ETHICS

Kartikeya Verma
Ethics and Human Interface ............................................................................................................................................. 3
Ethics – Theory............................................................................................................................................................. 3
Essence of Ethics in Human Actions .............................................................................................................................. 7
Determinants of Ethics in Human Actions ..................................................................................................................... 8
Consequences of Ethics in human actions .................................................................................................................... 8
Dimensions of Ethics .................................................................................................................................................... 9
Ethics in private and public relationships .....................................................................................................................10
Human Values .............................................................................................................................................................14
Lessons from the lives and teachings of great leaders, reformers and administrators ..................................................14
Role of family, society and educational institutions in inculcating values. ....................................................................16
Attitude ..........................................................................................................................................................................18
Structure .....................................................................................................................................................................18
Function ......................................................................................................................................................................20
Its influence and relation with thought and behavior ..................................................................................................20
Moral and political attitudes .......................................................................................................................................21
Social influence and Persuasion...................................................................................................................................22
Attitude for Good Governance ....................................................................................................................................24
Aptitude and foundational values for Civil Service ...........................................................................................................28
Ethics in Public Administration ....................................................................................................................................29
Integrity ......................................................................................................................................................................32
Impartiality .................................................................................................................................................................34
Non-partisanship.........................................................................................................................................................34
Objectivity ..................................................................................................................................................................35
Dedication to public service ........................................................................................................................................35
Empathy .....................................................................................................................................................................36
Tolerance ....................................................................................................................................................................36
Compassion towards the weaker sections ...................................................................................................................37
Guidance for a civil servant’s action: ...........................................................................................................................37
Emotional intelligence ....................................................................................................................................................38
Concept ......................................................................................................................................................................38
Their utilities and application in administration and governance .................................................................................39
Cognitive Empathy ......................................................................................................................................................40
Intelligence Quotient ..................................................................................................................................................41
Contributions of moral thinkers and philosophers from India and world. ........................................................................42
Learnings from India ...................................................................................................................................................42
Learnings from west....................................................................................................................................................49

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 Learnings from Religion...............................................................................................................................................52
Public/Civil service values and Ethics in Public administration .........................................................................................54
Status and problems ...................................................................................................................................................55
Ethical concerns and dilemmas in government and private institutions .......................................................................57
Laws, rules, regulations and conscience as sources of ethical guidance .......................................................................59
Accountability and ethical governance ........................................................................................................................61
Strengthening of ethical and moral values in governance ............................................................................................63
Ethical issues in international relations and funding ....................................................................................................64
Corporate governance ................................................................................................................................................65
Probity in Governance ....................................................................................................................................................69
Probity in Governance – a desirable quality as per 2nd ARC ..........................................................................................69
Concept of public service ............................................................................................................................................70
Philosophical basis of governance and probity ............................................................................................................71
Information sharing and transparency in government – Right to Information ..............................................................72
Codes of Ethics – Morally enforced .............................................................................................................................77
Codes of Conduct ........................................................................................................................................................79
Comparison of Code of ethics and Code of Conduct ....................................................................................................81
Citizen’s Charters ........................................................................................................................................................82
Work culture ...............................................................................................................................................................86
Quality of service delivery ...........................................................................................................................................88
Utilization of public funds............................................................................................................................................90
Challenges of corruption .............................................................................................................................................92
Case Study ......................................................................................................................................................................98
Commandment for case studies: .................................................................................................................................98
Common Ethical Issues/Dilemmas: ..............................................................................................................................98
A few options to find solution: ....................................................................................................................................99
Concepts ...................................................................................................................................................................100
Key words/phrases for case study .............................................................................................................................100
Sanskrit mottos .........................................................................................................................................................102
IPC provisions related to religious offences ...............................................................................................................102
Appendix ......................................................................................................................................................................103
Examples...................................................................................................................................................................103
Random quotes .........................................................................................................................................................108

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Ethics and Human Interface

Ethics – Theory

Ethics

“Ethics are like candle in dark, showing us the right path.”

