dictionary meaning of the word 'staff' is "a body of officers attached
to a commanding officer to help him in his work".This makes it very clear that the
'staff' function is a supportive and helping function. The 'staff' units perform the
,secondary function and not the primary function in the administration. The primary
'line functions are performed by the 'line' units and executive agencies, In order to carry
out their functions the executives need help, assistance, advice, counsel, support,
infolmation and statistics etc. 'staff agencies' or staff officers provide all these services
to them.
The above description may give you an impression that in Public Admiriistration the
'line' functions are more important than the 'staff functions and you may conclude that
the 'line units' are more important than the 'staff units'. But this is not true. Both are
equally important in administration and are complementary to each other. Line units
have authority and power to make decisions, issue orders and command the
administrative organisations. But they cannot work without the help and advice of the
'staff'. Staff units have no authority and power but they have the 'influence' and 'advice'
which is equally important. For example the Prime Minister is the chief executive in our
country. There is a staff agency called the Prime Minister's Secretariat which gives help,
assistance and advice t o him in all his activities. Prime Minister exercises the power and
authority but in this work Prime Minister's Secretariat plays a very important role.
'
Concepts in Orgnnlsations In
Today this Prime Minister's Secretariat, which is a staff agency; equipped with a wide
range of expertise has a lot of influence and importancedn our administration.
Similarly, the Union Public Service Commission (U .P.S.C.) advises the Government
on the [matters relating to the civil services and makes many useful recommendations,
The government has the 'authority' to accept or reject them. But in actual practice we
know that: the U.P.S.C. has a lot of 'influence' in personnel matters and all its
recommendations are normally accepted by the Government. Thus we can say that the
staff agencies have no authority but certainly have the 'influence'.
34.3 SALIENT FEATURES

. .
OF' THE STAFF AGENCIES
We have so far, studied the meaning and importance of the staff agencies. In order to
understand the concept of staff agencies more clearly, let us try to see what are their
salient features.
1) Staff Agencies perform 'Secondary' functions in Administration
In all countries the line agencies perform the 'primary' function? and the staff agencies
perform the 'secondary' functions. Their role is support.iveand qdvisory in nature. We
have seen that in the army 'line units' fight and the 'staff units' help in fighting; the 'line
units' carry out the administration and the 'staff units' help them in carrying out the
administration. 'St:tff' is like a stick which can help you in walking but which cannot
walk on its own. Line function is an 'end' in itself but the staff function is a 'means' to
achieve an end. Both the primary and secondary functions are important in
admillistration.
2) Staff Agencies do not exercise authority and command
The very nature of the staff agencies is such that they do not have authority and power.
They do not make decisions and issue commands. These are the functions of the 'line'.
'Staff helps the line in the exercise of the power and authority. The staff advises the 'line'
in making decisions. It has some 'influence' and not authority. But in some cases the
'advice' of the,staff is considered as very significant. It becomes compulsory to accept
that advice. Suppose a person is seriously ill, he goes to a doctor. Doctor advises him
to take a particular medicine. In such a case it becomes compulsory for the patient to
take the medicine advised by the doctor. Here the doctor does not have authority but
has a lot of influence. Similarly, the staff also has influence and not authority.
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3) Staff Agencies do not have executive responsibilities

In administration the chief executive, the Ministers and the executive heads have the
responsibility of carrying out the administration. 'Staff' agencies are there to help and
assist them in their work, They remain behind the scene. They are not directly
responsible for the executive work. If the government succeeds, the credit goes to the
Prime Minister, if it fails the blame goes on him. He is held responsible. No staff unit
can be held responsible for the success or failure of administration or government.
.
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4) Shff Agencies do not directly deal with the people
The line agencies directly deaI with people and serve the community. The staff
agencies provide services to the line agencies and not to the people.. They help, assist
and advise the line agencies but they remain behind the scene. They remain anonymous
and in the background. In some cases the staff agencies perform some delegated
functions and come into contact with the people on behalf of the chief executive. Even
in such a case the 'staff' is responsibIe to the chief executive and not directly to the
people.
5) Stair Units are attached to Line Units at all levels outside the line of command
In any administrative structure the line of command and authority runs downwards
from the chief executive to the heads of departments (Ministers) to the executive heads
of different divisions, sections.. . etc., and so on. Staff agencies are located outside this
line of command. They are attached to different line units at different levels in the line
'
of authority. They are like the sidings at a Railway Station to the main rail track. But
sometimes a 'Staff' officer may be a part of the line unit like the secretary of the Home
Department is an adviser to the Home Minister.
strlrd~ux~uy~gclrks
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34.4 FUNCTIONS OF STAFF AGENCIES

So far we have seen that the staff agencies play a very important role in the
administrative system of a country. Line agencies and executive heads cannot function
without the suppok and assistance of the staff agencies. In different countries different
staff units perform different types of functions. Let us now try to understand and
identify the major functions of the staff agencies.
'
Assistance Function
The most important function of the staff agencies is to assist, help and support the c b i f
executive and other line agencies in carrying out their work. They work on behalf of:the
chief executives and reduce their burden, relieve them from the routine matters and
save their energy and time for important matters. White House Office in America or
prime Minister's Secretariat in India are predominantly doing this assistance function.
These staff agencies work as additional ears, eyes and hands of the chief executive.
he^ serve as the 'filter and funnel' for them. They issue press notes, write letters,
maintain diaries, channel visitors and perform several other functions to help the
executive.
Information Function
Another major function of the 'staff' is to provide to the line agencies all relevant
information,.w.cessaryfor making decisiojns.Staff has to collect, preserve and provide
up-to-date information and data. Col1e;ction of information involves research, study,
enquiry and surveys etc. The information collected has to be digested, summarised and
presented to the concerned 'line' officer in a suitable form. Suitable and relevant
statistical data has also to be kept up-to-date and supplied whenever required. Bureau
of Statistics, Establishment Unit, 0 & MDivision are engaged in this type'offunction.
Advisory Function
In addition to providing relevant information and data necessary for making a decision,
the 'staff' also has to advise the chief executive and line agencies. They have to place
tbeir opinion before the Minister or chief executive. This advice may be accepted or
rejected by the concerned 'line' officer. But consultation and counsel of the 'staff is
taken before making a final decision. Secretary of a department gives his advice and
counsel to his Minister. On matters of planning, the Planning Commission gives advice
to the Government. Advising and consultation are the important functions of all 'staff'
agencies.
,
Supervisory Function
Once a decision is taken by the chief executive it is the function of the 'staff' to
communicate it to the other related line agencies and to see that the decision is
implemented by them. The staff units have to explain the decision, remove the
difficulties in its implementation and supervise their work on behalf of the chief
executive. They have to plan and coordinate their work, maintain contacts with all
related agencies and help the chief executive in his task. The Cabinet Secretariat
perfotms this supervisory function in India.
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Delegated Functions
Sometimes the chief executive delegates some authority to a staff agency. In that case
that staff agency performs delegated functions'on behalf of the chief executive within
clear and defined limits. For example a Press Secretary of the Prime Minister issues
press notes on behalf of the PMorthe Bureau of Budget prepares the budget on behalf
of the American President or the Union Public Service Commission conducts the
competitive examinations for the recruitment of the civil servants, on behalf of the
.Government of India. Thus, sometimes, the staff exercises$elegated authority on
behalf of the line agencies andperform <;legated ftta#ibns.
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Cbucepts k C k g g n h t t ~ m
~
Note: j) Use the space below for your answers.

1 What do you understand by staff agencies?
2 ,What is the importance of staff functions in administration?

.
3 What are the feature? of staff agencies?
4 Explain any two important functions of staff agencies.

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5 Which one of the following is not a function of staff agencies?

i) Advising the chief executive
ii) Collecting information, data, etc. for the executive
iii) Directly carryiig m t the wdrks of administration
iv) Acting as filter and funnel for the-executive
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34.5 TYPES OF STAFF AGENCIES

In general there are three types of staff services or agencies. They are:
I) General staff
2) Technical staff
3) Auxiliary staff
General Staff
The chief executive needs the advice and assistance of a 'general' nature. For example
there ire hundreds of letters which come to him. He has no time to read them all and
send replies. I-Iis assistants will do this work for him. Only the most important letters
will be placed on his table. He has to deliver so many speeches. His assistants prepare
the texts of his lectures. He has to meet so many visitors. His assistants act as 'filter and
funnel' in this matter. Thus they save his time and energy for important matters and
reduce his burden. All this work is of 'general' nature. Those who do this are called
'general staff'. The Prime Minister's Secretariat in India and the White House Office in
America provide the examples of the 'general staff'. Even the permanent secretary of
a Government Department, who advises the Minister is generally a generalist and
experienced administrator. His advice is also of a 'general' nature. For his minister he
performs the functions of the 'general staff'. The members of thc 'general staff'
gene;ally are persons with adminis'trative,training and experience. They are not
technical experts. But thcy can give 'general staff' assistance and advice the chief
executive.
Technical Staff
The chief executives and all other executives need technical advice in several matters
because decision making requites perfect technical knowledge of the related field.
'Generalist staff'working under them do not have technical knowledge. Therefore
services of the technical staff which consists of experts and specialists like engineers,
doctors, financial experts, economists, planners, architects etc. are required. This
'technical staff' advises the chief executive in technical matters of their field of
specialisation.On behalf of the chief execiitive they also exercise technical supervision
over the agencies working in their field. If an atomic energy plant is to be established,
a hydro-electric dam is to be built or an aeroplane factory is to be establisl~ed,in such
technical matters it is absolutely necessary to consult and obtain the advice of t h e
experts like 'atomic energy scientists', 'design and construction engineers', or
'aeronautic scientists'. Decisions regarding financial and econornic policy requires thc
opinions of the economists. Similarly government needs advice o f 'foreign policy
experts' in framing its foreign policy or that of the experts in defence and strategic
studies tq frame its defence policy.
Theneed of technical experts in administration is rapidly increasing in our country. As

the functions of the government are rapidly expanding, the need for tebhnical experts
will continue to grow in future. A large number of specialists and technical experts are
already recruited for government services.
Auxiliary Staff
All administrative agencies require certain common and house-keeping services. For
example, all agencies require construction and maintenance of buildings, purchase of
furniture, stationcry and office materials, printing of papers, documents and reports,
recruitment, training and management of personnel, preparation of annual-budgets
and financial statements, maintenance of accounts and records etc. These services are
incidental in character i.e, they are not directly a part of the main and primary activity
of the agency. But without these services it will not be possible for any organisation to
carrv out its primzry functions. They are absolutely necessary for all organisations but
they are subsidiary and secondary in nature. In administration, these services are called
'auxiliary services' and those agencies or units which perform these services are
called 'auxiliary staff agencies'. The Public Works Department, the Public Service
.
omm mission, the t i ~ ~ c l ~ Department,
l~its
Director of Supplies, a Store Section, or
Establishment Section or Records Section of large organisation are examples of the
'auxiliary staff agencies',
We have seen that the auxiliary agencies, provide certain common house-keeping
services to all other agencies and departments. They work on behalf of the line
agencies. In their own sphere ot.acti;.ity they make decisions and exercise authority.
Staff m ~ dAuxiliary Agencies
They work as separate independent organisations but as agents of the line units. They
are not like general or technical staff agencies. They do not 'advise' or 'assist' the line
units as other staff agencies do. Therefore, some writers like W.F. Willoughby and
L.D. White, arc of the opinion that 'auxiliary' or 'house-keeping' services should not
be regarded as part of the staff services. According to them 'auxiliary agencies' are not
staff agencies. They are not even a type of staff agencies. In the next part of this unit we
will study the meaning and importance of auxiliary agencies and their distinct features
in detail. We will also try to make a distinction between the staff agencies and auxiliary
agencies in the last part of this unit.
34.6
AUXILIARY AGENCIES
'
As we have seen earlier in administration there is a third category of agencies which .

provides common, house-keeping services to all other agencies. These agencies are
called 'auxiliary agencies'. Some writers think that 'auxiliary' services are part of the
'staff' services. But there are some other 'writers Who say that the nature of the auxiliary
services is !differentfrom the staff services and therefore the 'auxiliary agencies' must
be ~tudiedlseparatel~.
In the following pages we will study the 'auxiliary' agencies.
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Need of Audliary Agencies

In the administrative system of any coontry there are many line agencies. All these
agencies perform different functions. In order to perform their primary activities all
agencies require certain common, house-keeping services like construction and
maintenance of buildings, typing, budgeting, and so on. All these activities are
incidental and not the primary or main activity of any agency. They are absolutely
necessary for the achievement of the primary objectives of the organisations. These
services are called 'auxiliary' services. .
Actually it is the responsibilityof each line agency to purchase the required furniture
' ;
and equipments, to make recmitment of the servants, to maintain its accounts and keep ,
records etc. In the past each line agency was 'self-sufficient' and made its own
arrangements for performing these auxiliary activities. But because all these auxiliary
services are common to all departments, it is more convenient and economical if all.
these common functions are taken away from all the line agencie$ and are performed
, by separate agencies. It automatically ihcreases the efficiency and we have the benefits
of specialisation in carrying out them common services. It reduces the burden of the
executives and saves their time and energy for more important work. Therefore, in
most countries separate auxiliary agencies have been establ shed. The Central Public
Works Department, Finance Department, Onion Public Se ' ice Cofimission,
,
DirectoriGeneral of Supply and Dispbsal are some examples of auxiliary agencies of ,
the Government of India. In other countries also the centralised auxiliary agencies have
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been established in'the interest of economy, efficiency and convenience in
administration.
s.
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Meaning of Auxiliary Agencies

4
Dictionary meaning of the word 'auxiliary' is 'helpful' 'subsidiary' or 'allied troops in a
nation's service'. When we apply this to the administration, we can say that auxiliary
services are those services which are not primary but secondary or subsidiary in nature.
They provide subsidiary type of help to the 'line' agencies. It is like the help of the
'allied troops in theservice of a nation'. A nation has to rely on its own troops but in
some cases it can take the help of the 'troops' of an allied (friendly) country.
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In administration, auxiliary services are those services which are common, *

house-keeping services required by all 'line' agencies, like purchasing the equipments,
recruiting the servapts, maintaining the accounts etc. Line agencies are established for .,
other important ppfposes. In ordel: to cany out these primary functions line agencies .
need incidental services also. These subsidiary and 'secondary' services are called
'auxiliary' services and those agencies which provide these services to the line agencies
are called 'auxiliary agencies'.
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34.6.1 Salient Features of Auxiliary Agencies

We have studied the meaning and importance of the auxiliary agencies in the
administrative system. In order to understand the concept and nature of 'auxiliary
1.
agencies' more clearly, let us now look at some of the salient features'of the 'auxiliary
agencies'.
-1. Auxiliary Agc cies provide commbb house-keeping services to the line units
Auxiliary agencies provide common secondary help and subsidiary house-keeping

services to the line agencies. For example in a University there are many teaching
departments teaching different subjects like Political Science, Economics, Chemistry,
Mathematics etc. All the teaching departments need books, furnitures and stationery.
These are common house-keeping services. Instead of having a library service in each
department, there is a common auxiliary agency called the University Library. It
purchases and keeps books on all subjects which are used by the teachers and students
of all the departments. Similarly there is a 'Stores Section' which makes common
purchases of furniture and stationery and supplies them to all departments as and when
required.
2. Auxiliary Agencies exercise limited authority and make decisions in their own sphere
Auxiliary agencies are separate units which exercise some liniited authority and make
decisions in their own limited sphere of activity. Staff agencies have only 'advisory' role
and have no 'authority'-Contrary to this the auxiliary agencies have a 'limited
authority' which they exercise while carrying cgut their functions. They have no
'advisory' or 'counselling' role like the general or technical staff agencies. On the
contrary they work as agents of line agencies and make decisions on behalf of them. A
purchasing agency makes purchases according to its own rules and regulations o r Public
Service Commission makes the selections of candidates according to its own norms. The
Finance Department exercisr;? authority and control over other departments while
preparing the budget or approving the expenditure. Thus we can say that in a limited
way the auxiliary agencies exercise authority and make decisions. Auxiliary agencies '
are somewhere between the 'line' and 'staff' agencies,
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3. Auxiliary Agencies hare operational responsibilities
The auxiliary agencies are, in a sense operational agencies as they are concerned with
performance of some routine activities'of government like purchases, supplies,
personnel matters, accounting, budgeting etc. In this respect auxiliary agencies are
different from other 'staff' agencies. Incase of auxiliary agencies their efficient
operation is more important than their 'advice'. Delays in the work of U.P.S.C. or
Public Works Department or Law Department will effect the performance of all other
line departments.
4. Auxiliary Agencies do not serve the People
Auxiliary agencies basically perform services common to the departments but they do
not serve the people. They serve the line agencies and departments. They assist and
help the line agencies in carrying out their functions. They work as the agents of the line
agencies. But these agencies do not provide services to the people.
5. Auxiliary Agencies are placed under the Chief Executive or Departments

.Generally the centralised auxiliary agencies are placed under or attached to the chief
executive. There are some government departments which work as auxiliary agencies
such as the Finance Department, Public Works Departments or Law Department.
These departments provide auxiliary services to other departments and at the same
time exercise some authority and control over the other departments through these
services. Some auxiliary agencies are placed under or attached to the departments like
the Rnance Department or Home Department or the General Administration
Departments.
346.2 Distinction between 'Staff' and 'Avxiliary' Agencies

So far in this unit we have studied the 'staff' and 'auxiliary' agencies. Let us now make
a distinction between the 'staff and 'auxiliary' agencies. Both these agencies help and
assist the 'line' agencies in carrying out their primary functions. Their functions are
basically 'secondary' in nature but are necessary in administrarion. Both do not serve
the people but serve the line agencies only. But they have some differences. What are
the differences between the 'staff and 'auxiliary' agencies?
Conrrpts in Organisations
- In
Auxiliary Agencies
Staff Agencies
1. Staff Agencies aid, assist and 'advise' the 1. Auxiliary agencies provide common,
house-keeping services to the 'line'
line agencies. 'Advice' is a major
agencies.
'Service' is a major function
function of 'staff'
of Auxiliary agency.
2. Staff agencies do not exerclse 'authority' 2. Auxiliary agencies exercise 'limited
authority' and make some decisions
and do not make decisions. They help
relating to their own sphere of activity
arid 'advise' the line agencies in making
decisions.
3. Auxiliary agencies have operating
3. Staff agencies have no executive or
responsibilities on behalf of the line
operative responsibilities.
agencies.
4. Auxiliary agencies are generally placcd
4. Staff agencies are attac,hed to line
under the chief executive or
agencies at different levels in the
departments.
administrative hierarchy
Thus there are some similarities and some differences between the 'staff' and 'auxiliary'
hgencies. In administration,
.....
......
the services of both 'staff' and 'auxiliary' agencies are
!equally important for the successfuitr~~r1(in~~0Tthe
'line' agencies. . . . . . . . . . . . . . . - .
+..-

-. - - - . .Note: i) Use the space below for your answers.
ii) Check your answers with those given at the efld of the unit.
1 Distinguish between general staff and technical staff.
'F
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2 Discuss the importance of auxiliary agencies in administration.
............................................................................................................
..
Explain the features of auxiliary agencies.
Staff and Auxiliary Agencies
4 Distinguish between staff agencies and auxiliary agencies.

