17. Governance Notes 14

Elaborate Notes

Introduction to Civil Services in India The civil service in India, often referred to as the ‘steel frame of India’ by Sardar Vallabhbhai Patel, has been the backbone of the country’s administrative machinery since independence. Evolving from the colonial-era Indian Civil Service (ICS), it was repurposed to serve the developmental and welfare objectives of a newly independent, democratic nation. The foundational principles, as envisioned by leaders like Patel and codified in the Constitution, were neutrality, impartiality, and integrity. However, with the changing socio-economic and political landscape, particularly since the liberalization reforms of 1991, the role and functioning of the civil services have come under intense scrutiny, necessitating a continuous process of reform.

Recruitment Reforms

Recruitment is the foundational stage that determines the quality of human resources entering the administration. Over the years, several committees have examined the recruitment process conducted by the Union Public Service Commission (UPSC).

• Baswan Committee (2016): This committee, headed by B.S. Baswan, was constituted to review the scheme of the Civil Services Examination. Its recommendations aimed to align the recruitment process with the contemporary needs of governance.
  • (a) Scientific Evaluation of Vacancies: The committee highlighted the need for a data-driven and forward-looking approach to cadre management. Instead of ad-hoc vacancy notifications, the UPSC, in collaboration with the Department of Personnel and Training (DoPT) and state governments, should conduct a thorough analysis of current and future personnel requirements. This ensures optimal cadre strength and prevents shortages or surpluses in various services.
  • (b) Reduction in Age Limit: The recommendation to reduce the upper age limit from 32 to 26 years was based on the rationale that a younger intake would lead to a more energetic, adaptable, and innovative bureaucracy. Scholars argue that a prolonged preparation period can lead to candidates becoming risk-averse and less open to new ideas, which is detrimental to a dynamic administrative system. Historically, the age limit has fluctuated; for instance, the Kothari Committee (1976) had recommended an age band of 21-26 years.
  • (c) Reduction in Number of Attempts: Limiting attempts to three was suggested to attract only the most serious and committed candidates, discouraging a culture of making the civil services a lifelong pursuit at the cost of other career avenues.
  • (d) Separate Examinations for Services: This is a radical suggestion aimed at fostering specialization from the entry-level itself. In an era of globalization and complex governance challenges (e.g., cyber security, climate finance, trade negotiations), a ‘one-size-fits-all’ examination is seen as an anachronism. The committee argued that the skill set required for a police officer (IPS) is fundamentally different from that of a tax administrator (IRS) or a foreign diplomat (IFS). This reform would ensure that candidates are recruited based on the specific aptitudes required for a particular service.
  • (e) Changes to the Main Examination: The proposal to remove optional subjects was intended to create a level playing field for all aspirants, regardless of their academic background. Optionals have often been criticized for subjectivity and non-uniformity in scoring. Replacing them with compulsory papers on ‘Law’ and ‘Public Administration’ would ensure that every candidate possesses foundational knowledge directly relevant to their future roles in governance.
  • (f) Changes to the Personality Test: The committee suggested adopting methodologies used by the armed forces’ Services Selection Board (SSB), which employ a multi-day process involving psychometric tests, group tasks, and situational reaction tests. This would allow for a more comprehensive assessment of a candidate’s personality traits, leadership potential, and ethical integrity, beyond a conventional interview.

Training Reforms

Training is critical for transforming a recruit into a competent and value-oriented public servant. The traditional training model has been criticized for being overly theoretical and disconnected from ground realities.

• Second Administrative Reforms Commission (ARC): In its 10th Report, “Refurbishing of Personnel Administration” (2008), the Second ARC, chaired by M. Veerappa Moily, emphasized the need to move from a ‘generalist’ civil service to one with ‘domain expertise’.

  • The ARC noted that after initial field postings, civil servants move to secretariat roles involving policy formulation. Without specialized knowledge in a specific domain (e.g., health, urban planning, finance), they often rely heavily on general administrative skills, which may be inadequate for crafting effective, evidence-based policies.
  • It recommended a structured mid-career training program that would allow officers to specialize in one of eight identified domains. This specialization would then guide their future postings, ensuring that, for instance, the Health Secretary has demonstrable expertise in public health policy.

• Mission Karmayogi (2021): Officially the National Programme for Civil Services Capacity Building (NPCSCB), this is arguably the most comprehensive reform in civil services training.

