Chapter 17: Second Administrative Reforms Commission Part X
The need for mid-career training is derived from the premise that as an officer goes up in the
hierarchy the nature of his/her job changes.
The current programmes of mid career training fall into two categories: compulsory training and
With effect from 2007, a new and more comprehensive system of mid-career training has been
introduced for the IAS.
is structured to bring the entire batch of officers recruited to the IAS in a particular year
for the training programme
It is a mandatory requirement
Mid-career training programme is a mandatory requirement for further promotion at certain
stages in an officer's career.
Phase I and Phase II trainings are held at the time of induction of the officer to the Service.
Phase III and Phase IV of the mandatory training of 8 weeks each is a minimum requirement for
promotion to the JAG and Supertime scale respectively.
Phase III of the training at any time between the 7th and 9th years of service
Phase IV between the 14th and 16th year sof service
Phase V of 4 weeks is to be undertaken between the 26th and 28th years of service
one weakness that has been highlighted relates to the value attached to the Foundation Course
Some services also do not consider attending the Foundation Training to be mandatory
The induction training for IAS officers focusses predominantly on the district and sub-divisional
assignment that an IAS officer is likely to hold in the initial years of his/her career.
does not adequately take into account the need for development of domain expertise and knowledge
of various sectors of government nor is it responsive to the officer's individual interests and
An over arching weakness for all training programmes is the minimal value attached to training
by many senior officers.
there is no formal evaluation of performance of trainees even in these newly introduced programmes
These mid-term training courses of all durations continue to be rather generic and do not adequately
cater to the need for inculcating greater domain knowledge
Training efforts are largely focused on the senior civil services and very little goes into training
the middle and lower levels of government.
The contents of these trainings also leave much to be desired. The conventional training programmes
focus largely on enhancing professional skills and knowledge of civil servants.
The training programmes do not provide adequate emphasis on `administrative law'.
Every government servant should undergo a mandatory training at the induction stage and also
periodically during his/her career.
Successful completion of these trainings should be a minimum necessary condition for confirmation
in service and subsequent promotions.
A monitoring mechanism should be set up for overseeing the implementation of the National
Training Policy (1996).
The practice of having a `Common Foundation Course' for all Group `A' Services generalist,
specialized and technical, should continue
All civil servants should undergo mandatory training before each promotion
The objective of mid-career training should be to develop domain knowledge and competence
required for the changing job profile of the officer.
Public servants should be encouraged to obtain higher academic qualifications and to write papers
for reputed and authoritative journals
A strong network of training institutions at the Union and State levels needs to be built up to
cater to the training requirements of civil servants.
A national institute of good governance may be set up by upgrading one of the existing national/state
Traditionally governance structures in India are characterized by rule-based approaches.
Compliance with rules is not sufficient for achieving outcomes.
Objective must be to shift the focus away from traditional concerns such as expenditure and
activity levels towards a framework that would manage for results by developing robust indicators
to assess performance in terms of results.
Performance management as it exists in government includes conventional tools like the budgetary
exercise, annual reports published by the Ministries/Departments, performance budgets and the
recently introduced outcome budget
Special studies are also commissioned from time to time.
Performance Budgeting Government of India introduced a scheme of performance budgeting from the financial year
1975-76. The performance budget is intended to present a meaningful relationship between inputs and
outputs, and indicate the correlation between planned programmes and their performance in
financial and physical terms.
Four parts, indicating:
Broad objectives, programmes and projects, the organizations and agencies with the responsibility
to implement them, the highlights of performance
Linkages between the Five Year plans, the achievements to date, and the tasks ahead.
Financial statements showing the outlays required for the programmes
Details of the scope, plan of action, achievements, programmes, and performance during
the current year and future programmes
It has not achieved its objective.
- factors such as bureaucratic resistance, corruption among civil servants and legislative indifference
contributed to the failure of the scheme.
Zero-based Budgeting :
Introduced in the mid-1980s and the objective of the scheme
Involve civil servants at all levels in the budgetary process
Justify the resource requirements for existing activities as well as new activities
Focus justification on the evaluation of discrete programmes or activities of each
Establish objectives against which accomplishments could be identified and measured, and
Analyze the probable effects of different budgetary provisions
Provide a credible rationale for reallocating resources
It has been abandoned in spite of occasional efforts by the Ministry of Finance and the Planning
Commission to revive it. The scheme has not yielded the desired results. It has now been, more
This is a positive step in incorporating a sense of results-orientation in governance structures by
moving from outlays to outputs and outcomes.