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b.
34.7
LETUSSUMUP'. -- -
9-
.
-
.....
In this unit we have learnt that the 'staff' and 'auxiliary' ltgencies arc there to help, assist
and advise the 'line' agencies. The 'staff' agencies prov~de'general' and 'technical'
.advice and assistance to the 'line' agencies, wllereas the 'auxiliary agencies' provide
comlnon and house-keeping services to the line agencies.
Some writers consider 'auxiliary' services as part of the 'staff' services, but others think that
'staff agencies' and 'auxiliary agencies' qrc different. T h e main distinqtion between the
two is that 'staff' agcncies do not exercise authority whereas the auxiliary agencies
exercise some 'limited authority'. Staff units perform predo~ninantly'advisory'.
functions wl~ereasthe auxiliary units perform the 'service' functions. Both these
agencies are, however, important in administration.
--
34.8 KEY WORDS

Orgallisation and Methods (O&M) : An administrative concept and process by which
research, methods, engineering, organising, fact finding and related professional
advice is provided for managemkt in order to establish and maintair~optimum
efficiency in handling, scrutinising or controlling over organisation methods and
procedures.
Union Public Service Commission (UPSC) : An advisory body to the government, on
ic
The
matters relating to recruitment, promotion and control of the p ~ ~ b lservices.
members of UPSC are appoinfkd by the President for a period of 6 year ,.
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34.9
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SOME USEFUL BOOKS

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Avasthi, A and Maheshwari, S.R.,

1978. ~ublic~dntinirrration;
Laxmi Narain
Agarwal : Agra.
Dimock, M.E. and Dimock,G:O., 1970. ~ u b l ~ ~ r l m i n i s t r u t iIoBnH; ~ublishurs:
New Delhi.
1 .
Pfiffncr J.M. and Sherwood, 1968. ~dmhistrativeOrgnnisntions; IBH Publishers:
New Delhi.
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Cmapts la ch-gll~lisptlons
~l&ran,P., 1981. Modern Public Administration; Meenakshi Prakashan: New Delhi.

Sharma, M.P., 1977. Public Administration in Theory and Practice : Kitab Mahal :
Allahabad.
Tyagi, A.R., 1986. Public Administration; Atma Ram Sons: New Delhi.
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34.310
ANSWERS TO CHECK YOUR PROGRESS

EXERCISES

1 See Sec. 34.1 and 34.2
2 See Sec. 34.2
3 See Sec. 34.3
4 See Sec. 34.4
5 (iii)
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1 See Sec. 34.6
2 See Sec. 34.6
3 See Sub Sec. 34.6.1
4 See Sub Sec. 34.6.2
LTMT 35 BUDGETING
Structure
35.0 Objectives
35.1 Introduction
35.2 Meaning of Budget
35.3 Principles of Budget-making
35.4 Preparation of the Budget
35.5 Enactment of the Budget
35.6 Kinds of Grants
35.7 Let Us Sum Up
35.8 Key Words
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35.0 OBJECTIVES
The objective of this unit is to enable you to get an understanding of the budgetary
process. After going through this unit you should be able to:
e explain the meaning and importance of the budget
discuss the principles of budgeting
e identify the various stages in the preparation and enactment of budget; and
describe budget-making in democratic countries.
35.1 INTRODUCTION
Financial administration is very important today because of the volume, nature and
variety of governmental activity. Everything government does requires money and
government spends huge sums to meet its commitments of different kinds. Budgets
grow larger and larger each year and it becomes increasingly necessary to ensure that
the tax-payers' money is spent efficiently and economically. There is need to ensule
adequate financial accountability.
Successful fiscal management centres around budgeting. The budget of the state, is an
elaborate and complex exercise. In the days of laissez-faire, the budget was a si~nplc
'statement of estimated income and expenditure. Given the accepted belief qf the time,
that the best state was the one that did the least, the functions of government were
liniited and iegulatory in natlue. Hence, the budget as the principal.financial statement
of the government, sought to introduce orderliness and method in financial
management. The modern state is a welfare state. It undertakes activities to promote
the comtnon welfare of the community. In developing countries like India, the state is
not just the preserver of the status quo, but the accelerator of socio-economic change.
Government is engaged in nation building activities and seeks rapid modernisation.
Administration is change oriented and result oriented. Goals have to be achieved
within the democratic frame-work, with due regard for the rule of law and the rights of
men. Hence, in the modern state, be it democratic o r communist, developing or
developed, budgeting is the heart of financial administration. In this unit we shall
examine the meaning and importance, principles and the process of budgeting.
35.2 MEANING OF BUDGET

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The word budget originally comes from the old English word "bougette" meaning a
sack or a pouch. It was xclnllv :I lcnrher ha&in which the British Chancellor of the
Canc~ptsIn Organisations III
Exchequer (the equivalent of our Finance Minister) carried the papers relating lothc
budget which were to be placed before Parliament for approval. From that association,
it has come t o mean the papers themselves.
The budget is not just a statement of estimates of expenditure and revenue of the
Government. It is a plan of action of the government for orderly administration of its
financial affairs. The budget reflects the philosophy of the government and its manner
of governance. It indicates as to how resources are to be raised to meet the anticipated
expenditure through its taxation policy. How economic growth is planned, is indicated
through its production policy. The budget reflects the priorities and targets of the
government. For instance, through heavy taxation of the rich, it can attempttoreduce
economic and social inequalities. It is both a kind of economic horoscope and apolitical
document.
The budget serves as a powerful tool of coordination. It seeks to eliminate duplication
and waste. It is a means to inculcate cost consciousness. It provides a means to
evaluate progranlmes and policies and helps to streamline administration. In fact,
performance budgeting which emphasises what goverfiment does in terms ofoI>jectives
and functions, and zero-based budgetjng which calls for an annual review of all
programmes with il view to discontinuing those programmes that have failed or are not
viableare steps in this direction. The budget is also the most important tool of
legislative control over the public purse.
The term budget stands tor both-the financial plan as presented to the legislature for
its sanction and the sanctioned plan as it emarges after being passed by the legislature.
In India, the word budget is used t o indicate the estimates of expenditure only, In
Englal~d,the word is used in connection with ths-revenue or taxation part of the
financial plan. In America, the term is used in .a more comprehensive fashion to cover
the entire financial process i.e., preparation of the budget, enactment by the
legislatu~.e,its cxecution, accounting. and audit.
A budget may be longterm or short term. Usually, Government budgets are on an

annual basis. In India, where we have Five Year Plans, a part of the plan is incorporated
in the annual plan though Pal-liament does approve of the entire plan in principle and
outline.
Let us examinc the principles of huclget-raaking.

1 The budget must be a balanced one : The estimated expenditure should not exceed
estimated income. When expenditure exceeds estimated income, it is called a deficit

budget, Though deficit budgetingis risky in that it can lead to inflation, up to apoint
it is acccptablc because it hclps fight trade depression. When government spends
more on public works, it: ir~creascsthe purchasing power of the people which in turn
stin~ulatesprices and production arrd fights depression.
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2 Estimates should be on a cash basis : This is how it is in India, Britain and U.S.A.
This kind of cash budgeting has the advantage that the final preparation of accounts
of a year call bc done soon after its close, though it may not reveal the true financial
picture for that year. By deferring payvents that are due in that year, a surplus
instead of a deficit will be shown in thc present year's budget which is incorrect. In
contrast to tllc cash butlgct, thcrc is the revenue budgqt which corrects thisdeiicit,but
it res~lltsin long delays in preparation and presentation of accounts and this makes
fillancia1 cotltrnl deficit.
3 Budgct must distinguish between recurring expenditure and income on the onchnnd
and capital payments and receipts o n the other. In other words, there must be a
distinction bclweerl current or revenue budget and capital budget. Eachpartmust be
balanced scpnratcly and the overall surplus or deficit is found out by taking bothinto
account,
4 Budget should be gross and not net : All the transactions of income and expenditure
be clearly and fully shown and not merely as the resultant netposition. Neglect
i
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I
of this rule can adversely affect the established financial procedure and result in
laxity of control, incomplete accounts, etc.
5 Estimating should be as exact as possible :Gross over-estimating leads to heavy

taxation. Gross under-estimating can throw the whole budget out of gear when it
comes to implementation. Close estimation is usually done by taking the average
figures of previous three years under different heads and making the necessary
adjustments. Itemised estimates are an aid to close budgeting. Generally, one is
liberal in estimating expenditure and conservative in estimating income.
6 Budget form should correspond to the form of accounts, i.e., budget heads should be
the same as those of accounts. This facilitates budget preparation, budgetary control
and account-keeping.
7 The rule of lapse : It is the last budgetary principle. No part of the grant that is
unspent in the financial year can be carried forward for the future. If this rule did not
apply, depnrtmel~tswould live on accumulated and unspent balances and would to
- that extent be independent of legislative control.
&&rk Your Progress 1
Note: i) Use the spa'ce below for your answers.
ii) Check your answers with those given at the elld of thc unit.
1 What is a budget'?
............................................................................................................
2. Distinguish between deficit budgeting and cash budgeting.
The Budgetary Process

It is an elaborate and complex process involving operations performed by several
agencies as indicated below.
1 The Executive : The various depart~nenlswhich constitute the executive branch of
the government have t a formulate their work programme for the year.
2
The
finance ministry, though a pa t of the executive, has a special role to play. it
.administers the finances of the government and so it is responsible for the budget. It
interacts with the administrative ministries that are the spending bodies and prepares
the budget estimate. The estimates of income or revenue and the estirnaf.esof
expenditure are brought together in the budget which is presented to Parliament.
3 The Legislature : It discusses the budget and sanctions the expenditure. In India,
Parliament's control over government expcnditure is undertaken through its
financial committees.
4 Audit Department : Audit is independent of Government. It is a device to ensure the
legality and propriety of expenditure. The Comptroller & Auditor-General sees that
Budgeting
.
/
--
Concepts in Organisations I11
-"
the tnoney is spent according to the Appropriation Act and that the amount of
expenditure does not exceed what has been sanctioned. Details of Audit are given in
.-'Unit 38.
Let us now examine the budgetary process in terms of the preparation of the budget and
the enactment of the budget.
35.4 PREPARATION OF TWE BUDGET

Let us take the case of India and the preparation of the Union Budget. It may be noted
that we have at the Union level, the General Budget and the Railway Budget and each
state 'has its own budget
The Financial Year in India is from 1st April to 31st March. The work in connection
with the preparation of the budget estimate commences around July or August about
7-8 months before the start of the financial year. The initiative is taken by the Finance
Ministry which supplies 'skeleton forms' to the administrative ministries for preparing
their estimates. Each form contains columns far (1) actuals for the previous year,
(2) sanctioned estimatesfor the current year, (3) revised estimates for the current year,
(4) budget estimatesfor the coming year, (5) actuals of the current year available at the
time of preparation of the estimates and (6)actualsfor the corresponding period of the
previous year.
The budget estimates have three parts-standing charges, continuing schemes and
new schemes. The last mentioned are the most important and have to be carefully
examined by the Financial Advisers attached to the various administrative
departments. After revision and review, these estimates are sent by the administrative
ministries some time in November to the Finance Ministry. The Finance Ministry
examines all these budget estimates from the point of view of overall needs of the
,
Government and total availability of funds. Proposals for new schemes are v e v
thoroughly scrutinised for the rule is that no proposal for new or increased expenditure, ,
for any department, can be incorporated in the budget without the concurrence of the I
Ministry of Finance. The estimates of expenditure are finalised by the Finance.Ministry 1 .
after taking into account factors like the Five Year Plan, the policy decisions of the
cabinet and the prevailing conditions in the country. The Finance Ministry is endowed
with this control because it is not a spending ministry Iike the others. On the contrary, :
it is the guardian on the tax-payers' interests. Above all, since it,has to raise the money
required for the proposed expenditure, it must have a say in determining the level of
that expenditure.
After the estimates of expenditure are completed, estimates of revenue are prepared.
This too is the work of the Finance Ministry. The Departments of Income Tax, Central
Excise and Customs,~whichare the principal revenue collecting agencies, make a
forecast of expected revenue for the coming financial year. The Finance Ministry must
be singled out for playing a special role in financial administration. It handles the
financial business of the government and is the custodian of the nation's purse. T h e ,
Finance Ministry examines these estimates and accordingly prepares the tax proposals.
However, decisions in policy matters in all respects, are taken by the cabinet.
When estimates of Income and Expenditure are finalised by the Finance Ministry, they
constitute the 'Annual Financial Statement'. This the President causes t o be laid before
both the Housesof Parliament as per Article 112 of the-Constitution,.
..... -I
- -.**

,Note: i) Use the space below for your answers.
ii) Check your answers with fhose given at the end of the unit.
What agencies are involved in the budgetary process?
2 Explain the role of the ~i'nanceMinistry in preparing the estimates of expenditure.
35.5
'
'
' ENACTMENT OF THE BUDGET
A very crucial stage in the budgetary process is its passage through Parliament which is
marked by five stages.
Before we examine these five stages, it is important to bear in mind thc powers of the
Indian Parliament in budgetary matters, covered in Articles 112 to 117 oi' the
Constitution. Briefly stated, they are the following.
shall be made except on the recomkcndation of the President
1 No demand for a
2 Any proposal dealing with expenditure must bc 011 the recommendation of the
President.
3 Parliament can reduce or abolisli a tax, but not increase it.
4 Certain itemsof expenditure are chargedon the Consolidated Fund of Ihdia, like the
salaries and allowa~icesof the President, Judges of the Supreme Court, Speaker,
Deputy Speaker, Comptroller & Auditor-General of India and others. The 'charged'
expenditure is subject to discussion though not submitted to the vote of Parliament.
5 Parliament cannot amend the Appropriation Bill in such a way as tovary the amount,
be it charged expenditure or otherwise, or alter the destination of any grant.
6 In financial matters, thc powers of the Rajya Sabha arc restricted. It must accept the
Finance Bill with or without any recommendations within 14 days. The Lok Sabha
may accept or reject any or all of these recomn~endations.In any case, the Finance
Bill does dot go again to the Upper House but directly to the President for his'assent.
Let us now take each of the five stages in turn.
1 Presentation to the Legislature : The Finance Minister presents the budget to the
Lower House on the last wo;king day oEFebruary. Hc does so with the budgct speech
which is eagerly awaited by business circles as it gives first indications of t?x proposdls
and the economic and financial policy of the ~ o v e r n m e n tThe
. budget is also placed
before the Upper House which can only discuss it.
2 Generaldiscrrssion : It takesqlace a few days after the presentation of the budget, It
is spread over two to three days. The discussion in each House is confined to general
principles or policy'underlying the budget, No details are discussed; there is no
voting, nor are cut motions allowed. The gencral cliscussion is a hangover of British
times when the Indian legislature could do no more than discuss the budget.
However, it serves the purpose of enabling a discussion on the programme of
government and particularly on the 'charged' expenditure. At the end of the debate
the Finance Minister repIies, reacting so the points of criticism and the main charges
of the members.
3 Votingof demands for grants : ~ f t ethe

r general discussion, the Lower House takes
up voting of demands. Thjsvotingof the expenditure is part of the budget and is the
exclusive privilege of the'lawer House. The demands are presented ministry-wise
and each deniand is subject to a vote. At this stage there is a lot of discussion and
government is subject to severe criticism. Members can move cut motions which are
of three kinds namely-disapproval policy cut, economy cut and token cut. The
purpose behind the cuts is to criticise the specific departments of government and
expose inaladministr&n. When put to the vote they are generally defeated because
government has a majority to srlpport it.
Concepts in Organisations III
In 26 days the Lok Sabha must complete the voting of demands. The time limit for
each demand as well as for the entire expenditure part of the budget is fixed by the
speaker in consultation with the leader of the House. The schedule is carefully
observed. On the last day, all the remaining demands are subject to vote though the
discussion may not be adequate. This is unfortunate and amounts to a highly
unsatisfactory state of affairs, because the House is not able to perform its vital role
of controlof cxpenditure. It is noteworthy that the Lower House canonly reduceor
reject the proposed items of cxpenditure. Even this is not possible because the ruling
party of the government has majority backing. In that sense, even cut motions are
only symbolic. They are only a means to expose the government. A demand becomes
a grant after it has been duly vc~tecl.
4 The Appropriatio~iBill : After the Lok Sabha has voted all the demands, these along
with the charged expenditure arc embodied in a bill called the Appropriation Bill.
This bill follows the same procedure in the House as in the case of any other bill
although no amendments can be made to it. This bill legalises expenditure and meets
the Constitutional requirement that ". .... no money shall be withdrawn from the
Consolidated Fund of India except under appropriation made by law." After the
Appropriation Bill is passed in the House, the Speaker certifies it as a money bill and
sends it to the Upper House. Here the bill is discussed and wit11 o r without
recommendations returns to the Lower House. The Lok Sabha then gives the
Appropriation Bill its final shape and then sends it to the President for his assent
which is given as a matter of course. Thus the Appropriation Bill becomes the
Appropriation Act.
5 The Finance Bill : With the passage of the Appropriation Act, the expenditure part
of the budget is complete, in that all public expenditure is authorised by Parliament.