“Ethics is knowing the difference between
what you have right to do, and what is right to do”

 Ethics are normative discipline based on standards that a society places on itself, which gives understanding of
right and wrong, good and bad, and to find the reason for same.
 Ethics are enforced at internally by conscience, and externally by social sanctions.
 Ethics are formed based on historical evolution of society, rational criteria, religious doctrine, categorical
imperative, idea of human dignity, sense of justice, emotional appeal, teaching by social leaders.

“A man without ethics is a wild beast set loose upon the world” – A Camus

“Knowledge without ethics makes a clever devil”

“For society to prosper and an individual to progress, ethics is a virtue we need to imbibe.” [closing]

‘Knowledge without character’ is one of seven sins listed by M Gandhi

Ethics and human interface – ethics are important as:

 Ethics differentiate human from animal existence, idea of being human cannot be separated from idea of
ethics/morality.
 Ethics give humans:
o Mental peace
o Identity/character
o Acts as glue to society
o Hope/motivation for a better world
o Forms rationality, practical guidance to our lives – decides what is right
o Justices in society
 Humans give ethics:
o Standard setting
o Acceptance/protection
o Convergence of idealism and reality
 Example showing importance
o One contributes to charity due to sense of humanity.
o Ethics of freedom of speech leads to a tolerance and peaceful society.

Morality

 It is an individual guide of action rather than law or social practice.

“Be sure you put your feet in right place, then stand firm”- said Abraham Lincoln.

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  Standard of conduct based on personal conscience, that is accepted as right or proper.
 Ethics define the code that a society or group of people adhere to, while morality defines personal character.
Ethics are external guide, morals are individual standards.

“One can be moral alone, but not ethical alone.”

 Ethics tend to be contextual in situations and society, morals are permanent in nature.
 Ethics can influence morals, e.g. rationality shaped by social order. Morals can influence ethics, e.g. RRM Roy
 Overlap of Morals and ethics leads to greater conviction in action.

 Different terms
o Moral: Standards for rightness of action for an individual.
o Immoral: acts that are wrong, sinful, and contradictory to set standards, done knowingly.
o Amoral: state of being unaware about difference between right and wrong, e.g. child.
o Non-moral: situations where moral standards do not apply, e.g. choice of fruit.
 Moral policing – imposing own moral belief onto others
o Egocentric behavior – individual level – do as I tell.
o Ethnocentric behavior – social level – do as society tells.
 Example showing importance
o Morality of truthfulness lead to integrity and probity in work.
o Morality of compassion leads to inclusive growth.

Values

 Values are strong belief system or principles of what is more important to observe world around us for an
individual/organization/group.
 Values are the link that ties together personal perceptions, judgements, motives and actions of a
person/group/organization.
 Values (Morals and Ethics too) determine our actions, even when no one is looking.
 Values inculcate character/personality, which is important for moral development, and ethical conduct.
 Importance of values:

“Values are like fingerprints. Nobody’s are same,

but you leave them all over everything you do” – Elvis Presley

“Values are like an anchor in a ship, they hold integrity in difficult times.”

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 “Failure comes only when we forget our ideals.” – Jawaharlal Nehru

 Functions of Values
o provide guidance in life
o their pursuit results in joy, happiness
o builds our character
o shapes our attitude
o determines quality of relations with others
 Types of values (categorization by Immanuel Kant)
o Intrinsic (Absolute) value – has worth in its own, end in itself. These values retain even if they were to
exist completely alone. E.g. Truth, Courage, value of a human.
o Extrinsic (Instrumental) value – a means to some other value. It is of instrumental worth only. E.g.
objectivity for discipline/honesty, value of money.
 Value pluralism: preference of values varies from person to person. (against value universalism). Important to
accept value pluralism in a diverse society like India. It forms basis for toleration, multiculturalism, inclusiveness.
 Value system – preference order of values, concerning preferable modes of conduct. E.g. truth over success.
 Examples showing importance
o Gandhi’s ahimsa throughout freedom struggle based on strong value for peace.
o Value of honesty in Durgashakti Nagpal led her to fight against mining mafia.
o One will save a pigeon stuck in thread realizing intrinsic value of animal life.
o Value degeneration: Haryana - Ryan international school student murder 7-year old to safe self from
exams. Aryan Khan case. Bully Bai case.