  • Context: Launched as part of the Atmanirbhar Bharat Abhiyan, it acknowledges that the governance landscape has been transformed by factors such as the 73rd and 74th Constitutional Amendments (decentralization), the rights-based approach (RTI, RTE), e-governance, and the growing role of civil society (the ‘third sector’). It recognizes a disconnect between the existing competencies of civil servants and the new skills required to navigate this complex environment.
  • Core Philosophy: The mission’s motto is to shift from a “Rules-Based” to a “Roles-Based” HR management. This means focusing on the specific competencies required for a particular job role rather than adhering to generic, rule-bound procedures, thus tackling the problem of ‘goal displacement’ where following rules becomes more important than achieving outcomes.
  • Objectives of Mission Karmayogi:
    • (a) Outcome-Based Administration: To reorient the bureaucracy towards service delivery and achieving tangible results for citizens, rather than mere procedural compliance.
    • (b) Onsite Learning: To move away from traditional, off-site classroom training to a model of continuous, on-the-job, and blended learning tailored to individual needs.
    • (c) Continuous Capacity Building: To provide a framework for civil servants to continuously upgrade their Behavioral, Functional, and Domain competencies through a ‘Framework of Roles, Activities, and Competencies’ (FRAC).
    • (d) Creating an Ideal Bureaucrat: The mission aims to make civil servants more creative, constructive, imaginative, innovative, proactive, professional, energetic, transparent, and technology-enabled (the C-Cube and P-Square model).
  • Implementation Platform: The training is delivered through a digital platform called iGOT (Integrated Government Online Training) Karmayogi. This platform aggregates the best-in-class training content from global and national universities and institutions. The program aims to cover approximately 46 lakh central government employees, with a budget of ₹510 crore allocated for five years.

Politicization of Civil Services

Politicization refers to the erosion of the neutrality and impartiality of the civil service, wherein administrative decisions are influenced by partisan political considerations rather than objective public interest.

• Causes and Mechanisms: The primary lever for politicization is the significant control the political executive wields over the career progression of civil servants, including transfers, postings, promotions, and post-retirement appointments. This creates a system of incentives where loyalty to the political master is rewarded over merit and integrity. Honest and upright officers are often subjected to frequent or “punishment” postings.
• Reforms to Depoliticize:
  • (a) Central Civil Services Board: The Second ARC recommended the establishment of a statutory Central Civil Services Board to manage senior appointments, transfers, and postings. The Supreme Court, in the landmark case of T.S.R. Subramanian vs. Union of India (2013), mandated the creation of Civil Services Boards (CSBs) at both the central and state levels to ensure fixed tenures for bureaucrats and to insulate them from arbitrary transfers. The court held that fixed tenures would promote professional integrity and efficiency.
  • (b) Objective Performance Evaluation: The decisions of the CSB must be based on a transparent and objective performance management system, rather than the subjective and often opaque Annual Confidential Report (ACR) system. This ensures that career advancement is linked to merit and performance.
  • (c) Ex-ante vs. Ex-post Accountability:
    • Ex-post Accountability (Current System): A civil servant is held accountable after implementing an order. This system encourages compliance, even with legally or ethically dubious verbal orders, as non-compliance can be treated as insubordination.
    • Ex-ante Accountability (Recommended): The Second ARC proposed a shift to a system where a civil servant has the right and duty to question an order before implementation if it is unconstitutional, illegal, or against the public interest. The officer would be required to state the reasons for refusal in writing. Under this model, the civil servant cannot be penalized for refusing to implement such an order, thereby strengthening their ability to uphold the rule of law against political pressure.
  • (d) Demand for Written Orders: A simple yet effective reform is to institutionalize the practice that civil servants act only on written orders from their superiors, especially on contentious matters. This creates a clear trail of accountability and deters the issuance of improper verbal directives.

Lateral Entry into the Civil Services

Lateral entry refers to the appointment of specialists and experts from the private sector, academia, and non-governmental organizations into middle and senior-level positions in the government, bypassing the regular UPSC recruitment process.