But ways and means must be provided to meet this expenditure. This is done through
taxation. According to Article 263 of the Indian Constitution no tax is t o be levied or
collected except by authority of law, This means that parliament, the supreme law
making body must approve of the tax proposals of the Government. All the taxesdo
not have to be authorised annually. Some of them are permanent and their rates have
to be fixed by the Government under the provisions of the law governing them. 'The
rates of others have to be fixed annually by the legislature, like the Income Tax.
Government's taxation proposals are incorporated in a bill known as t h e Finance Bill.
It follows exactly the same procedure as a money bill. While no amendments in either
house can be moved to the Appropriation Bill, amendments seeking to reject or reduce
a tax can be moved to the Finance Bill. These have b e ~ nknown to be accepted by .
Parliament. However, no increase in taxes or introduction of new taxes can emanate
Crom Parliament. Once the bill is passed it hecornes the law of the.land.+Thiscompletes
the
- enactment of the budget in Parliament.

Note : i) U& the space below for your answer for question No. 2.
l
a.
1 Indicate whether the following statements are True o r False.
i) Parliament can increase, reduce or abolish a tax.
ii) Items of expenditure charged o n the Consolidated Fund of India
are non-votable.
iii) In financial matters both t h Houses
~
of the Indian Parliament
have equal powers.
iv) Voting of demand for grants is done in the Rajya Sabha.
'
v) Government's taxation proposals are embodied in the
Appropriation Bill.
vi) T h e demand for grants is introduced by the Speaker of the House.
2 Describe the enactment process of the budget.
TruelFalse
TruefFalse
True/~a~se
TruefFalse
TrueIFalse
TrueIFaIse
j
I
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........................................................................................................I
35%
KINDS OF GRANTS
The budget cmbodies thc ordinary estimates of income and expenditure for the year.
Rut under special or extraordinary circumstances, these estimates may not be
adequate. To take care of special needs there are four other kinds of grlrnts, that the
Lower House considers. They are:
i) -Vote on account : Even though the financial year starts on 1st April, the budget
takes some time to be passed. The House is required to vote on account cf the
expenditure that will be incurred in thc first few months of thc financial year. A
vote on account is an advance grant.
ii) Vote on credit : This is to meet expenditure whose amount or detilils canoot be
precisely stated in the budgct because of the nature or indefinite character of the
service, eg., war.
iii) Exceptional grant : The Lok Siibha can makc iln exceptional grant which is not a
part of the current service of any financial year. For unforeseen expenditure
advanccs can bc niacle by t h e President.0~1of thc Contingency Fund of India, but
these advances l ~ a v eto be duly authoriscd by Pal-liarnent Inter.
iv) Excess grant : This is a grant lo regularisc excess expenditurc.
v) Token grant : If expcr~ditureon a new service can be mct by re;~ppropriiltionof
funds, this is regularised by a demand for ;I token amount (say Iis. 101-) which is
,
approved by Parliament by voting.
vi) Supglelnentary grant : If original estimates arc insufficieni, aclditional tuntls arc
sought in the course of the financial year through supplenienticry grants. This is
morc in the nature at a supplenicntary budget which is frcqucntly rcsortcd to i n
India and follows the proccdurc prescribed For thc originit! budget.
1
Check Vor~rProgress 4
ii) Chcck your answers with thosc given at the end of thc unlt.
:1. Describe the following in two lines each.
i) Vote on Credit
.....................................................................................................
ii) Vote on account
iii) Suppletnentary grant
35.7 LET US SUM UP

In a modern wclkre state, the budget is more than n device for counting and recording
incotne and expenditure. It is an econornic horoicope and ;I political document.
)Budget making is guided by principles and is an elaborate and complex exercise. The
Concepts in Organbations
-m
budgetary process involves the preparation of the budget and its enactment in thc
legislature through five stages.
r'
Consolidated Fund of India : In India, the Centre and States have each, its consolidated
fund to whi,ch all receipts are credited and all authorised payments are debited,.
Finance Bill : The Finance Bill is the bill which consists of the Government's Financial
(Taxation) proposals for the ensuing financial year which has to be passed by the
Parliament every year.
Inflation : A progressive increase in the general level of pnces brought about by an
expansion in demand or the money supply or increase in costs.
Laissez-faire : It literally means 'let it be'. It is a system where the government does not
intervene and gives complete freedom to private enterprise.
Zero-based budgeting : It is the latest method of evaluating the budget. It is a critical
analytsis which questions the very basis and justification of every scheme &
project-both ongoing and new. Each activity is closely reviewed from base zero and it
is scrutinised to judge whether its continuation is justified.
35.9 SOME USEFUL BOORS
Bunkhead, Jesse, 1966. Government Budgeting(Second Edition); Wiley : New York.

Premchand, A, 1963. Control ofExpenditure in India; Allied Publishers : New Delhi.
Thavaraj, M.J.K., 1964. Essentials of Financial Administration; Indian Journal of
Public Administration :April-June, 1964.
Thavaraj, M.S.K.,1978. Financial Administration of India; Sultan Chand 6r Sons :
New Delhi.
Wattal, P. K., 1963. Parliamentary Financial Control in India; Minerva Book Shop :
Bombay.

EXERCISES
Check Your Progress
1 See Sec. 35.2
2 See Sec. 35.3
1 See Sec. 35.4
2 See.Sec. 35.5
1 i) True
ii) True
iii) False
iv) False
v) True
vi) False
2 See Sec 35.5

1 i) SeeSec35.6
ii) See Sec 35.6
iii) See Sec 35.6
UNIT 36
ACCOUNTABILITY
Structure
36.0
36.1
36.2
36.3
36.4
Objectives
Introduction
Concept of Accountability
Kinds of Accountability
Financial Accountability
36.4.1 Fillancia1 Control within the Executive
36.4.2 Aud~t
36.4.3 Financial Committees of Parliament
36.5 Accountability through the Courts

36.6 Accountability and Ethics in Administration
36.7 Let Us Sum Up
36.8 Key Words
36.10Answers to Check Your Progress Exercises
36.0 OBJECTIVES
In this unit we will discuss about the concept of accountability. Its aim is to study the
concept and examine its various components. After reading this unit you should be able
to:
e explain the meaning and,kinds of accountability
e discuss the meaning of the terms financial accountability, judicial control, public
accountability and ethics in administration.
36.1 INTRODUCTION
I
I
Public accountability distinguishes Public Administration in a democracy from that in

an autocratic set up. An autocrat is accountable to none; public administrative
authorities are,.on the other hand, accountable to the people. Accountability is a very
wide and comprehensive term which came into usage in the English language from as
early as 1583. It was mainly used to imply financial accountability. Though financial
accountability is important and we will discuss about it later in this unit, we must not
ignore other equally important components of accountability.
*
36.2 . CONCEPT OF ACCOUNTABILITY
,
!
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1I
1
The Oxford English dictionary defines 'accountable' as 'liable to be called to account,

responsible (to, for),'. The Webster's dictionary gives more or less the same meaning
when it explains accountability as liability to be called on to render an account. Though
accountability and control are used as synonyms, actually 'control' goes along side or
simultaneously with an action or event whereas accountability comes in only after an
act is accomplished. Only when one does a job or an act is one called upon to render an
account of it.
I
Accountability in the positive sense means achieving results. Public yrvants have
tremendous responsibilities t o discharge. To enable them to do so, they have stability
of tenure and administrative support, If they are unable to deliver the goods or achieve
results, they must be held accountable.
In other words, if adhinistrators have responsibilities, i h e i also have accountability.

Accountability and responsibility are two sides of the same coin and they go together.
In the negative sense, accountability implies holding public officials responsible for
their lapses. Lapses can be of various kinds. Public servants may not do what law or
.
@
49
Concepts in Organisations Ill
custom requires them to d o for reasons such as ignorance, indifference o r corrupt

influence; or they may be guilty of waste and damage; o r a duty may be undertaken
beyond what law and custom oblige or empower.
In practice, it is not easy to enforce accountability. This is so because of composite
decision-making, diffused responsibility and frequent transfers. Whenever serious
administrative lapses take place, enquiries are conducted to punish the guilty ones. But
it is difficult to pinpoint responsibility. So many are involved in decision-making that
the range of accountability is too wide to hold any one person responsible for the lapse.
If action is taken on the basis of oral instructions it adds tothe difficulty of fixing
accountability. This is not to suggest that accountability cannot be enforced. An
aggrieved citizen can go to a court of law. Then there are vigilance authorities or ,
...
...
Ombudsman through which citizens can get redressal of their grievances.
36.3 KINDS OF ACCOUNTABILITY

So far we have talked of accountability in general. To be more specific, o n e can speak
of political accountability as distinct from administrative accountability. In a
parjiamentary government, such as ours, the political executive is collectively and
continuously responsible to Parliament. In other words, the executive is obliged to give
an account of its performance to Parliament. Parfianrent has ways and means to ensure
this accountability. But there is also the permanent executive i.e. the bureaucracy
whose accountability is not direct but indirect. It is accountable through the political
executive to Parliament.
Let us look at ministerial responsibility a little more closely. There are certain matters
which fall within his competence for which the minister is responsible in his personal
capacity. He is accountable to Parliament for his actions-or lack of them-as well as
for all those of the civil servants under him. Parliament holds the minister responsible
for anything that goes wrong in his ministry even if he had no knowledge of it or did not
approve of it.
If a civil servant's actions are in accordance with the pcrlicy laid down by the minister or
he acts at the bidding of the minister, the minister must shield and protect him. Evenif
the civil servant makes a small mistake or errors on not too important a matter, the
minister must take the rap in Parliament. But in serious matters where the civil servant
acts on his own and his conduct is reprehensible the minister cannot be expected to
endorse the action of his officer. Yet, he still remains accountable to parliament for the
conduct of such an erring official.
cut this concept of ministerial responsibility cannot be stretched too far. 1f applied in a
rigorous manner, the minister would insist that every issue must compulsorily be
referred to him. Civil servants would be over cautious and guarded and refer everything
to the minister. Very soon, all administration,,would come to a halt.
Ministerial accountability is more a convention and is a matter of onc'srconscience, a
moral principle, A minister hardly resigns if things go wrong in his ministry, if he has
party backing and strong support of the Prime Minister. Nevertheless, the fact of
accountability cannot be,d_.r!jgdor washed away: !
Check Your Progress 1 J

1
.Note : ii) use the space below for your answers.
1 Comment on the following in five lines each:
a) Responsibility and accountability are two sides of the same coin.
b)
Accountability and control are synonyms.
............................................................................................................
2 Why is it difficult to enforce accountability?
'
36;4 FINANCIAL ACCOLTNTABILITY

'
This is a vital component of accountability. It is based on the principle that "those who
spend public money should give an account of their actions to those who bear the
burden of taxation. Financial accountability consists of control exercised by the
legislature over those who handle public money. The legislatores exercise this control
over the executive on behalf of the tax-payers.
",
The budget is an important tool of legislative financial control. In the parliamentary

system, the demand for grants gives the House an opportunity to discuss the working
of each department in great detail. It is only when members of Parliament are satisfied
with the explanations given on points raised, that grants are passed. Unfortunately, if
voting cannot be completed by the given deadline, then all the remaining demands are
votcd together in one lot by a practice called 'guillotine'. The entire procedure in
Parliament relating to enactment of the budget, particularly the passage of the
appropriation and finance acts, is a means of exercising financial control over the
execc tive.
36.4.1 Financial Control within the Executive

Once the budget is passed it has to be enforced. The legislature sees this as the
responsibility of the executive because the legislature makes the grants to the
government as a whole, (though technically to the President). The machinery of
executive control over expenditure consists of (a) Finance Ministry or its equivalent
and (b) the heads of adnlinistrative departments. The control is exercised to ensure that
the budgetary grant under any head does not cross the stipulated limit and that there is
no improper, wasteful or extravagant expenditure.
a) Finance Ministry : We have seen the role of the Finance Ministry in the earlier unit.
It is concerned with not only preparation of the budget but its execution as well. Often
estimates for proposals or schemes are made by the officers of their departments. These
departmental accounts arc periodically reconciled with the accounts kept by the
Accountant General on the basis of fortnightly accounts received from the treasuries.
But the controllirrg officer does not have up-to-date information and to that extent his
control is imperfect. With so many centres of payment dispersed all over the country
even the Comptroller & Auditor General of India has no effective control over the issue
of money from the Consolidated Fund of India.
In England, public funds are kept in the Exchequer Account at the Bank of England.
At the request of the Treasury, the Bank transfers sums from the Exchequer to the
supply accou~itof the Paymaster-General, indicating the sehices in respect of which
theissues are to be made. The heads of the various departments get funds to meet their
bills by issuing 'payable orders' on the Paymaster deneral. By maintaining suitable
registers the heads see that 'payable orders' do not exceed the budgetary grant.
"
'
In the U.S.A., there is the Department of Treasury but its functions are different from
those of the British Treasury or Indian Finance Ministry. It is not concerned with the
budgetary control but with the safe custody of the public funds. Budgetary Control is
divided between the Congress, the Office of Management and Budget and the
Comptroller General. The Congress seeks to exercise financial control through specific
appropriation and by introducing a system of internal checks over expenUiture.withi;
the executive branch. The Office of Management and Budget exercises control through
apportionments (i. e. dividing annual appropriations of an agency into four instalme,nts,
thus limiting the expenditure per quarter), revision of appropriations (which could
amount to withholding a part of the appropriations from being released), financial
reporting and enforcement of personnel ceilings. The Comptroller General can disallow
any expenditure on the score of illegality. But the control is not really complete or
'satisfactory as comparedTo the British or the Indian system.
-Gheck your Progress 2 .
Note : i) Use the space below for yom answers.
ii) Check your answers with those given at the end of the unit. 1 Define financial accountability..
2 Name the agencies of financial control within the executive in India and explain their
.
functions.
-..a,.....
,
,
I.................................................................................................
3 How is budgetary control exercised in America?
............................................................................................................. ,
.................................................................
...........
r'.............,..,.....,........,
4 How are public funds disbursed in England?
.......
36.4.2 Audit
It is not sufficient to have executive machinery to control expenditure. In the ultimate
analysis, it is the business of the Parliament to ensure financial accountability. This it
does through an independent audit by the Comptroller & Auditor-General and its
financial committees.
without accounts,jt is impossible to exercise financial contral, Accounts enable one to.
know how much was received, how it was spent and for what purpose. It is only through
systematicaccounts, supported by vouchers and receipts that one can csnvince oneself
that the transactions are in order. Also, accounts are a must for the purpose of audit.
,
Account-keeping is generally a function of the executive authorities. Auditing is done

by an independent agency. In India, both t h s functions are combined and handled by
the Comptroller & Auditor General. It means that the audit agency audits the accounts
kept by itself. This is highly objectionable. However, it was s legacy of British rule,
when the legislature had no control over finances and the executive was all-powerful.
An indispensable part of financial accountability is audit. An independent audit is
conducted by an outside agency, namely the Comptroller & Auditor-General in India.
Hence Parliament entrusts the work of examination and verification of accounts to an
Gutside agency in order to discover and report back to it any unsound financial
practices, utiauthorised, and illegal or irregular expenditures. In this way, audit fixes
the accountability of officials.
Britain was the first country to have public accounts audited in order to find out if
Parliament's sanctions were honestly and faithfully adhered to. In America,
independent audit dates from 1921. The Comptroller General as he is called, audits
government's fillancia1 transactions and has the power of disallowance.
The Comptroller & Auditor-General of India enjoys a constitutional status and is

independent of Government. H e is appointed by the President and can be removed in
the same way as a Judge of the Supreme Court i,e, He can be removed by the President
upon an address to that effect being passed by a special majority of each House of
Parliament. It means a majority of the total membership of that House and by majority
of not less than two thirds of members present and voting. Till 1976 he was concerned
with audit and accounting of all financial transactions of the Union and State
Governments. Since then, he does not compile and maintain accounts. H e audits all
expenditures from revenues on all India basis. His is a legality audit. He ascertains
whether money disbursed was "legally available for and applicable to the service or the
purpose to which they have been applied and whether the expenditure conforms to the
authority which governs it." According to Asok Chanda his functions go even further
in that the audit also has a discretionary basis. When,the Comptroller &
Auditor-General examines the expenditure, he must satisfy himself on behalf of
Parliament, as to its "wisdom, faithfullness and economy". He therefore not only
checks expenditure according to budget provisions, laws, rules and regulations, but
also against canons of financial propriety.
~ i i Comptroller
e
& Auditor-General with his elaborate headquarters and field staff
prepares an audit report for each of the Governments whose accounts are audited In
the case of the Centre, the report c r e s to the-president and in case of the state to the
Governor. These heads have the reports placed before their respective legislatures who,
in turn refer the reports to their Public Accounts Committee. Financial accountability
is complete when these reports are examined, investigations conducted and findings
reported back to the legislature concerned "in the form of a Report.
Concepts in Orgunisations In

Note-: i) Use the space below for your answers.
ii) Check yours answers with those given at the end of the unit.
1 Give reasons for the following:
a) Accounting is an executive function.
............................................................................................................
b) Auditing inust be by an independent agency.
2 What is a legality audit?
3 Who conducts audit in India?
36.4.3 Financial Committees of Parliament

In all Parliamentary democracies, Parliamentary Committees play a pivotal role in
ensuring accountability of the executive. In Presidentiai rorm of Government like the
U.S.A., Congressional Committees play this role. In what follows we will examine the
role of Parliamentary Committees in ensuring the accountability of Executive.
The Public Accounts Comnrittee : The Public A~countsCommittee (PAC) is annually
elected on the basis of proportional representation by a single transferable vote. By
convention, continuity is achieved by allowing a two year tenure of membership. It has
twenty-two members, fifteen from Lok Sabha and seven from Rajya Sabha. Its British
counterpart has members only from the House of Con~mons.The Chairman of the
PAC is generally from the opposition party.
The PAC satisfies itself that:

1) the money shown in the accounts as being disbursed were legally and actually
disbursed for the purposes or services stated,
2) that the expenditure conforms to the authority which g6verns it, and
3) that every reappropriation is made in accordance with provisions and under proper
rules.
The PAC also examines the alrdit report of the Comptroller & Auditor-General. In this
work, the Comptroller & Auditor-General acts as its friend, philosopher and guide.
The PAC can send far records, papers and persons. To expedite matters the PAC
works through committees and submits its findings and recommendations to
Parliament in the form of a report. By convention, the recommendations of the '
Committee are accepted by the Governmenr.
A valid criticism of the PAC is that its investigatiofi is in the nature of a postmortem
examination. Nevertheless it is desirable and useful work. The very fact that such a
scrutiny will be conducted acts as a deterrent to negligence, waste or slackness of the
executive.
,
,
There is a PAC in each of the states as well.
I
1
The Estimates Committee : The Indian Estimates Committee is modelled on that of

Britain which is now known as the Expenditure Committee. We have such an E st'lmates
Committee at the Centre a i d in the states. The Central Committee has thirty Lok
Sabha members elected by the House itself according to proportional representation by
a single transferable vote. The Chairman is nominated by the Speaker. If the Deputy
Speaker is a member of the Committee he autoT ,tically becomes Chairman. The term
of office is only one year, but members are frequently re-elected.
The functions of the Estimates Committee are as follows:
a) To report what economies, improvements in organisation, efficiency or
administrative reform, consistent with the policy underlying the estimates, may be
effected.
b) To suggest alternative policies in order to bring about efficiency and economy in
administration.
c) To examine if the money is well laid out within the limits of the policy implied in the
estimates.
d) To suggest the form in which the estimates shall be presented to Parliament.
Thus it would be seen that the functions of the Indian committees are wider than its
British counterpart in that the latter cannot suggest alternative policies, but are not as
comprehensive as those of the appropriation co~nmitteesof the U.S. Congress.
'
The main stages in the working of the Estimates Committee are collection of material
on the selected estimates for investigation, issuing of questionnaires to the concerned
ministries and departments, recording of evidence of official and non-official witnesses,
discussion in the Committee, preparation of draft reepQrt, discussion of the draft report
with the principal officials of the ministries and departn~entsconcerned,finalisatian of
the report and its submission: The report usually contains reconlmendations for
improving the organisation, for securing economy and for better presentation of the
estimates. The recommendations are generally accepted by the Government. The
Estimates Committee works through sub-committees and study groups for a better
scrutiny of estimates. 'CJnfortunately, it does not have expert assistance as the Public
Accounts Committee has of the Comptroller & Auditor General. It is a layman's
Committee first and last, that can call for papers, persons and records.
The Estimates Committee has been criticised for diverting its attention from scrutiny of
estimates to review df policies and structure of departmental organisations . It is feared
that it is becoming rnore a fault-fincling rather than n fact-finding niechanism. But one
must not forget that the usefulness of the Committee lies precisely in its new role of
suggesting alternative policies. It makes for a thorough investigation and ensures
greater accountability.
Committee on Public Undertakings (CPU) : 'This Committee was set up in 1964 on the
lines of the Select Committee on Nationaliscd Industries set up in 1955 in Britain. The
CPU consists of fifteen members, ten from thc Lok Sabhn and five from the Rajya
Sabha elected for a year on the basis of proportiona1,representationby means of the
single transferable vote. Membership is for five years and one-fifth retire by rotation
each year. The CPU examines, (a) the reports ancl accou~ltsof public undertakings,
(b) the reports of the Comptroller & Auditor-General on public undertakings, .
(c) whether in the context of the autonomy and efficiency'their affairs are conducted
according to sound business principles and prudent commercial practices. The CPU
.
cannot discuss matters of government policy as well as matters of day-to-day
administration.
The CPU is essentially a fact-finding body and helps Parliament in ensuring
accountability of public undertakings.
;
.1
Administration is subject to judicial control exercised by the courts best described as

juicial~remedies.
Accountnbility
concepts in organlsatlo~ m
The more important judicial remedies are the following:

1) Judicjal review of administrative acts and decisions i.e., the power of the Court to
'hold any law or executive order unconstitutional on the ground that it is in conflict
with the Constitution. There are great variations in the pattern of judicial review
from country to country. In Britain, Parliament is supreme and judicial review does
not extend to all administrative acts. In India and U.S.A. the doctrine of judicial
review is in vogue.
2) Statutory appeal : This is possible where the law itself provides that, in a given types
of administrative act or decision the aggrievedparty has right of appeal t o courts or
a higher administrative tribunal.
3) Suits against the government by a private party in torts or contracts. (A tort is a

wrongful action or injury for which a suit for damages lies).
4) Criminal suits by private parties against a public officer and civil suits against a
public officer for damages or on contracts made by him.
I
5) Extraordinary remedies in the form of writs of various kinds.
Mention must also be made of administrative tribunals seen in India and other
countries, There are "administrative courts" outside the ordinary court system which
constitute a system of adjudication. The agencies for administrative adjudication afe
not only tribunals but could be the minister himself or the head of the department or a
special committee or commission. Thus administrative authorities exercise
quasi-judicial power in the process of resolving disputes between a private citizen and
the state. The Administrative Tribunals are cost-effective expeditious, accessible, and
free from technicality and knowledgeable. They have their demerits too in that they
may not observe uniform procedures thereby making decisions that are arbitrary. But
these tribunals have come to stay and go a long way in making officials accountable and
responsible for their actions.
36.6 ACCOCTNTABILXTY AND ETHICS IN

ADMINISTRATION
1
1
In this unit, the emphasis has been on administrative accountability. Undoubtedly, a

civil servant is accountable to Parliament through the minister. But in his daily work, in
the secretariat, he is accountable to his immediate superior. Annual confidential
reports are an important means of holding officials accountable. From time to time,
review of work is undertaken by the secretary or minister. It is through such reviews
that field administration is held accountable to the ministry.
'
Of all the methods of holding administrators accountable, none is more effective in the
long run than self-control or self-regulation. A public official will act correctly if h e .
wants, he cannot be forced. This is so important considering the fact that despite rules
and regulations which civil servants must adhere to, there is still a wide area of
administrative discretion. It is here that ethical standards come in. There must be that
"inward sense of personal obligation" that assumes that officials have ethical values
and professional standards to guide them. People expect publid servants to have higher
ethical values than businessmen because public service is a public trust and there is the
sanctity of public office. Public officials can render a good account of themselves if they
do not lose sight of the ethical dimension. But standards of ethics are not likely to be
higher than those of the community to which civil servants belong. Moreover, Public
Administration functions in a political context and self-regulation is limited by that fact.
An interesting device in Scandinavian countries is that of the Ombudsman. This official
occupies a position of high prestige in government 2nd his job is to handle complaints
of citizens against public officials. The Ombudsman idea has caught on in Britain,
.+-.
Europe, Communist countries and even India.
56
TheIndian counterpart of the Ombudsman is theLokpal who is t o look into complaints

against administrative acts of ministries and secretaries at the Centre and in the states.
The Lokayuktas are t o be appointed in each state and one at the Centre to ldok into
,
*
complaints of maladrni.nistration in other governmental agencies. The draft Lokpal bill

is yet to become a law.
Check Your Progress

_... 4
- .
~ 6 t :e i) Use the space below for your answers.
ii) Check yours answers with those given at the end of the unit.
1 a) The ............................... examines the Audit Report of the Comptroller &
Auditor General.
b) The ...............................is modelled on the British Expenditure Committee.
c) The ..............................is essentially a fact-finding body regarding public
undertakings.
d) The .......,......................conducts a postmortem examination.
e) Judicial review is in vogue in ............................. and .............................
f) The ............................is exclusively a Committee of the Lower House.
1 g) The Ombudsman idea in India is seen in the offices of the .............................
/
and ...............................
h) Administrative tribunals undertake .. ..;. ... .,....................
2 Why is ethics important in administrative accountability?
36.7 LETtUSSUM UP
Accountability is at the heart of every government and is the hallmark of democracy. It
implies holding officials responsible for their lapses or positively speaking, for
achieving results. One can talk of kinds of accountability such as political or
administrative. Financial accountability is a vital component of accountability. The
legislature expects financial cor~trolto be exercised'within the executive through the
Finance Ministry and the heads of departments. Parliament as the watch-dog of the
people takes care of financial accountability through an independent audit and its
financial committees. Accountability is ensured through the judiciary as well. In the
ultimate analysis, accountability demands that Public Administration is not only
efficient, but above all ethical.
36.8 KEY WORDS

Appropriation : An autl~orisedsum which may be expended within a fiscal period for
specific purposes by a unit of govt., in a manner determined by legislature.
Convention : Established by accepted usage o r general agreemeqt
Endorse : Confirm
Erring : Incorrect.
Guillotine : Method of preventing delay in Parliament by fixing time for voting on parts
b
of bill.
Ombudsman : An officer of Parliament or any designated authority independent of the
executive who investigates complaints of citizens regarding unfair treatment to them by
govt. departments and suggests remedies to justified complaints.
.
Rap : Criticism
Reprehensible: Blameworthy
Accountabillly
,
. I .
Concepts in Organisntions III
!.
Cross J.A., 1970. British Public Administration; University Tutorial Press Ltd. :
London.
Dimock, M.E., and Dimock, G. O.,1975. Public Administration, 3rd Edition; Oxford
and IBH Publishing House: New Delhi.
The Indian Journal of Public Administration: Special Number on Administrative
Accountability. July-September, 1983. Vol. XXIX No. 3

EXERCISES
1 a) See Sec. 36.2
b) See Sec. 36.2
2 See Sec. 36.2
1 See Sec. 36.4
1
2
3
4
See Sub-Sec. 36.4.2

See Sub-Sec. 36.4.2
See Sub-Sec. 36.4.2
See Sub-Sec. 36.4.2

1 a) Public Accounts Committee
b), Estimates Committee
c) Committee on Public Undertakings
d) Public Accounts Committee
e) India and America
f) Estimates Committee
g) Lok Pal and Lok Ayukta
h) Quasi Judicial function
2 See Sec. 36.6
UNIT 37 CITIZEN AND ADMLNISTRATION

Structure
37.0
37.1
37.2
37.3
37.4
37.5
37.6
Objectives
Introduction
Relationship Between Citizen and Administration
Citizen-Administration Alienation
ChannelslInstitutional Device for Redressal of Citizen's Grievances
Redressal through ParliamentILegislature
Judicial Remedies
37.6.1 Public Interest Litigation
37.6.2 Administrative Tribunals
37.7 Problems of Corruption in Administration

37.7.1 Central Vigilance Commission
37.8 Ombudsman
37.8.1 Lok Pal
37.8.2 Lok Ayukta
37.9
37.10
37.11
37.12
37.13
37.14
Redressal Machinery in MinistricsDepartments

Conclusion
Let Us Sum U p
Key Words
Some useful Books
37.0 OBJECTIVES
This Unit deals with the important issue of relationship between the citizens and
administration, factors responsible for their alienation, difkrent avenues/institutional
devices available to the citizens for redressal of grievances against administration.
After you have read this unit, you should be able to:
explain the relationship between citizen and administration
e discuss the factors responsible for alienation of citizens from administration
describe the existing channels-legislative and judicial for redressal of citizens
grievances against administration
-,
analyse the problem of corruption in administration and the role of Central
Vigilance Comn~issionin maintaining integrity in administration
@ explain the importance and functions of Indian Ombudsman Lok Pal and Lok Ayukta
discuss the redressal machinery functioning in various MinistriestDepartments.
37.1 INTRODUCTION
In a democracy, the task of Public Administration is to serve the people. Commitment

to the ideology of democratic Welfare State throws new tasks and it adds to the
expanding responsibilities of the government, This is a phenomena observed, in most
of the countries in the world today. In modern Public Administration two noticeable
issues have emerged in recent times. Firstly, there has been a large growth in the size
of governmental administration as well as vast expansion in its powers and activities,
Secondly, in the wake of spread of general education, political and social awakening,
there has been a rise in the expectations of people from administration.
,,
I
Of late, the issue of interaction and relationship between the citizens and
Administration has become a focal point of discussion among the politicians,
administrators, jurists etc. Though ideally speaking, the interaction is suphosed to be
trustworthy and fu~.nctional,
in reality, it is seen that this is always plagued by conflicts,
stresses and strains.;.Citizens grievances against administration are on an increase and
at the same time concerted efforts are being made by the government to reduce the
growing discontent among the citizens by providing various channels for redressal of
their grievances.
3%
,
'
Concepts in Organisatlons III
'
Here, we shall discuss the relationship between the citizens and administration, factors
responsible for citizens grievances against administration, existing channels/rernedies
available to the citizen for redressal of grievances, other innovative measures that are
being taken to strengthen the status of citizen vis-a-vis the growing powers of the
government and administration, with special reference to India.
37.2 RELATIONSHIP BETWEEN CITIZEN AND

ADMIINISTRATION
The modern State has to undertake not only regulatory functions in the form of
maintenance of law and order, but also has a more positive role to play. It has the major
responsibilities of providing major amenities of life education, health, wider
employment opportunities, improved means of transport etc. All this affects the
individual and collective life of a very large numbers of people concerned. There has
been a tremendous increase in the points of interaction between the administration and
e
of relationship between the administration and citizen is
citizen. ~ e n c e ' t h pattern
becoming increasingly complex in nature and larger in scope.
~ e f o r the
e advent of the democratic Welfare State, during the British period, public
opinion was not reflected at all in the administrativesystem. The pattern of relationship
between the citizens and administration was characterised only by limited interactions
with certain administrative departments. The concept of ruler and the ruled mastered
the philosophy of British administration. So long as the citizen respected the public
order by obeying the laws and paid his tgxes regularly, his contacts were only with
specific departments of the government. The administration also kept the citizen
informed only about certain major decisions which it considered desirable.
This limited relationship has undergone a change with the progressive growth of the
developmental and welfare role of the modern State. With this transformation of the
work of administration to achieve new and positive objectives, it has become now
absolutely essential that the administrator should have a spirit of service to the
community. You are aware that administration is there to cater to the needs of the
people. The main objective should be promotion of citizen satisfaction, just as the
concept of consumer satisfaction governs the production and distribution of goods, in
economics.
In practice it is seen that the administrators continue to~beauthoritative, paternalistic
and the relationship between citizens and administration seems to have changed
outwardly and not in spirit. The citizen feels frustrated, dissatisfied, unhappy in his
dealings with the administration. The expansion of bureaucracy and multiplication of
administrative processes have led to increase in opportunities for abuse of power and
discretion. The impact of administrative standards and behaviour on the citizens and
reasons for this will be discussed in the next Section.
37.3 CITIZEN-ADMINISTRATION ALIENATION

As said earlier, the citizen in day to.day life is constantly interacting with
administration. The purposes of contact with an administrative department or agency
may be for varied purposes, for example may be for getting general services like water
supply, electric connection, health services or for some general support and guidance
or for securing specificindividual assistance like loans, seeds, fertilisers etc. and so on.
The increase in the occasions for such contacts is directly proportional to the increase
in governmental controls and regulations. It can be said that much of the
administrator's image is made or narrowed down during such contacls. As has been
pointed out by Jagannadhan and Makhija, "much of the administrator's image is made
or narrowed during such contacts. An air of conceit or arrogance, a show of irritation,
misdemeanour, lack of proper response, a tactless 'no', procrastina.tions and delay, all
these may contribute to tarnish the image of administration in the e.yesof citizens"
There are certain factors which are responsible for alienation of citizens and
administration, This could be due to individual human factor, or in[ the ~r~anisatiiinal
.
.
I,
'
structure as such, or in the systems and procedures which guide the working of
administration. Discontent among the citizens which is due to the result of a wide
disparity between the performance of administration and popular expectations has
become a normal feature. This discontent often takes the form of grievances. This
means "a ground of complaint; a condition felt to be oppressive or wrongful". At times
citizens have grievances against the policies of the government as such if they affect the
interests of any organised sections of the society. But such grievances can be tackled,
by bringing pressure on the government through various means lo change or modify the
policies.
Another general feeling which persists among the people is that the policies are not
being implemented properly. Administrative procedures, are found to be
cumbersome, or the processes of administration found unjust. Yet another important
problem is the deterioration in the standards of honesty and integrity in both, politics
and administration due to corruption. Rigid observance of rules and regulations, nonacknowledgement of complaints, representations from citizens, inordinate delay in
disposal of various matters account for lack of faith of public in administration.
According to Mohit Bhattacharya, the general perceptions of the people about
administration include:
a)
b)
c)
d)
unhelpful attitude of officials especially lower level functionaries

citizens' ignorance about procedures involved in getting things done
.
inordinate delay and waiting period
favouritism in administration
e) corruption anlong officials
f) reliance of middlemen to get things done
g) rich-poor discrimination in administration : the rich having access to administration
and the general tendency of officials to avoid the poor and underplay their needs and
interests.
W.A. Robson says, "In mind of average citizen, bureaucracy still suffers from
traditional defects associated with it. These are an excessive sense of self-importance on
the part of officials ............. or an undue idea of the importance of their Office, an
indifference towards the feelings or the convenience of the individual citizens, mania
for regulations, formal procedures .... a failure to recognise relations between the
governors and the governed as an essential part of democratic process". But if citizens'
dissatisfaction with the administration is allowed to mount up, it is likely to add to the
already existing social unrest and tensions. Also the cooperation of citizens in various
developmental activities of the government is affected. Hence, keeping all these
consequences in view, concerted efforts arc being made for providing propcr
machinery at all levels of the government for the redressal of citizens' grievances.
In India the Administrative Reforms Commission in its interim report on problems of
redress of.citizens' griveances has remarked that if in the prosperity of the people lies
the strength of a government, it is in their contentment that lie the security and stability
of democracy.
37.4 CWANNELS/INSTITUTIONALDEVICES FOR