Laws

 Set of codified rules for the society, made by sovereign/authority.

 It guides people to act or restrain to act in a certain way.
 Laws are backed by power of punishment by the state/authority.
 Law is considered as weapon of strong against weak, morality is considered as weapon of weak against strong.
 Function of law – to regulate individual’s action, manage institution and limit states.
 Test of good laws –
o Consultation with those affected.
o Subject to public reasoning.
 Mutual dependence of law and ethics exist.
Laws Ethics
Externally enforced External-internal enforced
Imposed in all conditions Accepted by actor, persuaded
Backed by legal sanctions Backed by social sanctions
Coercive element Ideological/soft element
Violation leads to punishment Social reaction, guilt
Mostly includes don’ts Includes both dos and don’ts
Appeal to rationality Appeal to conscience
 Unethical Law – laws cannot be out-rightly opposed as they are made by democratic government. In such cases,
constitutional means are utilized. These include:
o Prayer, petition;
o Protest, public opinion mobilization;
o Debate, dialogue;

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 o Elections to change government/law.

Basis to define ethical standard of an action

 Ethics of Conduct:
o Consequentialism – Ontological/Teleological/Utilitarian approach – judgement based on final result of
act – Advocated by Jeremy Bentham.
 E.g. Use of hard power like AFSPA to control insurgency is ethical, considering integrity of India
above human rights of insurgent section.
 E.g. Killing your irritating neighbor ethical conduct if he turns out to be foreign spy.
 School has 4 principles: Ethical egoism (good of self), Ethical altruism (good of all except self),
Utilitarianism (good of all), Hedonism (good of most, felicific calculus).
o Deontological – rightness of the action decided on the means/actions themselves and intention/motive/
duty behind them, rather than consequences produced – advocated by Immanuel Kant.
“Every act is value neutral, it is the intention which puts moral worth on out act”
 E.g. Kant argued it to be wrong to lie to save a friend from a murderer.
 E.g. Good Samaritan helping a road accident victim without expectations of material reward.
o Contextualism – rightness of an action decided as per situation they are done in.
 E.g. Killing animal: vermin (acceptable), sports (unethical)
 E.g. Hiding information: corruption (wrong), national security (right)
 Ethics of Character – part of Aristotle’s Virtue Theory, Goal of ethics is building of virtue or inculcate character,
and not just deciding right and wrong. It says to do what a virtuous person would do in a similar situation.
“Character is ethics in action” – Michael Josephson

Theory of Socialization

 Socialization if a lifelong process of shaping individual’s social tendencies, to make and remain productive
individual of the society. It is a process by which culture is transmitted from one generation to the other, and
individuals develop their personality.

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Essence of Ethics in Human Actions

Most important aspect of ethics is that it gives us understanding of right and wrong, building our attitude and character.
It is based on defined ethical standards, determinants, consequences, situation etc.

Ethics helps an individual in following ways:

 Personal Life – ethics shape our personality, allows for mental peace, gives courage/confidence, contentment,
making relationships strong and last longer, taking responsibility to change things for making them better.
“We become what we repeatedly do” – Sean Covey
o Example
 Honesty gives mental satisfaction in relationships.
 Self-determination for curbing wasteful use of resources helps achieve ecological ethics.
 Character building – Individual nurturing qualities like justice, gratitude, courage, integrity, altruism.
o Example
 Ethics imbibe in us sense of fairness and justice for all.
 Ethics helps us recognize and appreciate other’s contribution.
 Social Life – ethics help understands our responsibility towards others. Promotes contribution to society, social
cohesiveness, peaceful existence, tolerance, promote interest of all sections, consider self as part of whole. Indian
multicultural society teaches us qualities like discipline, truthfulness, compassionate, forgiving, courageous and
many more such quality as ethical.
o Example
 Ugly Indian selflessly cleaning India.
 Robinhood Army – get surplus food from restaurants and give them to less fortunate.
 As Citizen – ethics to follow law of land in spirit, authorities, respect national ideals, imbibe patriotism (DPSP, FD).
o Example
 Participate in voting, upholds accountability of politicians.
 Participation in civil debates reflects fulfilment of responsibility – deliberative citizenry.
 As a human – to protect dignity, humanity, justice, respecting, protecting and protecting interest of all beings,
including animals. Ability to distinguish between right and wrong differentiates us from animate existence.
o Example
 Mother Teresa serving poor in Kolkata out of humanity.
 Oxygen Langar during Covid-19.
 Professionally – as professional ethics, work culture, corporate governance. Doing your work to the best of your
abilities is broadly professional ethics. Working wholeheartedly. Protestant ethics guides towards hard work.
o Example
 Teacher – ethic to provide good and practical education – Anand Kumar (Super30).
 Students – should be morally upright and be eager to learn – take up challenges in society and
make society better place to live – e.g. Arjun
 Civil servant – work in spirit of public welfare and within law – Pame Armstrong (People’s road),
E Shreedharan (Metro man of India, visionary).