These are early stages of implementation and only after sufficient experience has been gained,
can the success of this initiative be gauged.
Prevailing Performance Appraisal Systems for Civil Servants - Conventional closed system of ACR (Annual Confidential Report)
The significant feature of this method is the complete secrecy of the exercise, both in process
and results, unless the rules specifically mention otherwise
Adverse remarks are communicated to the officer reported upon.
Performance Appraisal with openness - This system is an improvement of the above, with the added feature of transparency and involvement
of the officer at different levels
It is not a fault finding process, but a development one.
It lacks in quantification of targets and evaluation against achievement
Confusion still prevails among civil servants regarding what is good performance and the level of
performance expected from them
Performance appraisal becomes meaningless in certain cases where the job fit is ignored while
posting an officer, and where there are frequent transfers.
The format may be good but some times the way it is filled up shows lack of due care and
Since the present system shares only an adverse grading, a civil servant remains unaware about
how he/she is rated in his/her work.
Many reporting officers pay little attention to distinguish good and average workers while grading
The system of deciding on representations against an adverse entry sometimes take so long that
reporting officers avoid giving an adverse entry.
The new Performance Appraisal System for the All India Services has tried to overcome
some of these shortcomings
by including a participative workplan through a consultative and transparent process.
It still emphasizes the performance appraisal report as the key element.
The term Report is an improvement over Ratings
Making Appraisal More Consultative and Transparent
The reporting officer, at the beginning of the year, has to set quantitative/physical targets in
consultation with each of the Government servants whose report he/she is required to write.
It has been observed that in practice no such effective consultation takes place at the
beginning of the year for fixing the targets.
The appraisal reports for civil servants (other than the AIS) are not disclosed to the officer
reported upon except for adverse remarks. This reduces its effectiveness as a tool for
Performance Appraisal Formats to be Job Specific
The Commission is of the view that the appraisal formats of civil servants need to be more
specifically linked to the tasks assigned to them and to the goals of the Department/ Organization
in which the officer is working.
a generic section that meets the requirements of a particular Service
the appraisal format prescribed for civil servants should have three sections
another section based on the goals and requirements of the department
a final section which captures the specific requirements
Performance Appraisal to be Year Round
At present, the annual performance exercise is performed in a routine manner after the end of
the financial year.
Formulating Guidelines for Assigning Numerical Rating.
Earlier system graded according to categories ranging from `average', `good' and `very good' to
The new PAR format for AIS officers replaces this with an improved rating system grades from
0 to 10 for different parameters.
Department of Personnel and Training should formulate detailed guidelines to guide the reporting
and reviewing officer for assigning numerical ratings for their subordinates.
The 360 degree feedback, also known as multi-source feedback is in vogue
involves Self, Superiors, Peers, Subordinates, Internal Customers, External Customers, Others
In the context of India where strong hierarchal structures exist and for historical and social reasons
it may not be possible to introduce this system unless concerns of integrity and transparency
Osborne and Plastrik set out their principles of entrepreneurial Government in their book Banishing
Results Oriented Government: Funding Outcomes, Not Inputs
Performance Management is the essence of managing, and the primary vehicle for getting the
desired results through employees at all levels in the organization
Development plans should contribute to organizational goals and the professional growth of the
What gets measured gets done .
The days of having a one-set-of-measures-fits-all Performance Management System
are inherently flawed and long gone.
Performance objectives and measures need to be specific to job categories and individual
Performance management is the systematic process by which the organization involves its employees,
as individuals and members of a group, in improving organizational effectiveness in the
accomplishment of organizational mission and goals.
Performance management is strategic in that it is about broader issues and long term goals and
integrated as it links various aspects of the business, people management, individuals and teams.
Government has taken a step forward towards introduction of a performance management system
by making a provision in the proposed Public Services Bill 2007
Performance Appraisal vs. Performance Management
Performance appraisal is one component of the Performance management cycle
Thus `Appraisal' is an annual affair while performance `management' is a year round activity.
