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Public Administration in a Globalizing World Public Administration in a Globalizing World Theories and Practices Bidyut Chakrabarty Prakash Chand (With assistance from Arindam Roy) Copyright © Bidyut Chakrabarty and Prakash Chand, 2012 All rights reserved. No part of this book may be reproduced or ...

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Public Administration in a Globalizing World

Public Administration in a Globalizing World Theories and Practices

Bidyut Chakrabarty Prakash Chand (With assistance from Arindam Roy)

Copyright © Bidyut Chakrabarty and Prakash Chand, 2012 All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage or retrieval system, without permission in writing from the publisher. First published in 2012 by Sage Publications India Pvt Ltd B1/I-1 Mohan Cooperative Industrial Area Mathura Road, New Delhi 110 044, India www.sagepub.in Sage Publications Inc 2455 Teller Road Thousand Oaks, California 91320, USA Sage Publications Ltd 1 Oliver’s Yard 55 City Road London EC1Y 1SP, United Kingdom Sage Publications Asia-Pacific Pte Ltd 33 Pekin Street #02-01 Far East Square Singapore 048763 Published by Vivek Mehra for Sage Publications India Pvt Ltd, Phototypeset in 11/13 Minion Pro by Diligent Typesetter, Delhi and printed at G.H. Prints Pvt Ltd, New Delhi. Library of Congress Cataloging-in-Publication Data Chakrabarty, Bidyut, 1958–   Public administration in a globalizing world: theories and practices/Bidyut Chakrabarty, Prakash Chand, with assistance from Arindam Roy.     p. cm.   Includes bibliographical references and index.   1. Public administration. 2. Public administration—History—21st century. 3. Public administration—India. I. Chand, Prakash. II. Roy, Arindam. III. Title. JF1351.C375      351—dc23      2012      2012018550 ISBN:  978-81-321-0948-8 (PB) The Sage Team: Sharel Simon, Pranab Jyoti Sarma, Arpita Dasgupta, Rajib Chatterjee, and Rajinder Kaur

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Contents List of Abbreviations Preface Introduction

xiii xvii xxi

  1. Public Administration: Evolution of a Discipline Meaning of Public Administration Nature and Scope of Public Administration Public and Private Administration Significance of Public Administration Approaches to the Study of Public Administration Evolution of Public Administration as a Discipline The Minnowbrook Conference III, 2008 Redesigning Public Administration in the Changing Global Environment Challenges Ahead Concluding Observations   2. Administrative Theories The Classical Organization Theory The Scientific Management Theory Bureaucratic Theory Post-bureaucratic Theory Gandhi’s Model of Oceanic Circle The Human Relations Theory Decision-making Theory Fred Riggs’ Ecological Approach Socio-psychological Approach/Theories Concluding Observations vii

1 2 4 5 8 10 16 27 31 37 43 46 49 53 59 70 71 74 82 89 93 101

Public Administration in a Globalizing World

  3. Contemporary Developments in Public Administration New Public Administration New Public Management Theory and Practice of Governance Changing Perspective of Public Administration Historical Roots of Governance Theoretical Roots of Governance Governance and Nation State Digital/E-Governance Feminist Perspective on Public Policy and Administration Environmental Governance in India Corporate Governance Concluding Observations

108 108 111 122 133 135 138 145 149 151 157 166 174

  4. Public Policy Theoretical Dimensions: The Context What Is Public Policy? Significance of Public Policy Types of Public Policy Models and Approaches to Public Policy Public Policy: Functional Dimensions Public Policy Process Public Policy Formulation Public Policy Implementation Policy Evaluation Public Policy Process in India Policy Sciences and Public Policy Process: An Evaluation Concluding Observations

181 182 183 184 186 187 194 198 199 201 206 211 213 216

  5. Development Administration Genesis of Development Administration Development Administration: Meaning Characteristics of Development Administration Traditional Administration versus Development Administration