It is easy to define what is not ethical

 Example, habit that harms us, or our surroundings or pull us back in becoming better individual in life is unethical
o Dishonesty leading to professional loss.
o Laziness/cowardliness preventing us from exploring new ventures/virtues.

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Determinants of Ethics in Human Actions

 Individual personality traits – value system (preference), conscience, rationality, experiences, upbringing,
education, religious beliefs, etc.
 Emotion: rationality without emotion is ‘human-less-ness’, it is emotions that differentiate humans from
machine/computer. Emotions are guide to our ethical actions. E.g. compassion.
 Family – observation of activities, setting normality of action, inculcation of values.
 Society/culture/country/religions – social sanctions and influence – customs and traditions.
 Role models – family elders, religious leaders, mythological characters (Ram), philosophers.
 Circumstances and intention behind the action. E.g. breaking traffic rules in emergency; tribal animal sacrifice.
 Laws – based on human wisdom without emotions (Aristotle), but can be immoral. E.g. laws in colonial India like
the salt laws curbing minimum living requirements, Press Acts/Rawlatt act – curbing basic freedom. Laws like
PRANAM (Assam), Forest Act etc are ethical.
 Organization/industry – code of practice (written or otherwise) and values/belief of the organization/industry an
individual works for. Example: courage expected for IPS.
 Different people/professions have given emphasis on different qualities. Example.
o Sports person/soldiers find discipline amongst most important ethical virtues.
o Students/scientist – Curiosity, innovation, authenticity etc. are given high place.
o Lawyer – aims should be aid to justice, willfully losing case is unethical.

Consequences of Ethics in human actions

 Individual
o Contentment/Happiness and mental/spiritual/psychological satisfaction
o Virtue (character) as per Aristotle.
o Prevents dissonance/conflict/dilemma or crisis of conscience.
o Helps in decision making and builds confidence in action.
 Personal relations
o Inter-personal development – building fidelity, strengthening bond.
o Promoting care and protection.
o Reciprocity of good actions – Kantian philosophy: treat others how you wish to be treated by them.
 Society
o Public good by harmony and tolerance.
o Leads to Summum Bonum (Good for all).
o Preservation of (fundamental/human) rights of individuals, dignity.
o Prevents hypocrisy.
o Justice and fairness to all, especially for weaker sections. E.g. voice against casteism.
 Governance
o Stability in law and public order are a result of ethics.
o Promotes trust in government.
o Reduces corruption, improves efficiency in work, social relations.
o Promotes participative governance.
 Environment
o Ecological protection, sustainability and climate change.

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 o View animals with intrinsic values.
 Corporates Ethics
o Higher customer trust and brand value.
o Improved work culture.
o Better profits, economy, efficiency, effectiveness.
 Constitutional Values
o Abiding by law and constitutional morality.
o Upholding equality, fraternity, freedom, justice.
 Examples
o Doctors do not write unnecessary medicine – prevent multi-drug resistance.
o Berners-Lee did not patent internet – benefit to remotest corner of the world.
o Bill-Milinda Gates foundation – helping development/health reach to poorest of people.