• Rationale for Lateral Entry:
  • (a) Lack of Competition: The current system of promotion based primarily on seniority can lead to complacency and a lack of competition within the services.
  • (b) Monopoly of Generalists: The Indian Administrative Service (IAS) has historically held a near-monopoly over top policy-making positions in central government secretariats, irrespective of the technical nature of the ministry.
  • (c) Absence of Practical Experience: Career bureaucrats, despite their administrative acumen, may lack specialized, real-world experience in technical and economic domains.
  • (d) Changing Governance Paradigm: The increasing role of the private sector and civil society in service delivery and policy implementation requires the government to induct talent with experience in these sectors.
• Advantages of Lateral Entry:
  • It injects fresh talent, specialized knowledge, and new perspectives into the policy-making process.
  • It fosters a spirit of competition among career civil servants, encouraging them to upgrade their skills.
  • It aligns the government’s human resources with the demands of a globalized, knowledge-based economy.
  • By bringing in people with outcome-oriented work cultures from the private sector, it can help make the government more efficient and performance-driven.
• Criticism and Challenges:
  • (a) Spoils System: Critics fear it could degenerate into a “spoils system,” where the ruling party appoints its loyalists and ideologically aligned individuals, compromising administrative neutrality.
  • (b) Opposition from Incumbents: It is naturally opposed by career civil servants who see it as a threat to their promotion avenues and career progression.
  • (c) Talent Attraction: Significant disparities in salary and perquisites between the public and private sectors may make it difficult to attract the very best talent.
  • (d) Cultural Mismatch: The rule-bound, hierarchical culture of government may clash with the more flexible, target-driven culture of the private sector, leading to friction and ineffectiveness.
  • (e) Conflict of Interest: The temporary tenure of lateral entrants raises concerns about potential conflicts of interest, especially if they return to the private sector after their stint in government.
• ARC Recommendation: The Second ARC (10th Report) endorsed the idea of lateral entry in a limited and strategic manner, suggesting it be initiated in technical and specialized ministries. It also innovatively proposed a “lateral exit” policy, allowing career civil servants to take a sabbatical to work in the private sector or NGOs. This would provide them with valuable exposure and practical experience, which they could then bring back into government service.

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Prelims Pointers

• Baswan Committee (2016): Recommended reducing the upper age limit for the Civil Services Exam to 26 years and the number of attempts to 3.
• Mission Karmayogi: Also known as the National Programme for Civil Services Capacity Building (NPCSCB).
• iGOT Karmayogi: The digital online training platform for Mission Karmayogi.
• FRACs: Framework of Roles, Activities, and Competencies; a key component of Mission Karmayogi.
• Second ARC: Chaired by M. Veerappa Moily. Its 10th Report, “Refurbishing of Personnel Administration,” deals with civil services reforms.
• Civil Services Board (CSB): Recommended by the Second ARC and mandated by the Supreme Court in the T.S.R. Subramanian vs. Union of India (2013) case to govern transfers, postings, and ensure fixed tenures.
• Ex-ante Accountability: A proposed reform where a civil servant can question an unconstitutional or illegal order before its implementation without facing disciplinary action.
• Lateral Entry: The induction of domain experts from outside the government into middle and senior levels of the administration.
• ‘Steel Frame of India’: The term used by Sardar Vallabhbhai Patel to describe the Indian civil services.

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Mains Insights

1. Generalist vs. Specialist Debate:

• Argument for Generalists: The traditional view holds that generalist administrators (like the IAS) are essential because they bring a broad, coordinated perspective to governance. They are seen as versatile and can manage diverse portfolios, which is crucial in a country as complex as India. Their loyalty is to the government system as a whole, not to a specific technical field.
• Argument for Specialists: In the post-globalization era, policy-making has become highly technical (e.g., WTO negotiations, climate change agreements, telecom policy). Generalists may lack the deep domain knowledge required, leading to suboptimal policies. Lateral entry is a key mechanism to address this ‘specialist deficit’.
• The Way Forward: The consensus is moving towards creating ‘specialized generalists’. This involves recruiting generalists and then providing them with structured mid-career training for domain specialization, as recommended by the Second ARC. This combines the breadth of a generalist with the depth of a specialist.

2. Erosion of Foundational Values (GS Paper IV Perspective):

• The politicization of the civil services directly attacks the foundational values of impartiality, non-partisanship, and integrity enshrined in public service ethics.
• The “committed bureaucracy” concept, which emerged in the 1970s, created a debate on whether a bureaucrat should be committed to the Constitution and rule of law or to the ideology of the ruling party. This debate remains relevant.
• Reforms like ‘ex-ante accountability’ and the legal backing for CSBs are not just administrative changes; they are ethical imperatives to protect an honest officer who faces the dilemma of either following an illegal order or facing punishment.