218 219 220 222

viii

226

Contents

Administration of Development and Development of Administration: A Chicken and Egg Relationship Politics of Development Administration Temporal and Spatial Dimensions of Development Administration Changing Patterns of Development Administration A Critique of Development Administration Concluding Observations   6. Decentralization and Local Governance Decentralization: The Concept Significance of Decentralization Approaches to Decentralization Types of Decentralization Democratic Decentralization and Local Governance in India Rural Local Government Urban Local Administration Implications of 73rd and and 74th Amendment Acts The 73rd and 74th Amendment Acts: A Critical Appraisal People’s Participation in Rural and Urban Development Major Rural and Urban Development Programmes and Their Management Concluding Observations   7. Social Welfare Administration Concept of Social Welfare Approaches to Social Welfare Social Welfare and Related Concepts Major Traits of Social Welfare Social Welfare and the Welfare State Social Welfare Administration Principles of Social Welfare Administration Social Welfare Administration and Protection of Weaker Sections in India ix

228 230 233 238 247 249 253 254 256 258 261 268 275 283 286 291 292 295 306 313 314 315 316 317 319 321 324 325

Public Administration in a Globalizing World

Social Welfare Ministry in India Policies of Social Welfare Concluding Observations

326 344 350

  8. Citizens and Administration Interactions between Citizens and Administration Citizen’s Perception about Administration Preconditions for Citizen-centric Administration People’s Participation in Administration Administrative Accountability Machinery for Redressal of Public Grievances Grievance Redressal Mechanism in India Governance Discourse and the Changing Role of Citizens Concluding Observations

382 383

  9. Public Administration in India The Regulating Act, 1773 The Charter Act, 1833 The Act for ‘Good Governance’ in India, 1858 The 1935 Government of India Act All India Civil Services and Public Administration Concluding Observations

386 387 390 392 399 402 407

10. Budget and Financial Administration in India Concept of Budget Significance of Budgeting Types of Budget Budget Policy Orientations in India Major Actors in Budgetary Process in India Budget System in India Budgetary Process in India Finance Management in India Budget System Reforms in India Finance System Reforms in India Concluding Observations

414 415 416 417 421 424 428 431 436 441 443 445

x

354 355 357 360 363 365 368 369

Contents

11. Administrative Reforms in India Theoretical Underpinning of Administrative Reforms Administrative Reforms in India since Independence Post-ARC Reforms Initiatives Reforms in the Post-liberalization Era Concluding Observations

448 449 455 460 462 475

12. Globalization and Public Administration Concept of Globalization Globalization: A New Garb of Imperialism? Impact of Globalization on Public Administration Impact of Globalization on Developing Countries Concern for Global Justice and Accountability Concluding Observations

479 485 494 494 500 502 505

Conclusion Model Questions Index About the Authors

510 521 529 546

xi

List of Abbreviations

AIS All India Services AMUL Anand Milk Union Ltd ARC Administrative Reforms Commission ASPA American Society for Public Administration BFIR Board for Industrial and Financial Reconstruction CAG Controller and Auditor General CBI Central Bureau of Investigation CDP Community Development Programme CII Confederation of Indian Industry CMS Centre for Media Studies CPA Comparative Public Administration CSRE Crash Scheme for Rural Employment CVC Central Vigilance Commission DDP Desert Development Programme DPAP Drought-prone Area Programme EG Entrepreneurial Government EGS Employment Guarantee Scheme FDI Foreign Direct Investment FFW programme  Food for Work programme FRBM Fiscal Responsibility and Budget Management GEM Gender Empowerment Measure GMFC Grow More Food Campaign GNP Gross National Product GONGO Government-organized Non-governmental Organization HADP Hill Area Development Programme HNFDC National Handicapped Finance and Development HYVP High Yielding Variety Programme xiii

Public Administration in a Globalizing World

IAAP IADP IAS ICDP ICDS ICPS ICT IMF IRDP IT JUSE MFAL MGNREGA MMP MNCs MRTP Act NCW NEGP NES NGO NHFDC NIC NPA NPC NPM NREGA NREP NRHM NSE NYSE OECD PDS PIL PIO