Dimensions of Ethics

 Descriptive Ethics – exploring existing ethical conditions. Study of people’s action and value system, empirical
investigation of moral belief of various groups in society.
 Normative Ethics – delve into what we ought to do – involve arriving at moral standards that regulate right or
wrong conduct.
“It is important to know how we ought to live” – Socrates
“Knowledge is virtue, permanent source of happiness.” – Socrates
Types of Normative Ethics:
o Virtue ethics – action for building character, leads of happiness. Doing how a virtuous person would do
– Aristotle’s Rule of Golden Mean – “one should not sacrifice good for the sake of the best”; Aristotle’s
Theory of potentiality to actuality – virtues can be learnt.
o Deontological ethics – rightness of the action decided on the actions themselves and intention/motive/
duty behind them, rather than consequences produced. – advocated by Immanuel Kant. – “No man ought
to be treated as means, but end in itself.” [closing]
 E.g. AFSPA law for national security, lying is wrong in ever circumstance.
o Consequentialism – result based ethics – advocated by Jeremy Bentham. 4-types: Ethical egoism (good
of self), Ethical altruism (good of all except self), Utilitarianism (good of all), Hedonism (good of most,
felicific calculus).
 E.g. Killing a mass murderer
o Contextualism – rightness of an action decided as per situation they are done in.
 E.g. Overlooking traffic rules in case of medical emergency.
o Bhagwat Gita’s Nishkam Karma Yoga – action without motive – Dharma philosophy.
o Supernaturalism – God is only source of ethics, actions as per desire of God.
 Meta Ethics – delving into fundamentals, like what is “right” – study of the origin of concept. Meta means about
the thigs itself. Deals with definition of right and wrong.
o Metaphysical issues concerning what is morality and whether morality exist independently of humans.
o Psychological issues concerning the underlying mental basis of our moral judgement and conduct.
 Applied Ethics – use of knowledge of moral principles to resolve dilemmas
o Bio-ethics/medical-ethics – abortions issues, stem-cell research, cloning, euthanasia, clinical trials,
suicides, genome editing.
o Environmental-ethics – Anthropocentric (Human related), Eco-centric (Nature related), Animal ethics
(“Animal life is an end in itself, it is not subordinate to interest of man” – Animals have intrinsic value).

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 o Climate-ethics – use terms like “Ecological justice”, “Environmental justice” – others pay for unsustainable
development of rich and prosperous.
 “Greatest threat to our planet is the belief that someone else will save it” – Robert Swan
[environment, peace, joint action].
 E.g. Save fuel by efficient driving, switching off engine at halts; save trees by reducing wastage of
papers, reuse of papers.
 Treeman of India, Vishnueshwar Dutt – more than 50 lakh trees in Gharwal. Shyam Sundar Jyani,
Rajasthan – Familial Forestry.
 Sikkim fraternity law with trees.
 Odd-even law, banning firecrackers in Delhi to prevent pollution.
 Development against ecology – Vedanta in Odisha, reacted by tribal agitation.
o Professional ethics – duty-based action, following organizational morals.
 Professional duty of reporter to photograph victim at accident spot, personal conscience to help
victim relief -> balance both.
 Doctors on treating terrorists (profession vs security).
 Doctors on strike, starting from WB, unethical to go off-duty – Hippocratic Oath.

Note:
Doctrine of double effect – something morally good also has a morally bad side-effect – morally
correct actions are those where side-effects do not overwhelm benefits.
 E.g. Euthanasia reliefs person in distress, but questions professional ethics of doc.
 E.g. Cases of complicated pregnancy where only one life can be saved.

 Ethical decisions can be made at a variety of levels, ranging from the individual to the societal and even the
transnational, including professional.
 The various dimensions in which one could think is given with an illustration. For example, take the simple
question of why a police officer should do his duty to protect common people from thieves
o Professional – Duty dimension: It is the duty to protect.
o Individual – Responsibility dimension: not acting would be abdication of responsibility.
o Other’s relation – citizen rights: It is the right of the people to be protected by the state.
o Society – Common good: lead to common good of the people and country can prosper.
o Governance – Legal dimension: a thieve should be punished to maintain law and order.
o Utilitarian dimension: maximum number would benefit.
o Deontological – Principles dimension: thievery is unethical and should be punished.
o Justice dimension: this would lead to justice of wrongs done by thief.