REDRESSAL OF CITIZENS' GRIEVANCES
Till now, we have discussed the changing patterns of relationship between the citizens
and administration, factors responsible for their discorltent with administration. As
said earlier, with the expansion of governmental activities, bureaucracy has become all
pervasive. At the higher levels in government also, the problems of citizen
administration have attracted the attention from time to time and Committees and
Commission have been set up to deal with them. For instance, in India, the Santhanam
Committee on Prevention of Corruption set up in 1962, was of view that the
discretionary powers exercised by different categories of govcrnrnent officials opened
up "scope for harassment, malpractices and corruption" in the exercise of those
powers. The Adminictrative Reforms Commission also took note of the complaints of
public about corruption in administration and existence of widespread inefficiency and
Concepts in Organisations Ill
the unresponsiveness of administration to publicneeds. In such conditions, what can a

citizen do, when the administrator does not deal with him fairly or legitimately. A need
is felt, forhaving proper channels for redressal of citizens' grievances and also creating
effective institutional mechanisms to keep the bureaucracy in check and make
administration responsive to the needs of the public.
In a democracy, elections are instruments of control in the hands of people. The right
to.franchise guaranteed to the citizens is a powerful weapon, that can be used by the
people to vote out of power the ruling party that does not reach its expectations. As this
can be exercised only once in five years, it ddes not help in immediate resolving of
problems faced by citizens.
In India, there are mainly three important channels or methods through which citizens
can exercise control over administration. These are legislative, judicial, administrative
devices. Apart from this, to deal with administrative corruption and to redress citizens'
grievances, certain instituti~naldevices have been evolved like the Central Vigilance
Commission, Lok Pal and Lok 4yukta etc. We shall discuss about these in the following
sections of this Unit.
37.5 REDRESSAL THROUGH PARLIAMENT/

LEGISLATURE
It is an important feature of modern parliamentary democracies that people consider
Parliament/legislature as an important forum for the purpose of redressal of citizens'
grievances. The Indian Parliament has served as a useful forum for discussion of
complaints affecting alarge group of citizens. Even at the State level, citizens resort to
intervention by the legislature in speedy redressal of complaints. The
parliamentary/legislative channels of redressal include questions, special discussions,
adjournment debates, legislative committees etd. We shall discuss in brief now, about
some of the important devices.
a) Parliament Question : In a parliamentary form of government, the question hour.is ,.
the occasion, which pravides opportunity for the people's representatives to highlight
the shortcomings of the functioning of the government. Wc see, that when Parliament
is in session, questions relating to many issues affecting the public like police excesses,
tortures are raised, through questions. During the question hour, any question can be
asked by the member in ParliamentLegislature seeking information on any matter. It
is an important device for ventilating the grievances of the community and these can
relate to national or state issues or matters of loch importance.
b) Special discussions : It is through this that administrativc lapses, cases of
maladministration, irlefficient functioningiare brought to light on the floor of
Parliament.
c) Calling Attention Motion ! This is an important device through which the attention
of a Minister is drawn to a matter of urgent public importance. This helps in eliciting
information on various issues and exposure of lapses in various governmental activities.
Apart from these, the public grievances are also ventilated in debates on the budget 11nd
policies criticised through various motions and resolutions. There is also a Committee
on government assurances, functioning since 1953, which pursues the assurances given
by the Ministers on the floor of the House and reports about their implementation to
the Parliament. Apart from this, there is also a Committee on Petitions, which
examines petitions submitted to the Lok Sabha and refers these to the rclevant
Ministries and Departments for enquiry. This helps in focusing the attention of the
government on matters of public importance $0that quick action can be taken.
The efficacy of some of the above-mentioned legislative devices lies in the fact that
be utilised only when the Parliament is in session. Also individual grievances
cannot be raised unless they involve-a quFstio'n of general policy
' these can
.

ij) Check yours answers with those given at the end of the unit;
-.
1) Why has thew been an increase in interaction between citizens and administration
in recent times?
2) With the advent of modern Welfare State, what type of change has occurred in the
pattern of relationship between citizens and administration?
3) List a few factors responsible for the growing discontent of citizens with
administration.
4) What do you understand by question hour?
5) Which one of the following devices draws the attenti011 of Minister towards a matter
of Public importance'?
a) Special discussions
b) Budget discussions
c) Calling Attention Motion

d) Meetings of Com~nittccof Petitions
37.6 JUDICIAL REMEDIES

-
There has been a phenomenal increase in the activities of the State, which has conferred
exe~utivepowers, authority and discretionary powers on the administration. This
Citlzen and Administration
Concepts in Organisations III
emphasises the need to protect the rights of the citizens against arbitrary administrative
actions. Judiciary plays an important role in protecting the rights of citizens. According
t o L.D.White "the system of formal external control over officials and their acts
falls primarily into two main divisions-thatexercised by the legislative bodies and that
imposed by Courts. The purpose of legislative supervision is principally to control the
policy and the expenditure of the executive branch, the end sought by judicial control
of administrative acts is to ensure their legality and thus t o protect citizens against
unlawful trespass on their constitutional or other rights". Most of the citizens
grievances are due to the exercise of discretionary powers by the administration.
Judiciary interferes with administration if any official acts in contravention of the scope
of his authority o r if he misinterprets law and causes injury to any citizen. Cases of abuse
of power o r irregularities of procedures, also come under its purview.
Judicial intcrver~tioncan be in the form of suing tlie government or public official
concerned against whom the citizen has any grievance. Judiciary has the power of
examining the legality and constitutionality of administrative actions with regard to
their scope and form. The courts, then pass appropriate order o r direction to enforce
the right of an aggrieved person. But only such type of cases can be referred to the courts,
where any administrative action is alleged to be malafide o r has bcen exercised in excess
of powers given to the administrative authority or inconsistent with the constitutional
provisions or law.
Certain actions of administrative authorities can be challenged for damages: where the
illegality o r unlawful act committed can be challenged as civil wrong.
Extraordinary Remedies
These are in the form of writs issued by the courts to protect the rights of citizens
violated by the government o r public officials: A writ is an order of the court enforcing
e
compliance on the part of those against whom it is issued. ~ h e s include:
a) Habeas Corpus : This is an order which is used by the Court against a person who
has detained any other person unlawfully or illegally t o produce before the Court
and submit to its order.
b) Mandamus : This is command issued by the Court asking a public official or any
inferior Court o r any authority to perform legal duties.
c) Prohibition : This is a writ givcn against any lower Court, tlot to d o any acts in excess
of their jurisdiction.
d) Quo Warranto :The Courts, through the use of this wrlr enquires into the legality
of claim of any person t o public office.
e) Certiorari : It is a writ issued by a superior to an inferior court, requiring the
certification and re{urn t o the former of some proceedings then pending o r in cases
where procedure is not according to the course of the common law.
But there are certain liniitations of judicial control. All ad~ninistrativeactions do not
come under the purview of judicial control and judiciary intervenes on requests made
by the aggrieved persons. Also the judicial process issaid t o bc slow, cumbersome and
expensive.
37.6.1 Public Interest Litigation

A useful judicial innovation in Indiaawhich has developed in recent times is public
interest litigation. This has been a progressive trend in judicial remedies against
citizens' compialnts not only in our country, but also in various other countries like the
U.S.A. and U.K. The Supreme Court in 1978, has propounded a liberal view of
standing s o as t o provide judicial redress for public injury arising out of any breach of
public duty or from violation of the Constitution. Complaints involving
maladministration, like patients not getting proper medicines in government hospitals,
inefficient administration of prisons, failure of administration in chccking
environmental pollution, irregularities in the administration of educational institutions
etc,, are being challenged under the category of public interest. The rules of the
Supreme Court which were revised, to bring in this provision, facilitates any citizen or
group of citizens to appeal t o the Court, on behalf of any group of peoplc affected by
any act of government. So even if the citizen himself has no personal conlplaint against
the administration, he can still lodge a complaint against administrative injustice which
according t o him is being done.
Justice ~hagwati'hassaid that since in India access to justice is restricted by social and
restraints, it is necessary to democratise judicial remedies, remove technical
barriers against easy accessibility to justice and promote public interest litigation, so
that the large masses of people belonging to the deprived and exploited sections of the
humanity may be able to enjoy the socio-economic rights granted to them and these
rights may become meaningful for them instead of remaining mere empty hopes. In his
view, "if public duties are to be enforced and social, collective, diffused rights and
interests are to be protected, we have to utii~sethe initiative and zeal of public minded
persons and organisations by allowing them to move the Court and act for a general or
group interest even though they may not be directly injured in their own rights."
So far as India is concerned, to fight the maladministration in the country, such a liberal
rule of standing is essential so that public spirited persons and bodies may come forward
and through the courts expose maladministration o r vindicate some cause. An example
of Public Interest Litigation is furnished in a case.which occurred in 1982 (Munna vs.
State of U.P.) where a writ petition filed in the Supreme Court by a social worker who
sought relief in respect of certain juvenile under trial prisoners. The petition was based
on serious allegations made in a newspaper report about the maltreatment of children
accused lodged in Kanpur Central Jail. The Supreme Court gave.directions in this
matter. This policy has tended to provide additional protection and securing social
justice to citizens in India especially to the poor and illiterate.
37.6.2 Administrative Tribunals

Besides the regular Courts of Law, in some countries, administrative courts and
tribunals are functioning to deal with the complaints lodged against administrative
action. For example in France, administrative Courts are there to deal with dispules
between the administration and individual citizens wherein public officials performing
any acts in thcir official captteity which has affected any citizen, are sued. Here
decisions are taken as promptly as possible; it is less expensive than ordinary courts and
is considercd an effective devicc for prompt redressal of grievances.
In India, there are Administrative Tribunals established under various Acts to deal
with specific kinds of citizens' grievances. Some of these Tribunals include Industrial
Tribunals, Income Tax Tribunals, liailway RatesTribunals etc. These Tribunals which
adjudicate upon disputes between the citizens 2nd administrative agencies are said to
be inexpensive, efficient than ordinary courts and being headed by experts are
equipped with greater technical knowlodge. Thc tribunals perform quasi-judicial
functions whereas a Court exercises only judicial funclions. They are administrative
authorities performing judicial functions. For example, matters like determination of
electiondisputes, assessment of tax, adjudication of industrial disputes etc, are dealt by
the different typcs of tribunals.
Apart from the redressal machinery which would look illto the citizens' grievances
against administration, a need was also felt for creation of machinery which will deal
with the service matters oS government en~ployees.With this objcctive in view, the
Administrative Tribunals Act 1985was passcd. This provided for setting up of Ccntral
Administrative Tribunal to provide speedy and inexpensive relief to the government
employees. Administrative Tribunal will deal with the sei-vice matters of persons of All
India Services whereas State and Joint Administrative Tribunals deal with the service
matters of persons of Slate Services.
The tribunals have been set up only in a few areas of economic admiaistration. The
ARC Study Team on Administrative Tribunals has urged that the system of
administrative tribunals should be extended to cover scveral new areas, as review of
administrative decisions by an agcncy outside the aclministrative apparatus will bring
the required relief to the citizen.
In India, very recently a new approach for dealing with disputes between citizens and
administration has been adopted in certain departments. Lok Adalats (Peoples Courts)
have been set up to deal with the ordinary complaints of citizens, against
administration. Apart from the simple and inexpensive procedures followed, this helps
in quick dispersal of complaints like pension, utilities, telephones, compensation
claims etc. In case the decision of Lok Adalat is not acceptable to either the citizen or
administration, the matter may be taken up to the regular Courts of law.
Citizen and Adminbtration
Concepts in Organhtions III
37.7 PROBLEMS OF CORRUPTION IN

ADMINISTRATION
--
The problem of corruption in administration is as old as administration itself. The vast

expansion of governmental tasks has resulted in multiplication of volume of work,
where administrative power and discretion are vested at different levels of hierarchy.
Proper exercise and supervision of such powers would not lead to the infringement of
civil rights or liberties of citizens. But since no administration is perfect, there is always
arbitrary exercise of such powers. The Law Commission pointed out in its fourteenth
report that there is a vast field of administrative action in India where authorities may
act outside the strict scope of law and propriety without the injured citizen beingdn a
position to obtain effective redress.
Keeping in view the increasing malpractices and corruption in administration in 1962,

the Central Government appointed a Committee on Prevention of Corruption under
the Chairmanship of K.Santhanam to review the existing arrangement for checking
corruption in the public services and to suggest remedial measures. This Committee
created in the Government greater awareness of the extent of prevalence of corruption
in administration at all levels. It was of view that it would not be possible to completely
eliminate discretion in the exercise of powers of administration but there is a necessity
to devise adequate methods of control over exercise of discretion. This Committee in
its report gave special attention to create a machinery in government which would
provide quick and satisfactory redressal of public grievances.
37.7.1 Central Vigilance Commission

A special machinery, on the basis of the Committee's recommendations, was created
in the form of Central Vigilance Commission to deal with grievances of citizens
involving corruption and lack of integrity on the part of government servants. The
Commission is headed by Central Vigilance commissioner who is assisted by
secretarial and technical staff.
The jurisdiction and powers of the Central Vigilance Commission extends to matters
relating to executive powers of the Central Government. It undertakes an inquiry or
investigation in matters of corruption, misconduct, any type of malpractices on the part
of public servants: The Commission receives complaints from individual persons and
also from other sources like press reports, audit reports, reports of parliamentary
committees etc. On receiving the complaints, the Commission may entrust the matter
for enquiry to the concerned administrative MinistrylDepartment or may ask the
Central Bureau of Investigation to investigate the matter. The role of the Commission
is advisory in nature and is responsible for advising the MinistriesIPublic Undertakings
in respect of all matters pertaining to maintenance of integrity in administration.
In order to strengthen the vigilance organisation in each MinistrylDepartment, an
officer is designated as Chief Vigilance Officer. He is responsible for coordinating and
guiding the activities of other vigilance officers in his MinistrylDepartment. All Public
Sector Undertakings and Munici'pal Corporations have vigilance set up in their
organisation.
37.8 OMBUDSMAN
,
I
A s discussed earlier, with the advent of Welfare State, administration has come to play
a decisive role in influencing and shaping the socio-economic order in the society of
today. I t cannot be denied that vesting of vast powers in the administration has given
way to abuse and misuse of powers, maladministration and corruption. You have read
earlier about legislative and judicial channels through which an aggrieved citizen can
secure redressal of grievances. But there are certain limitations of these methods, like
for example, the tedious and lengthy procedure, involved in Court methods. Similarry,
thebparliament also cannot directly control the administration, except that the members
pressurise the ministers with their demands or complaints.which are directed,to the
concerned department. Hence a need was felt jn many countries for the creation of an
independent institution which would supplement the efforts of the already existing
machinery in meeting the demands of the citizens and ensure them an impartial and
clean administration.
--
The institution of Ombudsman was created in Sweden in as early as 1809, for the redressal
of citizens grievances, followed by Finland, Denmark, Norway, New Zealand, England
and India. Ombudsman, a Swedish word, stands for an officer who is appointed by the
legislature to deal with complaints against administration and judicial actions. The
ombudsman generally takes up cases not only on the complaints made by those affected
by administrative decisions, but also can investigate on his own. As an impartial
investigator, the ombudsman makes investigations, collects the facts objectively and
, reports back to the legislature. 111Britaitl also, in 1967, the Office of Parliamentary
Commissioner was created. The maill task of the Commissioner is to investigate the
complaints of citizens against maladministration by government departments in the
exercise of their administrative functions. The Parliamentary Commissioner has a
status similar to that of the Comptroller and Auditor General of India. An important
feature of the officeis extension of jurisdiction of the Conin~issioncrto investigate casls of
maladministrat'ion on thc part of local authorities, Hospital Boards, natiorialised
industries and armed forces etc. The reasons for taking recourse to ombudsman in
many countries, in recent tirnes, is the growing dissatisfaction of the people regarding
lack of sensitivity, efficiency, fairplay on the part of public officials and due to
ombudsman's simple, and speedy method of handling appeals against administrative
actions.
In India, the Administrative Rcforms Commission which was appointed in 1966 to

make recornmendations regarding tlie reorganisation o l the administrative system in
the country, also dealt with the problem of citizens' grievances. It took note of the
oft-expressed public outcry against the prevalence of corruption, the existence of
widespread inefficiency and the unresponsiveness of administration to popular needs.
Keeping in view that the normal means of ventilation of grievances i.e. the courts,
legislatures, administrative tribunals etc. are not able to satisfy the citizens, the
Comnlission recornmended the setting up of ombudstnan type of machinery. It finally
recommended that complaints against ministers and Secretaries to government may be
dealt with by an authority called as 'Lok Pal' and 'Lok Ayukta' at the Centre and States
respectively to deal with complaints against the administrative acts of other authorities.
37.8.1 Lok Pal

In India, efforts were made for creating an ombudsman type of institution at the
Centrc called Lok Pal. The bill was introduced for its creation in 1968 and 1977, but
both the times because the Parliament was dissolved, the schcme did not materialise.
But again in 3 985, the government put forth its intention to bring forward
legislation providing for the appointrncnt of Lok Pal to handle corruption cases against
Union Ministers. Like tlic previous bills, this also aimed to proyide the citizens with a
convenient and effcctive forum for speedy determination of complaints. Thc bill was
referred to a Joint Select Committee of Parliament for a more exhaustive study, the
report of which is awaited.
According to the provisions of tlie bill, complaints to the Lok Pal can be made by any
citizen other than a public servant and this could relate to any action done by Union
Ministers or Ministers of any State Government. The matter of complaint should not
be more than five years 01d:After the co~npletionof investigation the Lok Pal will
submit the report to the Prime Minister, if the matter relates to the Union Ministers and
in case of complaints against Ministers of any State, is to be submitted to the Chief
Minister.
The Lok Pal may refuse to proceed with an investigation if he finds that there are no
sufficient grounds for an investigation or the complaint is trivial or malafide or there is
an alternative remedy open to the complainl.
37.8.2 Luk Ayukta