Objectives and Aspects of PMS
The main objective of performance management is continuous improvements in performance with
a view to attaining organizational goals.
The Evaluation Objective
The Development Objective
Organizational Benefits of PMS
Serve as the primary vehicle for implementing organisational goals and strategies
Align and integrate the objectives and Key Performance Indicators (KPI's) of the organization
vertically and horizontally through all job categories and levels, including management.
Facilitate continuous performance improvement, organisation development and culture change.
Achieve quality, efficiency and effectiveness,
Ensure clarity regarding work expectations and performance standards
Continually enhance employee competence
Reduce Line Manager reluctance and fear to do Performance Appraisals with their staff.
facilitate performance-based remuneration and rewards, so that employees can see and experience
a clear link between their performance and the rewards they
Pre-requisites for Implementing an Effective Performance Management System
Strong commitment from top management.
High level of participation
Clear definitions of what constitutes performance in a given role.
Identification of performance parameters and definition of Key Performance Indicators (KPIs).
Processes of PMS :
Planning work & setting expectations > Monitoringperformance > Developing the capacity
to perform > Ratingperformance > Rewarding good performance
Performance Agreements :
Performance agreement is the most common accountability mechanism in most countries that
have reformed their public administration systems.
From explicit contracts to less formal negotiated agreements to more generally applicable
In New Zealand, for example, the Public Finance Act of 1989 provided for a performance agreement
to be signed between the chief executive and the concerned minister every year
Government should expand the scope of the present performance appraisal system of its employees
to a comprehensive performance management system (PMS).
In implementing PMS in government, it must be emphasized that the PMS should be designed
within the overall strategic framework appropriate to the particular ministry/department/organization.
Annual performance agreements should be signed between the departmental minister and the
Secretary of the ministry/heads of departments
Motivating Civil Servants
Human Resources and Governance
Human resource development includes a wide spectrum of activities - recruitment, training,
placement, motivation etc.
Motivation comes through incentives
it is the non-monetary incentives which are the key factors in motivating employees especially
in the context of Government.
Motivation can be defined as the process of driving individuals to attain the organizational as
well as the individual's goals.
Herzberg had propounded a two-factor theory.
The Sixth Central Pay Commission has broadly categorized the benefits a public servant
gets by virtue of his/her being in public service, into two broad categories
'transactional benefits' and `relational benefits'.
Transactional returns are those returns monetary and non- monetary - that the employee
is entitled to perennially.
Relational returns refer to those needs that are not necessarily monetary in nature. These
returns satisfy the self-esteem and self-satisfaction needs of the employees.
The Pay Commission has recommended introduction of a new performance based pecuniary
Performance Related Incentive Scheme (PRIS).
It is based on the principle of differential reward for differential performance.
Non-monetary Motivating Factors
Performance Appraisal System with the notification of the All India Services (Performance Appraisal
Report) Rules, 2007.
Since 2006 instituted national awards for those civil servants every year on the occasion of Civil
Emphasise on incentives like conferring the Padma awards more frequently to serving civil servant
- Job enrichment is a type of job redesign intended to reverse the effects of tasks that are repetitive
requiring little autonomy. Some of these effects are boredom, lack of flexibility,and employee dissatisfaction (Leach & Wall,
2004). The underlying principle is to expand the scope of the job with a greater variety of tasks, vertical
in nature, that require self-sufficiency.
Linking Career Prospects with Performance
The Commission is of the view that in matters of promotion, the performance of a candidate
should be given due weight
There are a large number of factors which lead to dissatisfaction among officers/ officials in the
Poor working conditions b. Unfair personnel policies c. Excess or absence of supervision d.
Absence of fair-play within the organization e. Indiscipline f. Lack of transparency within the
organization g. Lack of opportunity for self-expression
Disincentives for Non-performers - A Sound Evaluation System
In all democratic countries, civil servants are accountable both to the political executive and
to citizens for ensuring responsive, transparent and honest policy implementation and service
The accountability mechanisms in any country are broadly categorized as those that are located
within the State and those outside.