Ethics in private and public relationships

Q) Are virtues in private relationships and those in public relationships different?

Personal ethics Professional ethics

Govern the behavior in personal sphere, i.e. within Governs behaviors in professional life, i.e. school,
four walls of home or domestic life. offices, public interaction.
Higher role of conscience. Both conscience and external regulation play role.
Brings out true personality/attitude of a person. Guise of professional manner and conscious of
constant surveillance in present.
Learnt at early stage of life, primarily fundamental Learnt at later stage of life, shaped on personal
base for core values. ethics. May or may not be aligned to core values.

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 Builds strong attitude.
Have important implications on professional
ethics.
Basis of religion, culture, family values.
Personal ethics include values like love, empathy,
etc.
Compulsory and forced on all. But different for all.
Brings mental peace, individual satisfaction.
Make individuals a better human. Inward looking.
May build ambivalent attitude.
Minutely affect personal behavior.
Based on law, organizational values etc.
More important values are objectivity, leadership,
accountability, efficiency etc.
Can be replaced. But same for similar people.
Brings professional efficiency, social order.
Make a better employee. Outward looking.

However, it is impossible to maintain a clear and precise distinction between social ethics and personal (individual) ethics.
Both have overlapping values, and implication over each other. E.g. trust, integrity, compassion.

Ethics in Private relationships

Principles important for domestic sphere.

For an individual, as single unit –

 Contentment/Elated – happy of one’s action/life – helps in mental stability and peace. “For every minute of
angriness, you lose 60 seconds of peace of mind.”
o E.g. Satisfaction in charity promotes donation.
o E.g. Abdul Kalam found happiness in teaching even after being President of the nation.
 Fortitude/Courage/Confidence – to defend self and other, and venture into unknown reaching new heights of
progress. “You will never achieve anything in this world without courage.” – Aristotle. “No task is bigger than
human courage, defeated are those who did not fight.” – Vivekanada. “When going gets tough, the tough gets
going” [motivation]
o E.g. Managing familial crisis with courage, to ensure stable home.
o E.g.: Sharda Prasad Pandey (IRS) raided house of local MP who and stronghold there.
 Honesty, Integrity – helps keep a person just. Veracity – one should always tell truth.
“You can fool some people sometime but not all people all the time” -Bob Marley
“Success without integrity is a failure.” [conclusion].
o E.g.: Once I got a wallet with ₹4000 on the road, overcoming temptation, I returned it.
o E.g.: High integrity of Ashok Khemka (IAS) won him public respect, and unearthed Haryana land
misappropriation.
 Eagerness/Keenness/curious – finding new things and extending horizons of one’s own knowledge.
“Curiosity is the engine of achievement” – Ken Robinson
o E.g.: as a school student, I learnt about science out of interest, and not for marks.
 Consistency/Determinism/Longevity – following ethical path throughout life as a matter of character.
o E.g.: Daily practice of Kathak for years helped me bag state excellence award.
 Enthusiasm/zeal – desire to complete one’s targets, faith of fulfilment of job, sense of
achievement/accomplishment (dopamine effect).
“Pleasure in the job puts perfection in the work.” – Aristotle.
“Wherever you go, go with all your heart.” – Confucius.
o E.g.: Enthusiasm made me look my dissertation project as fun activity, leading to medal.
 Others: Motivated, Synergized.

In terms with relation to others – “Relationships never die a natural death. They are murdered by attitude, behavior, ego,
or ignorance”