While the institution of Lok Pal has to deal with complaints of citizens agaicstf"
Ministers, Lok Ayukta could be the repository of public faith and confidence against
corruption and maladministration in public offices in the country. It is a forum available
to the public to effectively ventilate their grievances, allegations against administrative
officialsand ensurcs independent and impartial justice against administrative excesses.
Lok Ayukta is appointed in the State, by the Governor in consultation with the Chief
Justice of High Court for a period of five years. The State of Maharashtra was the first,
to have appointed Lok Ayukta, to look into complaints against State Ministers,
Citizen and Administration
Concepts la OganhUons UI
Secretaries and other senior officers. This was followed by other States like Rajasthan,
Andhra Pradesh, Madhya Pradesh, Karnataka, Bihar btc. There is another person
designated as Upa-Lok Ayukta who deals with complaints against other officials. Lok
Ayukta o n conducting investigation of the complaints shall forward a copy of it to
concerned public servant and the competent authority. The time frame for compliance
with regard to report in case of an allegation, has been three months from the date of
report.
The effectiveness of this institution for undoing of any administrative injustice to the
citizen depends largely upon the calibre, competence, character of persons selected as
Lok PaIlLok Ayukta. This would help not only in prompt and proper handling of public
complaints and grievances, but also at the same time protect public officials in cases of
false or baseless complaints.
37.9 REDRESSAL MACHINERY IN

MNISTRIESIDEPARTMENTS
Now, we shall discuss about the redressal machinery which is present in some of the
Ministries(I3epartments dealing directly with citizens grievances. Keeping in view the
deficiencies in the functioning of public administration and with a vicw to strengthening
effective machinery for public grievances in organisations which have large public
dealings, a separate Department of Administrative Reforms and Public Grievances
was set up in March 1985. Grievance Cells have been ,set up in offices and departments
which have large public dealings, with a senior officer designated as Grievance
OfficerlDirector of Grievances. Steps are taken in dealing with public grievances in
different Ministries/Departments through regular meetings between the Department
of Administrative Reforms & Public Grievances and respective Ministries/
Departments
A number of measures were initiated towards strengthening of relationship between
citizens and administration. These include, providing on the spot redress of grievances
as far aspossible, provision of public assistance counters, streamlining/simplification of
work procedures etc. Efforts are made at the Centre and State Government levcls
towards activating public grievance machinery and also devising innovative methods
and procedures. Telephone Advisory Councils are formed,+vhcre representatives of
public and administration interact at regular intervals, which helps in solving many
problems. Similarly, in the Emigration Division of Ministry of Labour, a new device of
public hearing system has been in operation for the past few years. T o tackle the
problem of publicgrievances, thrice a week, public hearing is conducted where people
having complaints or problems approach the officials. It was observed that most of the
cases barring a few were disposed off quickly. In about 80% of the cases follow up
action is taken within 24 hours. Similar method was in practice in ~ k l hDevelopment
i
Authority (DDA) which receives a wide variety of complaints, as it has a virtual
monopoly over land management, house construction, planning and development of
metropolis. Similarly in many nationalised banks centralised customer services are set
up at various centres, which receive and look into the complaints made by the clientele.
against any of the banks.
At the State level also, necessary steps are taken for redressal of citizens' grievances.
Special Committees and Advisory bodies have been set up cpmprising the elected
representatives of the publicto deal with publicgrievances and provide redress. In the
State of Uttar Pradesh, a Public Grievances Directorate is set up directly under the
Chief Minister's Secretariat. In Punjab, for quick redressal of grievances, recently, a
new system has been introduced where the general public can approach the All India
Radio for specific grievance against the functioning of the government.
It d a y be mentioned that the importance of voluntary organisations is realised which

can supplement the efforts of the Government in bringing out suitable administrative
reforms and redressal of grievances. Standing Committees of Voluntary Agencies
(SCOVA) have been formed in some Departments like Health and Family Welfare,
Pension and Pensioners Welfare etc.
In recent years, media has come to play an important role in influencing public opinion
and building social awareness. Newspapers have become an important, pdwerful
channel to air grievances which focuses attention on contemporary issues which are
followedup by the concerned administrative department. Many facets of law and order
~ituation,any arbitrary adpinistrative action, demands for better facilities etc. are
brought to the notice of the concerned authorities through newspaper reports. Apart
from Press, the T.V. and the radio also provide important avenues for getting to know
the reactions of citizens through the functioning of administration and also in the
redressal ~f grievances.
,
$heck Your Progress 2

ii) Check your answers with those given at the end of this unit.
1 Habeas Corpus is a writ issued by the Court
a) asking a public official or any authority to perform legal duties
b) enquiring into the legality of claim of any person to public office
c) asking a person who has detained any other person unlawfully or illegally to
produce before the Court
d) against any I?wer Court not to do any acts in excess of their jurisdiction
2 In Public Interest Litigation
a) only an aggrieved person can approach the Court for redress
b) Public officials can approach the Court for wrong allegations imposed against
them
c) only certain social welfare organisations can approach the Court for seeking
justice on behalf of aggrieved citizens
d) citizen as well as any public spirited organisation can lodge complaints in Court
against administrative injustice being done to other people or a group or a
community
f
4
'
3 Whar are the functions of Central Vigilance Commission?
............................................................................................................
4 The institution of Ombudsman was created first in

a) Denmark
b) Britain
c) New Ze'aland
d) Sweden
5 What do you understand by the institution of Lok Pal?
............................................................................................................
37.10 CONCLUSION
With growing consciousness of citizens about their rights and privileges, we are
witnessing an increase in people's demands on administration. Although many efforts
are being made by the government to meet the demands, yet the wide gap which exists
between the expectations and performance gives rise to grievances. It is absolutely
necessary, that the concern for their redressal in any organisation should percolate
Citizen and Administrstion
Concepts in Oganlsations JD
down to the lowest administrative units as the interface between administration and
people is more a t that level. Apart from strengthening the redressal machinery at all
levels it is essential that participative administration be encouraged which to certain
extent would lessen the frictions between citizens and administration. Also there is a
need to educate the citizens regarding their social responsibilities and also reorient the
attitude of the officials. A mere change in rules, regulations, procedures etc. is not an
end in itself. There is a need to change the administrators' attitudes in their dealings
with the people. Unless suitable attitudinal changes are brought about on a priority
basis, all other measures to deal with the problem of citizens' grievances will meet with
little success.
37.111 LET US SLTM UP
We have discussed the important issue of interaction between citizens and

administrati~n,which has increased in recent times due to the acceptance of Welfare
State ideology by the governments of many countries. The relationship which was
characferised by limited interactions in our country during the British period has
undergone achange with the expansion of governmental activities. In his day to day life
the citizen constantty interacts with administration for many services. But there are
several instances of citizens getting frustrated, dissatisfied with their dealings with
administration- There are many factors responsible for this like delay in transactions,
unhelpful, unresponsive attitude of administration towards citizens, corruption etc. A
need is felt to have proper channels and other devices through which the citizcn can
havqredressal of his grievances against administration. Parliament provides an
important channel through devices like Question Hour, Calling Attention Motion,
Special Discussions, etc. through which the problems of citizens can be brought to light.
Judiciary also plays an important role in democracy in protecting the rights of citizens
through judicial review, issuing various types of writs ctc. Public Interest
Litigation in securing social justice to the aggrieved citizens against malndrninistratiori
is a progressive trend among the judicial remediesavailable to the citizens.
We have examined the need for institutional arrangements to deal with corruptio~land
administrative injustice. The constitution of Central Vigilance Comrnissivn and
Vigilance Cells in various MinistrieslDepartments is another slcp in this direction. The
institution of Ombudsrnanin India in the form of Lok Pal and Lok Ayukta ensurcs a
certain degree of administrative efficiency in dealing with citizens' grievances fairly and
promptly. Further, administrative arrangements have been made in various Ministries
for prompt redressal of public grievances through grievance cclls, custumek scwicc
centres, public hearing system etc, which could help in sustaining public faith in
administration.
37.112 KEY WORDS

Alienation : Estrangement, keeping aloof
Ombudsman : An Officer of Parliament or any designed authority independent of the
executive who investigates complaints of citizens regarding unfair treatment to them,
meted out by government departments and suggests suitable remedy if the complaint is
justified.
Quasi-judicial functions : A n administrative authority performing functions of a Law
Court.
Writ : An order of the.Court enforcing action on the part of those against whom it is
issued.

Avasthi A & Maheshwari, S.R., 1984. Public Administration;Lakshmi Narain
Agarwal: Agra.
'
Barnabas, A.P., 1969. Citizens' Grievances and Administration;IIPA, New Deihi.

~hattacharya,Mohit, 1987. Public Administration-Structure, Process and
Behaviour;The World Press Ltd., Calcutta.
Chaturvedi T.N. & Sadasivan S.N. (Eds), 1984. Citizen and Administration; IIPA :
New Delhi.
Dhawan R.K., 1981. Public Grievances and the Lok Pal-A Study of Administrative
. Machinery for Redress o f Public Grievances;Allied Publishers Private Ltd.,
'
New Delhi.
Malhotra M.L., Redress o f Public Grievances; Indian Journal of Public
Administration; V0i. XXXIV, No. 4, October-December, 1988.
Narayanaswamy R, Redressal o f Public Grievances;Indian Journal of Public
Administration, Vol. XXXII, No. 2, April-June 1986.
Saxena, D. R., 1987. Ombudsman (LOK PAL) Redress o f Citizel~s'Grievancesin
India; Deep & Deep Publications: New Delhi.
Shukla K.S. & Singh, S.S., 1988. LOk Ayukta-A Socio Legal Study (Ombudsman in
India); IIPA: New Delhi.

EXERCISES

1 See Section 37.2
I 2 See Section 37.2
; 3 See Section 37.3
4 See Section 37.5
5d
I
i-

I c
2d
3 See Section 3717
4 d
5 See Section 37.8
Citizen and Adminktration
Structure
38.0 Objectives
38.1 Introduction
38.2 Meaning and Definitions
38.3 Approaches to the study of Organisational Effectiveness
38.4 Determinants of Organisational Effectiveness
38.5 Organisational Development
38.6 Assumptions in Organisational Development Effort
38.7 Types of Organisational Development Interventions
38.8 Criticism
38.9 Let Us Sum Up
38.10 Key Words
38.0 OBJECTIVES
After reading this unit, you will be able to:
r understand the concept and importance of organisational effectiveness (OE)
* discuss the approaches to the study of organisational effectiveness
e understand the relationship between OE and organisational development (OD)
@ describe the meaning and definitions of organisational development
0 discuss the assumption of organisational development
* enlist the types of organisational development interventions
9 evaluate the concept of organisational effectiveness and organisational
development.
Organisations are like living organisms. They have their infancy, adulthood, maturity,
middle age, old age and finally decay. In case of organisms, death is certain after a
period of time, whereas organisations continue to exist for a longer period. For
example, the Roman Catholic Chruch is several hundred years old. Thus it is possible
to maintainorganisations for long time in future:
38.2
MEANING AND DEFINITIONS
Organisations are social units with a purpose. Normally there should be a purpose for
the birth of an organisation. Each organisation comes into existence with a purpose
specific to its genesis. For example we have a galaxy of organisations such as
governments, guvernment agencies, corporations, business organisations, universities,
trade associations, trade unions, hospitals, schools, theatres;municipal corporations,
prisons, slaughter houses, professional societies and a host of several other bodies.
Each has its own purpose to live in the society. Organisational Effectiveness (OE)
refers to how well the purposes of an organisation are achieved. Thus, effectiveness
refers to the achievement of organisational purpose.
.TamesPrice defines organisational effectiveness as the degree of goal achievement. The
determination of an organisation's goal(s) is crucial in evaluating effectiveness, The
first step in the determination of goals is to distinguish between official and operative goals.
Official goals are those which are published in the key documents of the organisations
such as charters, laws and regulations and other official documents, mentioned in the
speeches and messages of key decision makers, and circulated in the public relations
'
Operating goals refer to those purposes which actually lead to the

achieven~e~lt
of the real purposes of an organisation. One way of describing official and
orga~aisationalgoals is that official goals pay a lip sympathy to the purposes
of an orgarnisation, whereas operative goals really lead to the achievement of
organisational purposes.
Paul Mott gives emphasis to an organisation's ability to adapt itself to the changes in the
environment. Accordingly, there are two important factors in organisational
effectiveness, viz., capacity and capability in getting resources required for the
organisation:kl purl-jose; and capacity 2nd capability to change according to the
circumstances while participating in the process of resource mobilisation to achieve the
organisational purpose.
Chester Barnard made a distinction between effectiveness as an achievement of group
puqoses and efficierrcy as the extent to which the group provides satisfaction to the
members of the group, irm the context of organi~atitrnaleffectiveness. According to
Ch;tpman, effectiveness refers t o achievement of lower level goals in an organisation.
Johnson, on the contrary, opines that effectiveness refers to achievement of higher
level goals in an organisation. Others define effectiveness as the achicvcment of goals,
optinlum
which contrifite to the overall objectives of the organisation t11ro~lgl-1
utilisation of resources. Thus, organisationaI effectiveness, as seen from the above
definitions is a function of achieving organisational goals. An eflective organisation is
the one which achieves thc goals continuously ovcr an indefinitely long time in future.
38.3 APPROACHES TO THE STUDY OF

BRGANISATIONAE EFFECTICVENESS
Organisational effectiveness as a concept and as a field of study, apears to be little
explored.
According to Evans:
"In short, only a relatively modest number of organisational studies have
focused or1 performance or effectiveness ;is a principal dependent variable. Sonie
researchers o n ~ i tlmis
t vari:thle inadvcrlently and others advertently. It is a
reflection on the state of tile art of this field that it has thus far failed to grapple with
such a funditrncntal variable as organisational cffectiveness"
Another trend is that researchers have emphasised on a few aspects of organisatiorlal
effectiveness. This has led to a situatioal where there are several competing approaches
to the study of organisational effectiveness. One more importiint feature is that there is
'hardly any agrecrner~lon what constitutes organisational effectiveness and how to
measure effectiveness of an organisation. The earliest models of organisational
effectiveness enlphasised single variables as measure of effectiveness. Prescnt day
models use more than one variable to determine organisational effectiveness.
Mulford and his associates have enlisted three approaches to the study of organisational
effectiveness, viz., (1)formal goal approach, (2)'kystem resource approach and
(3) systems :ippmach. Organisational effectiveness is seen as an accomplishment of
purposes and go:ils in the formal goal approach. Though, this is an accepted approach,
it has a number of limitations. Orgallisations have more than one goal and it is difficult
to identify and measure all the goals of an organisation. It is also difficult to measure
goal accomplishment, in view of the intangibility of some of the goals. The
administrators o r the people running the organisation usually view effectiveness in terms
of goal acconlplislament. Outsider's view organisatiormal effectiveness in terms of
contributio~lto the society. Thns resource mobilisation ar~dsocial contribution
constitute two yard sticks. Utimately, measurement of orgallisational effectiveness
depends upon the judgment of various stake holders in an organisation such as its
promoters, government, employees, input suppliers, customers; and the society in
general. Perron has iilentificd five such groups of stake holders and their expectations
from the organisation. They are given below:
1 Social goals : Society as the larger social system has certain expectations from the
organisations. For example, society expects better production and distribution of
goods and services, social responsibility, and maintenance of norms and values, etc.
from the organisaions.
Concepts in Organisations I ~ I
2 Output goals : Different consumer groups in the society expect different goods and
services as outputs from the organisation. Each group has its own interest in
particular goods and services. Hence each group presses for production of particular
goods and services, from the organisation.
3 System goals : This refer to the way in which an organisation is working, irrespective
of its relationships with various other organisations and stake holders. The emphasis
of the systems' goals are on growth, stability and productivity.
4 Product goals : Product goals refer to characteristics such as the qua lit,^, quantity,
range, variety, price, etc., of the goods and services;

5 Derived goals : Derived goals refer to the use of power and other resources of the
organisation whiIe accomplishing purposes other than its own goals. For example, an
organisation has other goals such as service to the country through rural
development, health and nutrition programmes, etc.
Though this classification will not solve the operational problems in measurirlg
organisational effectiveness, it provides a comprehensive view of organisational goals.
As on today, there is no agreement among social scientists on the criteria to be used to
measure organisational effccfiveness. The following table gives a list of criteria used by
different social scientists to measure organisational effectiveness.
Name of the Author
1
2
3
4
Warren Bennis
Basil Georgopoulous
Daniel Katz and Robert KahriJames Price
5 John Chold
6 Webb
7 Seashore
38.4
Criteria for Organisational Effectiveness

Adaptability in changing environment.
Productivity in terms of more output.
Control over environment, growth.
Adaptiveness, institutional development
through productivity.
Organisational growth.
Cohesion, efficiency.
Resource mobilisation.
DETERMINANTS OF ORGANISATLONAL
EFFECTIVENESS
What determines the organisational effectiveness is a question that may be bothering

you. Social scientists are divided in their answers to this question. According to Mott,
the determinants of organisational effectiveness are of two types, viz., (a) Organisational
Characteristics; and (b) Behavioural characteristics. He believes that certain aspects of
narmative environment such as'objectives, roles, policies and procedures influence
organisational effectiveness. A strong relationship between functiunal integration and
effectiveness is possible. It is presumed that effective individuals working as groups can
build up effective organisations. Another view point is that organisational structure
influences effectiveness. Some social scientists such as Reimann found a positive
relationship between decentralisation and organisational effectivcness. A good
integration of the organisation and the environment is found to be.a prerequisite for
organisational effectiveness. Organisational effectiveness as a multi-dimensional
concept is influenced by several variables. However, it is not possible to identify and .'
measure the extent to which organisational effectiveness is influenced by each factor,
Social scientists have found four important variables that influence the effectiveness of
an organisation. They are; (a) Organisation structure, (b) Environment,
(c) Technology, and (d) People. In other words organisational effectiveness can be
improved by strengthening these four important factors. This process is known as
organisation denebpment (OD).
I
I
I
,.,eck Your Progress 1

,
/..
~ d t &i)- Use the space below for your answers.