The final expression of accountability in a democracy is through the medium of periodic elections
An independent judiciary embodies the constitutional doctrine of separation of powers and is
another important element in the system of checks and balances
constitutional and statutory bodies such as the office of the Comptroller & Auditor General,
the Election Commission, and the Central Vigilance Commission (CVC) are examples of other
Horizontal accountability mechanisms which refer to those located within the State
`Vertical' accountability mechanisms which are those outside the State
A system of two intensive reviews one on completion of 14 years of service, and another
on completion of 20 years of service
The first review at 14 years would primarily serve the purpose of intimating to the public
servant about his/her strengths and shortcomings for his/ her future advancement
The second review at 20 years would mainly serve to assess the fitness of the officer for
his/her further continuation in government service
The services of public servants, who are found to be unfit after the second review at 20 years,
should be discontinued.
Issues relate to Article 311 discussed in the report on Ethics in Governance
The Commission believes that the rights of a civil servant under the Constitution should
be subordinate to the overall requirement of public interest and the contractual right of the
Ultimately, the public servant, an agent of the State, cannot be superior to the State and
it is his fundamental duty to serve the State with integrity, devotion, honesty, impartiality,
objectivity, transparency and accountability.
the Commission is of the view that on balance Article 311 need not continue to be a
part of the Constitution.
In the proposed Civil Services law, the minimum statutary disciplinary and dismissal
procedures required to satisfy the criteria of natural justice should be spelt out leaving
the details of the procedure to be followed to the respective government departments.
No penalty of removal and dismissal should be imposed, except by an Authority, which is
at least three levels above the post which the government servant is holding.
The two-stage consultation with the CVC in cases involving a vigilance angle should be
done away with and only the second stage advice after completion
Consultation with the UPSC should be mandatory only in cases leading to the proposed
dismissal of government servants and all other types of disciplinary cases should be exempted
from the UPSC's purview.
The spoils system has the propensity to degenerate into a system of patronage, nepotism
A permanent civil service provides continuity and develops expertise
A permanent and impartial civil service is more likely to assess the long-term social payoffs
of any policy
Ensure uniformity in public administration
Likely to evolve over time an ethical basis for its functionin
Constitutional Provisions in India
A civil servant is required to implement the orders of government without bias, with honesty and
without fear or favour.
It is precisely in this area that a degree of a difference of opinion often occurs between the political
executive and the civil servants.
Areas of Friction
The Concept of Neutrality
The Commission is of the view that the political neutrality and impartiality of the civil services
needs to be preserved.
The onus for this lies equally on the political executive and civil servants.
civil servants should not confuse `political neutrality' with `programme neutrality'.
Advisory Role of Civil Servants in Policy Making
It is the duty of the civil servant to provide the factual basis, thorough analysis of all possible
implications of any measure under consideration and free and frank advice, without fear or favour,
at the stage of policy formulation.
If a policy that is being formulated is perceived by the civil servant to be against public interest,
his/her responsibility is to convince the political executive about the adverse implications of such
Separation of staff and line functions
Statutory Role of the Civil Servants
- Civil servants are required to discharge statutory functions under various legislative enactments
which may sometimes be quasi-judicial in nature.
Discharge of Delegated Functions
there is an increasing tendency in government departments to centralize authority and also after
having first delegated authority downwards, to interfere in decision making of the subordinate
once these mechanisms are in place, there is no reason for decentralization to be held back.
Appointments/Recruitment to the Civil Services
while the UPSC enjoys an untarnished reputation for having developed a fair and transparent
recruitment system, the same cannot be said for all the State PSCs.
The Commission feels that it is essential to lay down certain principles/norms for such recruitments
to avoid complaints of favouritism, nepotism, corruption and abuse of power
These principles are
Well-defined merit-based procedure for recruitment to all government jobs
Wide publicity and open competition
Minimisation, if not elimination, of discretion in the recruitment process
Selection primarily on the basis of written examination
CIVIL SERVICES CODE
Ethics is a set of principles of right conduct.
It has been defined as a set of values and principles which helps guide behaviour, choice and
Civil servants have special obligations because they are responsible for managing resources entrusted
to them by the community, because they provide and deliver services to the community
and because they take important decisions that affect all aspects of a community's life.
India - Central Services (Conduct) Rules, 1964
These conduct rules do not constitute a code of ethics.