Intensive Agricultural Areas Programme Intensive Agricultural District Programme Indian Administrative Service Intensive Cattle Development Programme Integrated Child Development Services Integrated Child Protection Scheme Information and Communication Technology International Monetary Fund Integrated Rural Development Programme Information Technology Japanese Union of Scientists and Engineers Marginal Farmers and Agricultural Labourers Mahatma Gandhi National Rural Employment Guarantee Act Mission Mode Project Multinational Companies Monopolies and Restrictive Trade Practices Act National Commission for Women National E-Governance Plan National Extension Services Scheme Non-governmental Organization National Handicapped Finance and Development Corporation National Informatics Centre New Public Administration National Police Commission New Public Management National Rural Employment Guarantee Act National Rural Employment Programme National Rural Health Mission National Stock Exchange New York Stock Exchange Organization for Economic Cooperation and Development Public Distribution System Public Interest Litigation Public Information Officer xiv

List of Abbreviations

POSDCORB Planning, Organizing, Staffing, Directing, Coordinating, Reporting, and Budgeting PPBS Planning, Programming and Budgeting System PPP Public–Private Partnership PSU Public Sector Unit RBI Reserve Bank of India RLEGP Rural Landless Employment Guarantee Programme RMK Rashtriya Mahila Kosh RTI Right to Information RWP Rural Works Programme SAP Structural Adjustment Programme SCOVA Standing Committees of Voluntary Agencies SCSs Senior Civil Services SEBI Security and Exchange Board of India SFDA Small Farmer Development Agency SPC Statistical Process Control SQI Service Quality Initiative SSA Sarva Shiksha Abhiyan TADP Tribal Area Development Programme TMT Top Management Team TQM Total Quality Management NPA New Public Administration TRAI Telecom Regulatory Authority of India TRYSEM Training of Rural Youth for Self-employment TSP Tribal Sub-Plan UEE Universalization of Elementary Education UGC University Grants Commission UNDP United Nations Development Programme UPSC Union Public Service Commission WCP Women’s Component Plan ZBB Zero-based Budgeting

xv

Preface

T

his was our dream project. We are thankful to SAGE for having agreed to publish the book for wider attention. There is hardly a book dealing with theories and practices of public administration in the same depth. The book shall, therefore, serve a useful purpose to the students seeking to grapple with the complex articulation of governance in varied socio-economic and political contexts. Critical of the so-called universal designs of public administration, the book argues for the context-driven models of public administration. Questioning the neo-Taylorist theoretical mould, the book raises important issues that are undoubtedly useful in redefining the scope and domain of public administration. By reiterating some of the concerns that Dwight Waldo expressed in 1968 in the Minnowbrook Conference I, our effort is directed towards bringing back the role of ‘politics’ in public administration. Politics adds character to governance within a specific kind of ‘power relationship’ that can never be understood independent of the socio-economic matrix in which it evolves. The New Public Management (NPM) perspective remains clueless in conceptualizing public administration in countries other than the developed West; this was the primary concern that seemed to have bothered the participants of the 2008 Minnowbrook Conference III. Their effort was to make the discipline relevant and meaningful in addressing contemporary human concerns. In the changed environment of the growing ascendancy of market, public administration, in order to remain relevant, needs to be responsive to the critical problems of our time. Public administration is hardly bureaucracy-centric. The centre of gravity in governance shifts away from bureaucracy that has become just one of the agencies xvii