ii) Check your answer with those given at the end of the unit.,
1
iI
i
E
1 What is orgarlisational effectiveness?
............................................................................................................
............................................................................................................
............................................................................................................
2 Describe formal goal approach.
............................................................................................................
............................................................................................................
............................................................................................................
............................................................................................................
3 What are the criteria for measuring organisational effectiveness?
"
......"..""".................
. . . . . . . . . . . . . . . . . . . . . . . . . V . . . . . . . . . .....................................
4 What factors influence organisutional effcctivcness?
38.5
ORGANISATIONU DEVELOPMENT
Organisations, due to various reasons ana,niost particularly due to thcir failure t o adopt
to the changing environmt;.,i, becomes sick and ineffective in course of time. Hence,
they need to be rejuvenated and revitalised. The process of rejuvenating organisations
is called organisational cl~:velopment. Warren Bennis was one of the ei~rliestwriters
who have recognised thc need for organisational dcvelczprnent as a method of
improvi~igorganisational effectiveness. There arc several nlethods of organisational
cwcepe10orgllnbatims
development. That is why organisational development is a flexible approach to

organisational effectiveness. According to Bennis, organisational development is a
complex educational strategy intended to change beliefs, attitudes, values and
structures of organisations so that they can adopt to new technologies, markets and
challenges and the dizzying rate of change itself. Beckhard described ~rganisation~l
development as a planned, organisation wide process of change aimed at organisational
effectiveness. French and Bell described it as a long term effort to improve an
organisation's problem-solving capabilities and its ability to cope with changes in the
environment. It refers to a planned system of changes introduced in an organisation to
energise its personnel, resolve conflicts, improve tasks and structures and thus finally
improve its effectiveness and performance.
French and Bell have enlisted the characteristic features of organisation development
'practices as follows:
a) An emphasis on changing the behaviour of groups of individuals working in an
organisation through suitable methods.
b) An emphasis on the work teams in an organisation as units of analysis, study and
research.
c) An emphasis on collaboration and cooperation while working with teams of people.
d) An emphasison involving the total organisation and its people in the organisational
development (OD) efforts.
e) Attention to administrative systems and practices.
f) Use of research findings to share with the people of organisation in which the
organisational developn~e~lt
efforts are made.
g) Use of key persons with knowledge in organisational development to supervise the
programmes of development.
h) Organisational developmerlt is seen as a continuing process rather than to solve
problems as and when they come to the surface.
Finally, the emphasis is on human and social re!ationsl~ipsto develop positive feelings
among people working in the organisation and thus leading towards organisational
effectiveness.
38.6 ASSCTMPTIQNS IN BRGANBSAT16)NAL

DEVELOPMENT EFFORT
While making efforts to improve the effectiveness of organisations, the practitioners of
organisational development depend on the following assunlptio~lsabout people and
groups:
a) People :There are two assumptions about people as individuals, viz.. (a) people
have a drive towards personal growth; and (b) people are capable of making higher
contributions to the orgnnisation. Regarding the first ass'umption, the organisation
has to provide conducive environment for the individuals to become what they are
capable of. Coming to the second one, most people have treniendous potential to
contribute to organisationa1effectivcness. Organisations havc to raise this potential
for their long term growth and survival (in an indefinitely long time in future). Most
often people in organisations, use their potential for cross purposes, thus
contributing to inefficiency in the organisation. The people making organisational
development efforts have to keep the above aspects in mind.
b) Groups : People give a lot of importance to work groups. Thc type of things that
happen in work groups have a lot of significance to people. Most people feel that
they should be accepted and admired by others in the work groups. People can
contribute towards resolving conflicts in the work groups. Forrnal leaders of work
groups cannot be effective in all times in all circumstances. Hence they have to
dependon other members. When there is cooperation from other members,it leads
to organisational effectiveness.
76
Suppressed emotions and feelings among individuals adversely affect the

capabilities,skills and attitudes work group members. It requires careful handling
I
of people and.it has to be seen that they should not suppress their emotions, both
positive and negative for too long. It also requires open communication and trust
among people working in the organisation. Finally, most of the problems of the
organisations can be solved t h o u g h improved relationships among individuals and
groups. Though, individual is an important unit of work groups, the importance of
groups in an organisation cannot be underestimated.
c) People in organisations : A number of assumptions about people in organisations
are, given due weightage in organisational development efforts. A n administrator is
a part of a work group as a member and also as a superior. Thus he has an
opportunity to influence the attitudes and behaviour of people in organisations. In
addition, an administrator is a member of two work groups, viz., the one he is
leading and theone in which he is a peer among other administrators. For example,
a district collector is a head of administration at the district level; and at the same
time he is one of the collectors at the state level. It is believed that the administrator
tries to pass on his leadership style and culture from the higher level work group (in
which he is a peer) to the lower level work group (which he is leading). Another
assumption is that at times of conflicts, a person or a group wins. However, such
happenings are not beneficial in the intercsts of the organisation. Organisations
should create an environment where everyone feels that he is a winner.
Organisational development efforts need timc and practice. It is a long drawn
process.
38.7
TYPES OF ORGANISATHONAL DEVELOPMENT

INTERVENTIONS
As described earlier, organisational development is a flexible approach with a number

of interventions. We will discuss about some of the major interventions.
a) Diagr~ostic: This includes collection of data on the nature of the organisation and its
problems. Mcthods of data collection includes, interviews, questionnaires,
meetings, etc. This data is used in analysing the reasons for lack of effectiveness in
the organisation.
b) Team Building : Organisational Development depends on t l ~ cooperation
e
and
communication among varioi~sworking members in the organis;~tion.'This rcquircs
leadership and communication skills on the part of mernbcrs of various work
groups. Hence, team building is a major organisational dcvclopment intervention.
c) Inter-group : Different groups in an organisation have differcrit views about cach

other. If it is made possible to develop positive feelings among thc people about each
other, it leads to effectiveness. 'This requires information sharing, resolution ot'
conflicts and openness in communication.
d) Survey Feedback : This is some what relatcd to diagnostic type activities. In stlrvcy
feedback, data is collected about the state of affairs in the organisation and that
information is discussed among the work groups in the organisat ion. 'Thc discussion
is followed by appropriate action to set the organisation right.
e) Education and Training : Educational and training programmes are arranged for
people working in an organisation to improve their skills; and influence their
attitudes. This is done to develop positive attitudes Lowards other people working in
the organisation.
f ) Structural activities : This includes rcorgntlisation of the entire organisation or its
departments to improve the effectiveness. Reorganisation also include,
reorganisation of technology, tasks and functions in the organisation.
.The concept of organisational effectiveness was mainly criticised on two grounds, viz.,
(a) Organisational effectiveness is a matter of larger system such as a nation; (b) lack of
Organisational Emeclivenesr
Concepts in orgiisations 111
agreemefit on definition and measurement of organisational effectiveness among social

scientists.
According to oneview point, organisational effectiveness is a matter of effectiveness of
the large social system such as nation States. Organisation effectiveness is related to
national effectiveness. In the history of the mankind there has always been a rise and
fall of nations in terms of effectiveness. This rise and fall is influenced by the nature of
leadership, commitment and national interest of the people at the highest levels of
authority in government. That is why certain nations rise into higher levels of
effectiveness under certain leaders, circumstances and times.
Ahother view point is that there is little agreement on the definition and measurement
of organisational effectiveness, among social scientists. As Rosabeth Moss Kanter
mentions:
"some leading scholars have expressed impatience with the very concept of
organisational effectiveness, using researchers to turn their attention to more
fruitful fields."
There are too many terms which are used to denote effectiveness. These are growth,
productivity, results, performance, success, etc. Each word is again seen different]yby
different people. Above all, there is no equivalent term to "profit" in social sciences.
Profit is a term used in accountancy and it is un Jcrstood by all. Whereas there is no such
termin social sciences which can be understood by all. Profit is one term which denotes
organisational effectiveness. In the absence of a common measure, the whole concept
and discussion on organisational effectiveness becomes vague. This in brief is, another
criticism on the concept of organisationai cffectiveness.
C
Despite these criticisms, we cannot leave the organisations to the circumstances.

Moreover, these criticisms are more methodological than practical. Wc cannot wait for
the 'Golden agc' to come. Wc have to strive hard tomake our organisations effective
~ n purposeful,
d
so that our nation will be effective.
..,

Note: i) Use tlle space below for your answers.
I
1 What is organisational development?
2 Discuss different types of organisational development interventions.
3 What is the major criticism against organisational effectiveness?
38.9 LETT US SUM UP

Organisations come into existence with specific purposes justifying their birth. How
well an organisation achieves its purposes is known as organisational effectiveness.
Organisations can be maintained effectively over an indefinitely long period of time in
'future. The Roman Catholic Church is an example of a long standing organisation with
a purpose, living effectively in the environment. Organisational development efforts
are necessary to keep organisations effective continuously in the long term future.
Organisational development efforts include a wide variety of methods. Therefore,
people have a wide range of choices. In India organisational development efforts have
been used to improve the effectiveness of organisations. We have examples of
organisational development cfforts in post offices, public enterprises and government
departments. To be successful, organisational development efforts require the
cooperation of all the people working in organisations, commitment and support of top
decision makers, and time and patience of the organisational development experts and
all those concerned with organisational effectiveness. Though there is some criticism of
the concept of organisational effectiveness, we cannot leave our organisations to
circumstances. We have to strive hard for the success of organisations, which will lead
to the success of our nation.
38.10 KEY WORDS

Official goals : The broad goals which are mentioned in the key documents of an
organisation.
Operating goals : Goals which are to be implemented and operationalised to achieve
the official goals.
Organisational characteristics i These characteristics refer to the procedures of an
organisation-its forms and its structure.
Normative environment : Values which guide one, in the surroundings one grows up.
Professional societies : Association of journalists, teachers, doctors, engineers.

French, Wendell L. and Bell,. Cecil H., 1983. Organisation Development.
(2nd edition); Prentice Hall: New Delhi.
Kanter, Rosabeth Moss and Brinkerhoff, Derick, 1981. Organisational
Performance; Recent Developments in Measurement, Annual Review of
sociology, VoI. 7, pp 321-49.
Orgnnisational Effectiveness
Fi
Concepts in Organisations - 111
M a t h u r , B . C . et al ( e d . ) . 1079. Managementin Government; Publications Division,

Ministry of Information and Broadcasting, Govt. o f India.
Michalman, Hans J . , 1978, Organisational Effectiveness in a Multinational
Bureaucracy. Saxon Mouse : Hampshire, England.
Matt- Paul E . , 1972. Tt?e C1lar;lcteristics o f Effective Cbrganisntions; Harpcs 8:
Row : New York.
price, James Z,.,1968. OrganisationalEffectveness,Richard D. Irwin : kio~newood,
Illinois.
38.112 ANSWERS 11'0CHECK YOUR PROGRESS

EXERCISES
1 See Section 38.2
2 See Section 38.3
3 See Section 38.3
4 See Section 38.4

1 Sec Sec. 38.5
2 See S ~ C 38.7
.
3 See Sec. 38.8
Structure
39.0
'39.1
. 39.2
39.3
39.4
39.5
39.6
39.7
39.8
39.9
39.10
Objectives
Introduction
Theory : Significance and Characteristics
Public Administrative Theory : Significance
Administrative Theory : Evolutionary Perspective
Administrative Theory : An Evaluation
Conclusion
Let Us Sum Up
Key Words
Some Useful Books and Articles
Answel-s to Check Your Progress Exercises
39.4) OBJECTIVES
After reading this unit, which is the last unit in the course on Administrative Theory,
;you should be able to:
explain the need and significance of theory
@ identify the characteristics of a good theory
e evaluate the status of public admiriistrative theory
39. P INTRODUCTION
In this course you have studied various aspects of administrative theory, its evolution,
different theories and approaches, concept of bureaucray, concepts of organisation likc
hierarchy, span of control, etc. Before we complete this course, it is desirable to review
and evaluate what you have studied. It is in particular, important to know the role and
contribution of administrative theory to the growth of the discipline. This unit,
therefore, is devoted to'an evaluation of administrative theory.
39.2 THEORY : SIGNIFICANCE AND

CHARACTERISTICS
You have started the course with a discussion on the nature of the discipline, its
evolution, importance, and scope. You did not have the opporttmity to know what a
theory is. We will begin, therefore, with the theory and its role and significance.
Theory is an essential tool for the progress of civilisation. It is a symbolic representation
of reality. It enables people to communicate quickly and effectively.'lt is an
intellectual shorthand, which saves each generation from relearning the all that has
already been discovered and learnt.
Theory is based on logical reasoning and, therefore, consists of a set of certain
principles and generalisations which represent universal truths. These may initially
constitute testable hypotheses which, in different situations, may prove to be true or
untrue when tested. The hypotheses which fail to stand the test are discarded, and the
others are incorporated into the theory. Gradually, a body of knowledge emerges
containing a set of interrelated concepts, definitibns and propositions that provide a
systematic view of the phenomena. They specify relationships between variables with
. the objective of explaining and predicting the phenomena. Theory is a systematic
grouping of interdependent concepts and principles which give a framework to a
significant area of know1edge:'Theory pulls together existing knowledge, explains
events or relationships and in the end predicts what has not yet been observed.
Theory is a concise presentatioh'&facts and a logical set-up of assumptions from which
'empirical laws o r principles can be derived. It is a patterning of logical constructs or
'i?
c ~ n ~ e ph~
t s~~isotiisotir~m
m
interrelated symbolic concepts into which the known facts or theoretical hypothe.
may be fitted. A theory is a generalisation applicable within the stated boundaries
which specify the relationships between factors.
Developing a theory is important for more than one reason. It provides a perspective
to the reality, stimulates new visions from familiar scenes; and constitutes a base for
further theorising. All of them aid in prediction.
Theory acts as a guide to initiate action, to collect facts; to explore the knowledge and
to explain the phenomena that is being examined. It aids in the identification and
classification of the problem. Theories help us to understand the working of
organisations. They help us to understand, predict, influence o r minage the future.
Thus theory becomes a means to achieve the goals. Hence, theory building becomes an
inevitable part of the growth and development of any discipline, including Public
Administration.
ScisntiWe Method
Scientific enquiry must evolve causal theories that would hclp analyse concrete
situations and would have predictive use. Science is a systematic body of knowledge,
and themes are its major expressions; they provide the general relationship or
.
framework that allows us to understand, explain and predict phenonnenon within the
science we are focusing on. Development of a theory should be in consonance with
adoption of scientific approach to analyse and understand any particular phenomenon.
Theories which are developed through scientific method involves more than inere
obsewa ion, generalisation and experimentation. The scientific niethod is as rnuch an
attitude, characterised by curiosity, rationality, open mindedness, objectivity and
honesty among other things.
The process of scientific theory corlstructlo~~
and confirmation can be viewed as
involving the following steps.
a) The formulation of a problem or problems based on observation.
b) The construction of a theory to provide answers to the problem or problenis based
on inductions from observations.
c) The deduction of specific hypothesis from the theory.
d) The recasting of hypotheses in terms of specific measures and the operations
required to test the hypotheses.
e) The devising of factual situations to test the theorem.
f) The actual testing in which confirmation does or does not occux..
Characteristics of a Good Theory
a) A theory is good to the extent it contributes to the goals of science. This nleons that
better theories are more comprehensive in that they reduce a large number of
diverse observations t o a much lesser number of underlyhg qtatenlents: The more
the theory can explain, the more useful it is.
b) Second, good theories, include explicit statements regarding the limits of their
application.
c) Third, theory should be helpful in focusing research. It should tell us what facts arc
important and ought to be gathered.
d) Fourth, is the closely related aspect that good theory should serve to increase the
usefulness of any results that are obtained from research.
e) Fifth, good theory should be logically consistent, both internally and cxternally.
f) Sixth, to be of value theory must be subject to test; and
g) Seventh, the best: theory, all other
being equal, is the one that is most
. . things
, .
parsimonious ....................;. .........................................
. . . . .,!...........;. ..., . i f ....
, ,

Note: i) Use the space given below for your apswers.
ii) Check your answers with those given af the end.of th; unit.
I
'1 What is.a theory?
I
..........................................................
....I.............*...........
2 What are the features of a theory?
PUBLIC ADMPNISTRATI'e7E THEORYSIGNIFICANCE
~raditionally,administrative theorising has been the work of practitioners and

reformers particularly in the United States of America. The evolving discipline of
administrative theory is in many ways helpful in understanding the working of public
organisation. But, most writings on organisation theory-are based on the study of
business administration. The special features of government organisations are often
ignored or are not properly understood by organisation theorists.
Admittedly, theory-building in Public Administration is not an easy task, as there are
various kinds of public organisations, administrative structures and proccssch. Clearly,
Public Administration theorists have gone far and wide in-scarch of new ideas, concepts
and models that may have varying degrees of success in public organisations. Their
search has carried them far beyond the appi-opriate boundaries of administrative
theory. This made Alberta Ramos to observe that "Public Administration may have
lost a sense of its specific assignment and become a hodgepodge of theoretical
ramblings, lacking both force and direction". More importantly it has lost its bearings
to the ~nystificationof both practitioners and students who can no longcr relate theory
to practice o r vice-versa.
As Martin Landau comments, administrative theory is marked by a plcthora of
competing schools, a polyglot of fhguages, and as a result a confusion of logic. There
is neither a common research tradition nor the necessary consensus for a common field
of inquiry. Each of thc competing schools questions the others, adventurism is rampant
and commonly accepted standards of control d o not exist. Consecluently the whole field
is confused. Tlie core concepts need clarification. Thc theorists have not contributed
much of their own. Too little relevant Public Administration theory exist.
Governmental functions throughout the world are o n the increase thereby, increasing
the role of Public Administration in achieving societal goals. Dynamic nature of society
and complcx nature of governrnerital activities, make it difficult for the conventional
generalist administrator to function and realise the administrative goals. There is need
for a broader understanding of the administrative phenomenon in its eatirety. One of
r failure of the administrator to realise his goals is his inadequate
the reasons f ~the
undesstanding of the administrative theory. Coupled with this, the inflated serise of
achievement and overrated intellectual superiority of the generalist administrator,
have contributed to the failure of ad~ninistration.One finds a general prejudice against
theory and the theory is called 'Ivory tower Thinking' far removed from reality which
the administrator represents.
In general, the bureaucratic pretentions of emotions, is another reason for the present
day problems of administration. T h e bureaucrats believe that power is knowledge and
his experience is greater than theory. This has created several bottlenecks for the
smooth functioning of the administration. Because of these reasons, the bureaucrats
zealously guard their traditionalism. There is need, therefore, for a broader and deeper
understanding of administrative theory which would help the administrator to fashion
the administration as per societal requirements and enable him to manage the
administrative system effectively and efficiently.
Knbwledge will mould the attitudes of people in the right direction. Administrative
theory will help the administrator to conceive proper reasoning and sound arguments.
It will add to the richness of his mind. It adds t o his ability to comprehend rhe
phenomenon and provides self-confidence. Administrative theory educates the
administrators scientifically, as theory is the conceptualisation of experience.
Administrative Theory-An Evaluation
Concepts in Orgmisations IEI
Understanding of theory builds asound system of administrative engineering and not a