3. Reforms: Incremental vs. Radical Transformation:

• Incremental Reforms: Many reforms, such as changes in training modules or performance appraisal systems, are incremental. They aim to improve the existing system without fundamentally altering its structure.
• Radical Reforms: Suggestions like separate exams for different services or large-scale lateral entry are radical as they challenge the very structure of a unified, generalist-dominated civil service.
• Critique: While Mission Karmayogi is a significant step, its success depends on a supportive ecosystem. Training can enhance skills (supply side), but if the political and administrative culture (demand side) does not reward merit and outcomes, the impact will be limited. True reform requires a holistic approach addressing recruitment, training, performance management, and the political-administrative interface simultaneously.

4. Lateral Entry: A Panacea or a Problem?

• As a Panacea: Proponents view it as a necessary shock therapy to break the complacency and monopoly of the career bureaucracy, bringing in much-needed efficiency, expertise, and an outcome-oriented culture.
• As a Problem: Opponents argue that it could undermine the institutional integrity of the civil service. The challenge lies in designing a transparent and meritocratic selection process for lateral entrants, ensuring they are integrated smoothly, and managing potential conflicts of interest. Without robust safeguards, it risks becoming a backdoor for political patronage.

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Previous Year Questions

Prelims Questions

1. With reference to the ‘Civil Services Board’ in India, consider the following statements: (UPSC Prelims 2024)

   1. The Civil Services Board is headed by the Cabinet Secretary in case of the Union Government.
   2. The Civil Services Board is responsible for the appointments and transfers of all the officers of All India Services and Central Services of Group A and Group B. Which of the statements given above is/are correct? (a) 1 only (b) 2 only (c) Both 1 and 2 (d) Neither 1 nor 2 Answer: (a) The Civil Services Board (CSB) for central postings is indeed headed by the Cabinet Secretary. However, it is primarily concerned with appointments, transfers and tenures for officers of the rank of Joint Secretary and above, not “all” officers of Group A and B. So, statement 2 is incorrect.

2. Which of the following is/are the key feature(s) of ‘Mission Karmayogi’? (UPSC CDS 2023)

   1. It is the National Programme for Civil Services Capacity Building.
   2. It aims to build a future-ready civil service with the right attitude, skills and knowledge, aligned to the vision of New India.
   3. The Mission will be delivered through iGOT-Karmayogi digital platform. Select the correct answer using the code given below: (a) 1 and 2 only (b) 2 and 3 only (c) 1 and 3 only (d) 1, 2 and 3 Answer: (d) All three statements correctly describe the key features of Mission Karmayogi.

3. The main objective of the ‘National Programme for Civil Services Capacity Building’ (Mission Karmayogi) is to: (UPSC CSE 2022 - adapted) (a) Increase the number of civil servants recruited annually. (b) Shift the focus of civil service training from a rule-based system to a role-based system. (c) Provide post-retirement employment to senior bureaucrats. (d) Privatize the training institutions for civil servants. Answer: (b) The core philosophy of Mission Karmayogi is to move from a ‘rules-based’ to a ‘roles-based’ human resource management, focusing on the competencies required for specific roles.

4. The establishment of the Civil Services Board was directed by the Supreme Court of India to: (UPSC CSE 2021 - adapted) (a) Speed up the departmental inquiry process against corrupt officials. (b) Recommend the removal of optional subjects from the civil services exam. (c) Insulate bureaucrats from political interference in transfers and postings. (d) Oversee the lateral entry of experts into the government. Answer: (c) In the T.S.R. Subramanian vs. Union of India (2013) case, the Supreme Court mandated the creation of CSBs to ensure fixed tenures for civil servants and protect them from arbitrary, politically motivated transfers.

5. Lateral entry into public services, a recent initiative by the Government of India, primarily aims to: (UPSC CSE 2020 - adapted) (a) Reduce the financial burden of pensions for government employees. (b) Bring in domain expertise and specialized skills into governance. (c) Fulfill India’s commitment to the World Trade Organization. (d) Provide an alternative career path for politicians. Answer: (b) The fundamental rationale for lateral entry is to induct specialists with deep domain knowledge and real-world experience to enhance the quality of policy formulation and implementation in an increasingly complex world.

Mains Questions

1. “Institutional quality is a crucial driver of economic performance”. In this context, suggest reforms in the Civil Service for strengthening democracy. (UPSC Mains 2022)

   • Approach: Start by explaining the link between institutional quality (rule of law, bureaucratic efficiency, low corruption) and economic performance, citing examples or scholars like Daron Acemoglu. Then, connect this to the role of civil services in a democracy. Suggest reforms across the lifecycle of a civil servant:
     • Recruitment: Mention Baswan committee recommendations for attracting specialized and meritorious talent.
     • Training: Elaborate on Mission Karmayogi’s goal of creating an efficient, outcome-oriented bureaucracy.
     • Functioning: Discuss reforms to ensure accountability (ex-ante), impartiality (CSB for transfers), and integrity (strengthening anti-corruption mechanisms).
     • Structure: Touch upon lateral entry to bring in expertise. Conclude by stating that these reforms will make the ‘steel frame’ more responsive and efficient, thereby strengthening both the economy and democracy.

