Q8
(a) The audit function has always been viewed as an integral part of government financial management. Discuss the significance of internal audit in improving the performance of the government sector. 20 (b) Most civil service regimes still equate 'Public Sector Ethics' with anti-corruption efforts. Discuss the insufficiency of Ethics-code in this background. 15 (c) Failure of public policies has often been attributed to problems of implementation, while implementors question the policy design. Discuss the contestation. 15
हिंदी में प्रश्न पढ़ें
(a) अंकेक्षण कार्य को सदैव सरकारी वित्तीय प्रबंध के अभिन्न अंग के रूप में देखा जाता है । सरकारी क्षेत्र के निष्पादन उन्नयन में आंतरिक अंकेक्षण के महत्व का विवेचन कीजिए । 20 (b) अधिकांश सिविल सेवा शासन-पद्धतियों में अभी भी 'सार्वजनिक क्षेत्र नैतिकता' को भ्रष्टाचार-निरोधी प्रयासों के समान माना जाता है । इस पृष्ठभूमि में आचार-संहिता की अपर्याप्तता का विवेचन कीजिए । 15 (c) लोक नीतियों की असफलता को प्रायः क्रियान्वयन की समस्या पर आरोपित करते हैं, जबकि क्रियान्वयक नीति प्रारूप पर प्रश्न करते हैं । इस प्रतिवाद का विवेचन कीजिए । 15
Directive word: Discuss
This question asks you to discuss. The directive word signals the depth of analysis expected, the structure of your answer, and the weight of evidence you must bring.
See our UPSC directive words guide for a full breakdown of how to respond to each command word.
How this answer will be evaluated
Approach
The directive 'discuss' requires a balanced, analytical treatment across all three parts. Allocate approximately 40% of word budget to part (a) given its 20 marks, and roughly 30% each to parts (b) and (c). Structure as: brief integrated introduction → systematic treatment of each sub-part with clear sub-headings → synthesized conclusion linking audit-ethics-implementation as governance tripod.
Key points expected
- Part (a): Distinguish internal audit from external audit (CAG); explain performance audit, compliance audit and risk-based internal audit; cite PFMS integration and IA&AD reforms
- Part (a): Link internal audit to 3Es (economy, efficiency, effectiveness) and output-outcome framework; mention RTI and social audit as complementary mechanisms
- Part (b): Critique narrow anti-corruption focus; elaborate wider ethics dimensions (public interest, accountability, transparency, responsiveness, compassion)
- Part (b): Reference Nolan Committee's Seven Principles of Public Life and their relevance to India's Public Service Bill; contrast with Lokpal-centric discourse
- Part (c): Analyze top-down vs bottom-up tension in policy implementation; cite Pressman-Wildavsky 'implementation gap' and Lipsky's street-level bureaucracy
- Part (c): Indian examples—MGNREGA implementation failures, GST rollout, farm laws; discuss 2nd ARC recommendations on implementation capacity
- Synthesis: Connect how weak internal audit and ethics deficit compound implementation failures; suggest integrated governance reforms
Evaluation rubric
| Dimension | Weight | Max marks | Excellent | Average | Poor |
|---|---|---|---|---|---|
| Concept correctness | 20% | 10 | Precisely distinguishes internal audit's preventive-corrective role from CAG's external audit; accurately defines public sector ethics beyond corruption (Nolan principles, public value); correctly identifies implementation contestation as design-execution dialectic with proper attribution to relevant theorists | Basic definitions of audit types and ethics codes present but conflates internal/external audit boundaries; treats ethics narrowly as corruption control; mentions implementation problems without theoretical framing | Confuses audit types fundamentally; equates ethics solely with anti-corruption laws; describes policy failure vaguely without design-implementation distinction |
| Theoretical anchor | 20% | 10 | Deploys Hood's New Public Management for audit; Nolan/UN Public Service Ethics for part (b); Pressman-Wildavsky, Lipsky, Sabatier or Matland's ambiguity-conflict framework for implementation contestation; integrates theories coherently across parts | Names some theorists (perhaps Lipsky or Nolan) but applies superficially; limited theoretical depth in linking the three sub-parts | No theoretical references or misattributes concepts; relies entirely on descriptive generalizations |
| Indian administrative examples | 20% | 10 | For (a): IA&AD reforms, PFMS, CAG's performance audit reports (e.g., GST, MNREGA); for (b): Public Service Bill 2007, Lokpal Act 2013, RTI as ethics instrument; for (c): MGNREGA implementation studies, Aadhaar rollout, farm laws repeal—demonstrating authentic administrative familiarity | Generic mentions of CAG, Lokpal, or MNREGA without specific report citations or analytical depth; examples not tightly linked to question demands | No Indian examples or factually incorrect references; relies on hypothetical or foreign cases exclusively |
| Reform / policy angle | 20% | 10 | Proposes concrete reforms: risk-based internal audit institutionalization, Public Service Ethics Code operationalization, implementation capacity building (2nd ARC recommendations); suggests institutional mechanisms like outcome budgeting, real-time monitoring, and decentralized implementation structures | Mentions need for reform in general terms without specific institutional mechanisms; reform suggestions not tailored to Indian context | No reform suggestions or utopian recommendations without administrative feasibility; ignores existing reform initiatives |
| Conclusion & forward look | 20% | 10 | Synthesizes audit-ethics-implementation as interconnected governance pillars; proposes integrated framework (e.g., ethical audit, participatory monitoring); ends with forward-looking vision for citizen-centric administration with specific reference to SDG-16 or India's governance priorities | Summarizes main points separately without synthesis; generic conclusion on good governance without integration | No conclusion or abrupt ending; mere repetition of points without forward look |
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