Public Administration in a Globalizing World

in public administration. Public managers no longer remain just unitary leaders of unitary organizations. Instead, they operate in multi-organizational arrangements to solve problems that cannot be solved, or solved easily, by a single organization. We need to reinvent public administration in the light of the growing importance of ‘networked governance’ and ‘collaborative public management’ in day-to-day administration. So the discipline, in the spirit of Dwight Waldo’s original emphasis, has to evolve new theoretical parameters to re-conceptualize governance as a problem-solving mechanism and also as a process in the changed socio-economic environment. Two important ideas seem to be most critical in re-conceptualizing public administration in the context of a globalizing world: First, it is impossible to understand the complex world of administration simply in Weberian theoretical paradigm, given the importance of civil society organizations in today’s governance. Public administration is no longer exclusively bureaucracy-driven because multiple actors get involved in public decision-making. A good example is certainly the movement that Anna Hazare launched in 2011 for a strong Lokpal, which became an important source of inputs for framing the bill. This was a decision in which government bureaucracy, parliament and civil society activists joined hands to meaningfully address ‘the public outcry’ over the creation of a Lokpal (Ombudsman) to institutionally counter corruption. Second, as a discipline, public administration has truly become ‘multidisciplinary’ drawing on ‘interdisciplinary’ borrowing. The Minnowbrook Conference III represented both Simonesque and Waldonian perspectives: those clinging to the former were drawn to economics, organization theory and management and those appreciative of Waldonian methodological tools seemed to have found adequate intellectual backing from political science, sociology, philosophy and history. The prevalence of these two important perspectives confirms that as a field of study, public administration continues to be relatively ‘diverse’ and ‘multi-theoretical’. Book-writing is always a collaborative project. We are fortunate to have been trained by our teachers who injected in us the art of being inquisitive which helped us in plunging into the world of xviii

Preface

unknown. We are grateful to our teachers. We are honoured by being associated with the SAGE textbook project. It is a great feeling that SAGE continues to have faith in us for the third book in a row in this series. It would not have been possible without personal interests of Dr Sugata Ghosh, Vice President, Commissioning, at SAGE, and his competent team members, especially Rekha Natarajan and Gayeti Singh. We are thankful for their support. We shall be failing in our duties if we do not thankfully acknowledge the contribution of the readers because their comments have significantly improved the presentation of the text around a persuasive argument. By her very thought-provoking comments, Professor Rosemary O’Leary of Maxwell School, Syracuse University, New York, who was also a participant in the 1988 and 2008 Minnowbrook conferences made a useful difference in the final text of the book. The book would not have been the same without the generous intellectual support of Arindam Roy of the University of Burdwan, India, who is now pursuing a very thought-provoking work on health and politics in the state of West Bengal in India. By being proactive in the classroom, our students in India and abroad always remain important sources of thought. If they find the book useful and intellectually stimulating, we will have achieved what we are looking for. Last, but not the least, we are indebted to our families that always stood by us. By distracting us off and on during the preparation of the manuscript for the book, our children helped us to get out of the writers’ block and thus made our task easier and enjoyable. We dedicate this book to them with the hope that their journey in life is friction-free and emotionally gratifying.

xix

Introduction

I

P

ublic administration is government in action. Public administration is a contextual response to governance. Since the context is important, one has to grapple with the ideological inputs whereby ‘the art of governance’ is articulated. Starting with the Wilsonian conceptualization of public administration as independent of politics, the discipline has become far more complex than is usually admitted. The reason lies in the fact that the government of the day is invariably influenced by the prevalent socioeconomic and political milieu. One, therefore, cannot ignore the ambience in which public administration is conceptualized. Linked with this is the idea that the nature of public administration differs from one context to another. So, there cannot be a universal design. Despite the theoretical importance of the Weberian ‘ideal form of organization’, it would be wrong to undermine the ‘spatial’ nature of public administration. Models of administration are, therefore, contingent on the historical circumstances. Whatever is relevant today may not remain so in the days to come. Following the onset of globalization, the traditional bureaucratic model appears to have lost its significance presumably because of the growing importance of the non-state actors in administration. The instrumental view of administration does not, therefore, appear to be tenable for reasons connected with ‘the pluralization of state’. Given the increasing role of transnational forces even in domestic administration, the state-centred theories of bureaucracy seem to be inadequate in addressing the radical xxi

Public Administration in a Globalizing World

metamorphosis of public administration both in the developed and developing countries. One can thus safely argue that while the twentieth century was the age of organization where bureaucracy symbolized the core values of public administration, the twenty-first century has ushered in an era of ‘network-based organization’, drawn on neoliberal values. Globalization is a force that cannot be easily dispensed with. Government is being ‘reinvented’ not only structurally but also ideologically in an environment where neoliberal values seem to have triumphed. T...