2. Has the Cadre based Civil Services Organisation been the cause of slow change in India? Critically examine. (UPSC Mains 2022)

   • Approach: Start by defining the cadre-based system and its original purpose (national unity, uniform administration).
     • Arguments for it being a cause of slow change: Mention issues like rigidity, IAS dominance over specialist positions, inter-cadre rivalries, complacency due to guaranteed promotions (seniority-based), and resistance to change.
     • Arguments against: Counter by highlighting its positive roles in maintaining national unity, providing administrative stability during political turmoil, and implementing large-scale national programs. Argue that the problem is not just the structure but also the political ecosystem it operates in (politicization, lack of will for reform).
     • Conclusion: Conclude with a balanced view that while the cadre-based system has inherent rigidities that can slow down change, it is not the sole cause. Suggest reforms like specialization, performance-based promotions, and lateral entry to make the system more dynamic without dismantling it entirely.

3. To what extent, in your opinion, has the decentralisation of power in India changed the governance landscape at the grassroots? (UPSC Mains 2022)

   • Approach: Introduce the concept of decentralization via the 73rd and 74th Constitutional Amendment Acts.
     • Positive Changes: Discuss the creation of a third tier of government, political empowerment of women and marginalized sections through reservations, improved local-level planning, and enhanced participatory governance.
     • Challenges/Limitations: Analyze the issues of the 3Fs - lack of Funds, Functions, and Functionaries. Mention the continued dominance of state governments and local bureaucracy, the emergence of ‘sarpanch-pati’, and inadequate capacity building at the local level.
     • Conclusion: Conclude that decentralization has fundamentally altered the governance landscape by creating democratic structures at the grassroots, but its full potential is yet to be realized due to functional and financial constraints that need to be addressed.

4. “The emergence of the Fourth Industrial Revolution (Digital Revolution) has initiated E-Governance as an integral part of government”. Discuss. (UPSC Mains 2020)

   • Approach: Define the Fourth Industrial Revolution (4IR) - characterized by AI, IoT, Big Data, etc. Explain how these technologies are enabling a shift from simple e-governance (digitizing records) to transformative ‘Digital Governance’.
     • Body: Discuss how 4IR is integrating into governance:
       • Service Delivery: DBT, DigiLocker, MyGov platform.
       • Decision Making: Use of big data analytics for policy formulation (e.g., in health, agriculture).
       • Transparency & Accountability: Real-time monitoring of projects (e.g., PRAGATI platform), Geotagging.
       • Citizen Engagement: Social media for grievance redressal.
     • Challenges: Mention the digital divide, data security and privacy concerns, and the need for reskilling the bureaucracy (link to Mission Karmayogi).
     • Conclusion: Conclude that 4IR is no longer an option but a necessity for good governance, making e-governance an inseparable part of modern statecraft.

5. Initially, Civil Services in India were designed to achieve the goals of neutrality and effectiveness. In the present context, these goals seem to be lacking. Do you agree with the view that drastic reforms are required in Civil Services? Comment. (UPSC Mains 2019 - adapted)

   • Approach: Start by explaining the Weberian ideals of neutrality and effectiveness that formed the basis of Indian Civil Services.
     • Agree with the view: Provide evidence of how these goals are lacking. For neutrality, discuss politicization, the politician-bureaucrat nexus, and the concept of ‘committed bureaucracy’. For effectiveness, discuss issues like red-tapism, resistance to change, lack of specialization, and poor outcomes in social sectors despite huge expenditure.
     • Need for Drastic Reforms: Argue that incremental changes are insufficient. Systematically discuss the need for drastic reforms in:
       • Recruitment: To bring in the right talent (Baswan Committee).
       • Training: To build capacity for a complex world (Mission Karmayogi).
       • Accountability: To depoliticize and ensure integrity (CSB, ex-ante accountability).
       • Structure: To infuse expertise and competition (Lateral Entry).
     • Conclusion: Conclude that to make the ‘steel frame’ truly effective for 21st-century India, a comprehensive and drastic overhaul, as suggested by various committees like the Second ARC, is not just desirable but essential.