The Draft Public Services Bill, 2007 proposes the necessary first step towards evolving a code of
The Public Service and the Public Servants shall be guided by the following values in the
discharge of their functions:
Patriotism and upholding national pride allegiance to the Constitution and the law of the
nation objectivity, impartiality, honesty, diligence, courtesy and transparency maintain absolute
In India, civil service values have evolved over years of tradition.
There is no Code of Ethics prescribed for civil servants in India although such Codes exist
in other countries.
A comprehensive Civil Service Code can be conceptualized at three levels.
At the apex level, there should be a clear and concise statement of the values and ethical
standards that a civil servant should imbibe
At the second level, the broad principles which should govern the behaviour of a civil servant
may be outlined
This would constitute the Code of Ethics.
At the third level, there should be a specific Code of Conduct stipulating in a precise and
unambiguous manner, a list of acceptable and unacceptable behaviour and actions.
The Commission is of the view that in addition to commitment to the Constitution these values
Adherence to the highest standards of probity, integrity and conduct, Impartiality and nonpartisanship,
Objectivity, Commitment to the citizens' concerns and public good
Empathy for the vulnerable and weaker sections of society.
The Existing Legal Framework for Civil Services in India
Part XIV of the Constitution of India - Article 308 onwards - makes provisions for dealing with
the civil services.
a number of Rules have been made from time to time by the Union and State Governments
and these essentially govern and regulate the public services in India.
Parliament in exercise of its powers under Article 309 of the Constitution has enacted the All
India Services Act, 1951.
All India Services (Provident Fund) Rules, 1955, All India Services (Conduct) Rules, 1958,
All India Services (Discipline and Appeal) Rules, 1969 etc.
Need for a Civil Services Law
The Civil Service is an institution of great pragmatism
It is unwise to stir things up if you are unsure what demons you may accidentally unleash
in the process.
`If it ain't broke, don't fix it'
Many of the things which would be in a Bill already have the force of law through Orders
. Legislation would add nothing except perhaps greater legalism in the relationship between
Ministers and civil servants
A Civil Service Act would make no sense unless it was part of a larger piece of legislation
Arguing in favour
These arguments have weight but over the last decade the balance has gradually been tipping
the other way.
A Civil Service Act could play a positive role in providing a framework for clarifying the boundaries
An Act would bring the Civil Service more directly under the oversight of Parliament
A slew of measures for reforming the civil services.
Some of these measures would require a legislative backing
A Set of Values for Civil Servants
Redefining the Relationship Between Government and Civil Servants
Article 310 provides for what is known as doctrine of pleasure as per which a member of the
All India Service holds office during the pleasure of the President and a Government servant of
a State holds office during the pleasure of the Governor.
However, this doctrine of pleasure is subject to the provisions of Article 311, which lays
down the procedure for imposition of dismissal and removal.
The Commission is of the view that the status of a civil servant vis-à-vis the government
could be spelt out in a new law to be enacted under Article 309.
Safeguards based on the principles of natural justice should be provided under the new
The underlying principle for stipulating that only the appointment authority or a superior authority
shall impose certain major penalties is that the accused government servant should be
entitled to the judgement of a senior authority which is expected to take a fair and objective
view of the case.
The Commission feels that it would be more logical to stipulate that major penalties of
removal and dismissal should be imposed by an authority, in the organization where he/she
The Commission is of the view that the second safeguard a mandatory enquiry - should
be continued as this has been held to be a part of natural justice.
Reforms in the Recruitment Procedures to the Civil Services
Reforms in the Procedure of Placement as well as Security of Tenure a New Institutional
all positions in Government at the level of JS and above would constitute the `Senior management
All appointments to positions in this pool shall be made on the recommendations of the
Central Civil Services Authority,
Creating New Organisational Structures in Government
The constitution of the Central Civil Services Authority
The Public Services Bill (as proposed by the Government)
A performance management system to be laid down by the government for public service employees.
Periodical review of pay structure, incentives etc.; making guidelines for promotional aspects and
career advancement; imparting
Constitution of an Authority known as the Central Public Services Authority.
submit an annual report to the Central Government indicating the compliance with the
provisions of the Bill