Second Administrative Reforms Commission Part XI - UPSCFEVER

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 optional programmes.

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 academic qualifications.

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'.

Recommendations

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 institutes.

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 assess

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 or less,

Outcome Budgeting

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

Confidential reports is a tool for human resource development

It is not a fault finding process, but a development one.

Limitations

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

Theexistingperformanceappraisaldoesnotsolvetheproblemofpoor performance.

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 seriousness.

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 them.

The system of deciding on representations against an adverse entry sometimes take so long that reporting officers avoid giving an adverse entry.

Reforms

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 management.

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 `outstanding'

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.

Degree Evaluation

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 are addressed.

Performance Management

Osborne and Plastrik set out their principles of entrepreneurial Government in their book Banishing Bureaucracy.

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 employee.

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 roles.

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

gaps-of-performance-appraisal

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 :

Cyclical process

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 principles.

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

Recommendations :

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 benefit

Performance Related Incentive Scheme (PRIS).

It is based on the principle of differential reward for differential performance. Non-monetary Motivating Factors

Recognition

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 Service Day.

Emphasise on incentives like conferring the Padma awards more frequently to serving civil servant

Job Enrichment - 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 government.

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 delivery.

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 oversight mechanisms

Horizontal accountability mechanisms which refer to those located within the State

`Vertical' accountability mechanisms which are those outside the State

Recommendations

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.

accountability-in-civil-service

Disciplinary Proceedings

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 State.

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.

Some advantages of having an independent, permanent and impartial civil service

The spoils system has the propensity to degenerate into a system of patronage, nepotism and corruption

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 a policy.

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 functionaries.

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 actions.

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 ethics

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 integrity

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

Arguments against

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 in Council.

. 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 law.

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 is working

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 Mechanism

all positions in Government at the level of JS and above would constitute the `Senior management Pool'.

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

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