half-backed mechanic. It will enable him to change from a mere instrument of socia]
control to an agent of social change. In the final analysis, it can be said that if one who
closes his mind to knowledge, theory will not open his cars. The adnlinistrators have to
be responsive t o the people's needs, but if they close their minds to theory, they will
be giving a deaf ear to the problems of the people. This makes administration
unresponsive and far removed fro111 the society.
39.4
ADMINISTRATIVE THEORY-EVOLUTIONARY
PERSPECTIVE
A systematic and scientific study of public organisation can be traced to the 10th and
early part of the 20th centuries. F.W. Taylor who conducted several studies on
scientific management can be considered as a pioneer in the systenlatic study of work.
Taylor and Fayol were almost the first to formulate certain postulates, which were later
synthesised as "Principles" that form the basis and substance of classical approach to
the study of organisation. The airn of each principle is to raise the level of efficiency of
the organisation. But from the Public Administration view point, several doubts arise
as to whether the principles are valid in a political setting or not, whether administrative
problems can be treated purely in process terms or not, whether the discipline should
be wholly concerned with the solution of practical problems and guidelines to
administrators and politicialis or not, whether the principles are related to actual
behaviour in real-life situations o r not.
The field of Public Adnlinistration is being continuously expanded. The assumption of

rational efficiency was superseded by concepts of social efficiency, quality of
government, political ends and public wants. In this state of affairs the validity of
organisational principles has been questioned by modern public ndministrationists. For
instance, the issue of centralisation and decentralisation revolves round the location
and also the extent of power of decision-making in the organisational set-up. Neither
centralisationnor decentralisation can be accepted as a principle of good organisation.
They have situational relevance. Similarly, there are several points of distinction
between theline and the staff agencies, However, on closer examination, it is realisect
that the distinction is unreal. Authority in modern organisation is collsidered to be
more a matter of influence than of command.'In short, it all depends on a number of
inter-related external and internal variables. Despite such criticism, classical thcory has
its importance in the history of administrative thought.
In the study of administrative themes, Max Webcr's thcory of the aclministrative
system, provides an influential conceptual framework and a closc historical
understanding. The dominant form of public organisation in the contemporary society
is bureaucracy. Consequently bureaucratic analysis has become crucial in the study of
Public Administratian. Contemporary bureaucratic analysis focuses largely on the
functional and dysfunctional aspects of bureaucratic administration, behaviour, the
cultural environment of bureaucracy, bureaucratic power and the burcaucratisation of
the administrative culture. By concentrating largely on the formalities of public
business, the social dynamics of inner working of public bureaucracy is neglected.
Modern societies are now too complicated for either traditional o r arbitrary rulc alone.
Public officials have become major political actors in their own right.
Public bureaucracy has been the central concern of Public Administration. Due to this
reason, Comparative Public Administration has been equated largely with
Comparative public bureaucracies. The province of bureaucratic theory grows
increasingly complex as theorists became aware that they must go beyond their own
culture, values, conceptions and approaches to achieve the objectives. Studies of
Cohpara'tive Administration show that bureaucratic systems are not all alike. There is
no universal pattern although each system may contain common elements. On the
contrary, there are specific bureaucratic culti~resand a wide variety of instituriona!
forms and arrangements.
Misgivings about the organisational society, bureaucratisation and the managerial
revolution were not significantly represented ill administrative theory until the 1950s.
In the 1960s a revolt against the organisatio~~al
society resulted in the emergence of
'
dissenters, many of ~ h o m
grounded in Public Administration, objected to bureaucratic
theory because of its emphasis on technocracy ............, absence of humanism etc.
The counter-culture opposes the managerial revolution. It wishes to restore personal
responsibility,self-management, individual participation and collective
decision-making and to replace totalitarian technocracy and meritocracy with
democratic egalitarian and humanistic values. They believe that the post-industrial
society will be more service-oriented, more-people oriented, more sensitive, more
human, more responsive to lrunlan rather than technocratic values. It will de-emphasise
bureaucracy and tolerate a wide variety of organisational structures that will exhibit
greater adaptability, flexibility and creativity. In Public Administration the excitement
of the counter culture challenge was rellected in the New Public Administration
movement of the early 1970s.
The classical theorists from Taylor to Weber laid emphasis on the physiological and
mechanistic aspects of public organisations. The next histotical stream of
administrative thought is described as neo-classicalor human relations approach to the
study of administrative process. Starting with the human relationists many and varied
contributions from behavioural scientists have enriched administrative theory and
management practices. Thc structuralist-mechanistic approach to public management
was challenged by innovative behavioural science studies which focused on the human
and social elements. From the Hawthorne experiments of the 1920s onward, clinical
investigationsinto human behaviour in organisational settings opened up new vistas of
administrative behaviour studies that: led to substantial modificatiins in the concepts
and methodologies of Public Administration. The' works of Follett,'Barnard and Simon
resulted in a significant change in direction of administrative theory. Chester Barnard's
social system theory has broadened understanding of the relationship between Public
Administration and society.
Althozgh, much of Public Administration theory is culture-bound, the study of
Comparative Public and Development Administration, a field virtually unknown
before the Second WorlP War, broke through cultural barriers and stimulated much
original thinking. The ecological approach to the study of administration originated in
the wake of the emergence of the Third World.and increasing realisation of relevance .
of most of the Western organisation theories to the study of administration. F.W. Riggs
and the Comparitive Administrative Group of the American Society of Public
Administration pioneered a new administrative vocabulary to describe different
societal typologies, administrative cultures, and administrative systems. The result has
been a questioning of the traditional framework of Public Administration and Western
egocentricity.
This brief survey of administrative theories shows that traditional Public Administration
assumptions are frequently shattered by contemporay happenings. The actual
configuration of Public Administration is in a constant state of flux. It is never the same
from one moment to another simply because perceptions change incessantly and with
them the boundaries of Public Administration. The subject matter is exploding in all
directions. Communal activities subject to political directions are expanding fast in
response to contemporary needs. New types of public organisations are being created.
New techniques and processes for improving the performance of public service delivery
are being searched. The result is modern administrativb theory.
Modern administrative theory is probabilistic, multidisciplinary, descriptive and
multivariable, viewing administrator as an adaptive ecological system in its
environment. It has a number of distinguishing characteristics:
a) Modern theory views an organisation as a system consisting of five basic parts:
input, process, output, feedback and environment.
.<b) The emphasis in modern theory is on the dynamic process of interactions that occur
1:
within the structure of an organisation,
c) It is multilevel and rnultidimentional.
d) It recognises that an act may be motivated by several desires.
e) It is descriptive.
f) It assumes that an event is caused by numerous interrelated and interdependent
factors.
g) Finally it views the organisation as an adaptive system.
Administrative ~heory-A" Evaluation
concepts in Organisations IIP
This theory appears to satisfy the.requirement that it tnust be comprehensive enough

to cover all generally significant events that occur in a modern organisation.
To understand administrative theory one must understand the milieu in which it
evolved, Scientific management, classical principles, and bureaucracy are all
appropriate responses to the problems classicists faced. On the other hand, human
relationists and social-psychologists faced very different situations and problems. As a
result they changed their strategies from efficiency to adaptability. The new
r,dministrative theories are aimed at dealing with these conditions.
-.

ii) Check your answer with those given at the elid of the unit.
1 Explain the major trends in administrative theory.
............................................................................................................
2 What is significance of theory building in public adminisrration?
3 Critically evaluate the present state of administrative theory.
39.5 ADMINISTRATIVE THEORY : AN EVALUATION
The contributions to the discipline of Public Administration have come mainly fro171
the West and more so from the USA. American Public Administration is naturally
rooted in American political and civic culture which is widely acknowledged as
advanced capitalism blended with pluralism. Thc spirit of the discipline is naturally
instrumentalist and management-oriented. !.gainst this background. the contribution
of Marxist social theory of Public Administration may bc con~ibcredas an ulternativc
paradigm. Marxist concernfor macro social structures and the historical transformation
of the whole political economics needs to be related to organisational analysis and tllc
study of ~u6lic~drninistration.
A theory of Public Adrnirlistration has to be inferred from
the large body of Marxist and neo-Marxist literature on the nature of the state.
Conventional, empirically-oriented administrative theory is now being dhallenged by
what is called "radical administrative theory". A radical Public Administration
grounded in the Marxist perspective is yet to take a definite shape. But the broad
outline of this new disciplines is steadily emerging with obvious attraction far the
"Third World" scholars who are groping for a new paradigm to explain the
socio-political reality of the Third World.
The perspective of Public Administration today is influenced by two major streams:
a) the general system seeking universal validity for thcory, and
b) efforts to evolve a theoretical model with a specific reference to the Third World
experience. The Third World experience should be the basis for developing a new
perspective on the discipline of Public Administration.
,
I
The value of administrative theory cannot be underrated in the organisationa] society.

Stephen Bailey believes that "the objectives of Public Administration theory are to
draw together the insights of the humanities and the validated propositionsof the social
and behavioural sciences and to apply thesc insights and propositions to the task of
improving the processes of government and aimed at achieving politically legitimated
goals by constitutionally mandated means". Bailey would select from the whole body of
human knowledge whatever appears relcvant and useful in explaining the nature of
Public Adrninistration, verifiable through observation or experiment and capable of
predicting the behaviotar of public organisations and the people who compose then1 and
come into contact with them.
~ ~ ~ ~ ~ ~ ~ ~ ~ vE ved ~T~ a~t i oen o r y - ~ n
The discipline of Public Administration, has yet to develop a systematic body of theory
of its own. The administrative theory should seek to explain the causation and direction
of changes. This would and should become increasingly an integral part of the emerging
perspective on the discipline of Public Administration.
public Administration as a discipline, has tb go beyond the forms arid processes of
administration and look for explanations in social structure, class hegemony, and the
dominant forces shapirrg the character of the state. Several attempts at integration of
thc theory, largely remained fruitless. It is very difficult to evolve a general theory-of
Bublic Administration duc lo ~ross~cultural
nature of the discipline, Unmistakably, the
goal is not to arrive at a theory of aclministration but to formulate a series o r a set of
theories and models which can contribute to better understanding of the complex
administrative "reality" in a variety of settings-institutional, national, cultural and
temporal. Such a pragmatic approach is bound to lead to a proliferation of concepts,
operations, methods of observation and measurements, assumptions and cxplanations. .
The forcgoing clearly indicate that theory building in aclministration is very recent and
is inter-disciplinary and multi-disciplinary. In s$te of the contributions of a large
number of Public administrationists no valid theory that explains the administrative
universal phenomenon has yet emerged. This clearly indicate that the phenomenon has
not been deeply fathomed in all its ramification. The nature of the state, social
relations, political culture, etc. heavily influence the working of ail public
organisations. Any theory that cloes not take this illto consideration and ignores these
factors would analyse the phenomenon only partially. In such a case scientific validity
of such generalisations would be doubtful. It is this aspect that is hindering the growth
of theory in Public Administration. Another factor is the analysis by wastern scholars,
or westcrn oriented scholars who analyse the phenomenon without deep insights into
the milieu within which public orgitnisations have t o operate. Thirdly, profession of
Public Administration which considers itself omniscient and a panacea for all social
and political ills, harbinger of peace and prosperity, policy formulator and implementor
has systernaticaily endangered the growth with their touch-me-not attitude vis-a-vis the
academic. Even the Public Administrationists, coming as they do from different
disciplines could not integrate in themselves as to what is the administrative
phenomenon which they attempted to fathom. It is thcse factors that have hindered the
growth of the discipline.
39.7 LET US SUM UP

'
Theory which consists of a set of certain pri~lciplesand gerlcralisations is said to

ripresent universal truth. Theories help in understanding the working of organisation
and becomes a means t o achieve the goals. Hence, theory building becomes very
important for the growtli and development of any discipline, An understanding of
administrative theory helps the administrator in managing the administrative system
effectively and efficiently. A brief survey of the evolution of administrative theory
brings forth the contributions of scientific management, classical principles, and
bureaucracy to Public Administration. The subject matter of Public Administration is
expanding and new directions in the form of Comparative Public Administration,
Developn~entAdministration, New Public Administration are coming up. But, the
87
Concepts In Qrganismbions
. In
discipline of Public Administration is yet to have a theory of its own. It is difficult to

evolve a general theory of Public Administration due to its cross-cultural nature. The
goal is to formulate a set of theories and models which can help in better understanding
of the complex administrative phenomena in different settings.
39.8
KEY WORDS
Fathom : Penetrate, probe

Harbinger : A person o r thing that announces or indicates the approach of something
Hypothesis : A suggested explanation for a group of facts or phenomena, either
accepted as a basis for further verification or accepted as likely to be true
Incessantly : Continuously
Omniscient: Having unlimited or great knowledge or understanding
Panacea : Remedy for all ills or diseases
Ramification : Act or process of branching or dividing out
39.9 FURTHER READING

Arora, Kamesh K.(ed), 1979. Perspective in Administrative Theory; Associated,
Publishing House, New Delhi.
Baker, R.J.S., 1972. Administrative Theorx and Public Administration; I-Iutchinson
University Llbrary: London.
Bhattacharya, Mohit, Public Administration in India: A Discipline in Bondage; The ,
Indian Jour~ialof Public Administration, Vol. XXXII,No. 2, April-June 1986,
pp. 219-229.
Carder, Gerald E.,1982. Public Administration; Palisades Publishers: California.
Denhardt , R.B., "Toward a Critical Theory. of Public Organisa tion "; Public
Administration Review, Vol. 4 1 , 1981, pp. 628-635.
Desler Gary, 1980. Organisation Theory-Integrating Struciure and Behaviour,
Prentice Hall: New Jersey.
Edward, H. Litchfied, "Notes o n a General Theory of Administration ";
Administrative Science Quarterly, Vol. I, No. 1; January 1956, pp. 3-29.
Hicks, Herbert G. and Gullett Ray C., 1975. Organisations : Theory and Behaviour;
Mc Grew Hill Book Conipany : New York.
Miner, J .B., 1982. Theories of Organisational Structure and Process; Dryden
Press : Chicago.
Mosher, F.C., "Research in Public Administration"; Public Administration Review,
Vol. 16, 1956, pp. 177.
Prasad, Ravindra D. et al, 1989. Administrative 7'hinkers; Sterling Publishers,
New Delhi.
Rarnos, A.G., "Mispiacernent of Concepts and Administrative Theory"; ,Public
Administration Review, Val. 38, 1978, pp. 550-556.
Sayre, W. "Premiscs of Public Administration : Past and Emerging"; Public
Administration Review, Vol. 18, 1956, p. 105.
39.10 ANSWERSTQ CHECK YOUR PROGRESS

EXERCISES
Check Your Progress t
1) See Section 39.2
2) See Section 39.2
Check Your Progress

2
1) See Section 39.4
2) See Section.39.3
3j See Section 39.5
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Public Administration: Administrative Theory

1.3.1 The Domain

1.4.2 Thr Scope

Character of the Discipline

After you have read this unit, you should be able to :

define Puhlic Administration and state its characteristics

'Thr Nature of I'ublir

2) What ;Ire the important characteristics of Public Administration?

1.3 PUBLIC ADMINISTRATION DFSINED

Public Adniinistratiotr is a specialised academic field. It essentially deals with the

programmes, establtshing and revising organisation, d i ~ c t i n gand supervising employees,

"Public Administration is detailed and systematic execution of public law. Every

1.4 SCOPE AND DOMAIN OF PUBLIC ADMINISTRATION

1.4.1 The Domain

The Nature of Public

1.4.2 The Scope

Promoting (publicness': In a democratic society, Public Administration has to be

Check Your Progress 2

Note: i) Usp the space below for your answer.

CHARACTER OF THE DISCPPILINE

Golembiewski has posed this dilemma of Public Administration as a discipline'in terms of

As Golembiewski has observed, the shifting paradigms (substantive concerns) of Public

The Nature of Public

check ~ o u < ~ r o ~ r3e s s

1 ) Explain the character of Public Administration.

1.6 DISTINCTION BETWEEN PUBLIC AND' BUSINESS

Considerations of general welfire should be the common concern of both public9nd

i) The major purpose of Public Administration is to serve the publicrhence beneial

Public Administrati.on, especially at higher levels of government, is exceedingly

v2' Public Administration as organisation is thus much more complex, compared to

vii) Public Administration has overarching responsibilities in terms of nation-building, and

Check Your Progress 4

Absolute Monarch : The KinglQueenlEmperor w h holds

1.9 SOME USEFUL BOOKS

1.10 ANSWERS TO CHECK YOUR PROGRESS

Check Your Progress 4

UNIT 2 IMPORTANCE OF PUBLIC

The Practical Concern

Public Administration is of practical significance to every citizen in the contemporary

THE PRACTICAL CONCERN

The Nature of Public

discipline came to be recognised, as sustained academic inquiry and interest started

A SOCIAL SCIENCE PERSPECTIVE

Check Your progress 1

How do behavioural sciences help in the analy\i\ of Public Administra~lon'

. .3) How adrnini51ratlon I \

2:6 THE THIRDbWORLD PERSPECTIVE

Plrblic Administration's special status in the "developing countrie~"has been u ~ d e l j

LIBERAL .STUDIES FOR CITIZENSHIP

Another general utility of Public Administration as a'discipline lies in its contribution

CONTRIBUTIONS OF PUBLIC ADMINISTRATION

2.6.4 Liberal Educational

Public Administration as a discipliqe has the fourth important responsibility to create

2) In which a r m a n Public.Administration contribute to o~anisedslciallife? :

As regards the 'de;eloping* or 'thidworld' countries, 'Development Administration' as a

2.8 KEY WORDS

Laissez-faire : Policy of non-interference.