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  Kindness/Generous – willing to give/help – adds to more friends and social relations. “Service to man is service
to God.” – Vivekananda. “We make a living with what we get, but we make a life with what we give.” – Churchill
o E.g.: I used to give a part of my TA stipend to hostel’s fruit vendor’s son’s education.
o E.g.: Manoj Bhargav started Billions in Change movement to improve life of people
 Sympathy, Empathy, Compassion – understanding other’s pain, extending help. “Empathy is about finding echoes
of another person in yourself.” – Mohsin Hamid. “Compassion is a necessity not luxury” – Dalai Lama
o E.g.: A mother is always compassionate to her child, no matter at what age.
 Loving – caring for others
o E.g.: my mother’s love has always helped me overcome hard times.
 Emotional (Intelligence) & sentimental – understanding others position and pain, extending help. “For news of
the heart, ask the face.” — West African saying
o E.g.: My father always understood if I am in stress, even when I did not tell him, and helped me tackle the
issues in appropriate manner.
o E.g.: I as captain of sports team often counselled poor performing or new players after sensing their
disappointment.
 Obedient/Reliable – fulfilling promises – strengthening self-image and social bonds.
o E.g.: An obedient child makes a responsible and strong family member.
 Fidelity (keeping promises)/trustworthiness – helps stronger relationships and psychological support for others.
“If actions dissociate from speech, words would have no meaning.” – Arendt.
o E.g.: Relations between sibling is marked with keeping up promises.
 Gratitude – gratefulness to others – recognizing others contribution, building dependable.
o E.g.: I have always been grateful to my parents for giving me this life.
 Tolerance, temperance, calmness – considered decision making, and long-lasting relations. “Whatever is begun
in anger, ends in shame.” — Benjamin Franklin
o E.g.: Tolerance to differences is important to keep joint families together.
 Forgiving – ending hate and spreading love, helping others to learn, mental peace.
o E.g.: Parents often forgive mischief of their child, and guide them with love.
 Polite, Modest, Decent – increases acceptability in society, helps in psychological satisfaction. “Treat other as how
you wish to be treated by them” – Kant.
o E.g.: A politely spoken child grows up to become a sophisticated person.

Ethics in Public relationships

Principles important for domestic sphere.

For an individual, as single unit –

 Autonomy of thoughts and action – important for individual rationality. “The mind is everything. What you think
you become.” – Buddha
o E.g.: As sports secretary heading cricket team selection committee, many friends tried to influence me,
but I took decisions based on merit.
o E.g.: TN Seshan faced 5 transfers in a single day, but upheld own belief of right action.
 Situational awareness – reaching for best of a situation, avoids anxiety, protects in emergency.
o E.g.: as TA during 2015 Nepal earthquakes, I used Situational awareness to control panic.
o E.g.: In 2018 Thailand cave accident, the coach maintained students’ calmness by songs.
 Optimism – Looking at positive side of the situations, helps stay motivated and determined. “Those who wish to
sing, always find a song.”– Swedish Proverb; “Every problem has a gift for you in its hands.”– Richard Bach.
o E.g.: I as captain of football team, turned the game from 3:0 to 3:4 in second half.

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 o E.g.: scientist at ISRO astonished the world by reaching mars in maiden attempt, even under skepticism
from others.
 Impartiality/Neutrality in terms of gender, religion, caste, age etc. – makes a just person, expands learning.
“Impartiality is not neutrality, it is partiality for justice.” – Stanislaw Lec
o E.g.: As sports team selection committee head, I took objective criteria for selection, rather than obliging
my friends.
o E.g.: Raghuram Rajan is known to perform to best of capability in 2 different government.
 Practical/pragmatic – increases workability/efficiency of thoughts and task.
“You can’t go back and change the beginning,
but you can start where you are and change the ending.” – CS Lewis.
o E.g.: My school teacher of social science used life examples to teach.
o E.g.: Prashanth Nair took practical approach of public participation in his Compassionate Kozikode to help
people.
 Prudence – ability to govern and discipline oneself by the use of reason.
o E.g.: I as TA in college did not join strike, as it went against institutional means.
o E.g.: Ajay Shankar Pandey (IAS, UP) comes 10 minutes early to office to clean it.
 Others: Integrity, focused, professional ethics.

In terms with relation to others –

 Objectivity – taking fact based decision

o E.g.: NCB officer Sameer Wankhede taking action against Aryan Khan in drug case.
o E.g. Sharda Prasad Pandey raided residence of local strong hold MP, actualizing no one above law.
 Transparency – situation of not hiding anything, open to questioning.
o E.g. IAS U. Sagayam, TN – Staunch vocal against corruption, uploaded details of his assets on the district
website.
 Accountability – answerability to actions done or not done.
o E.g. Mr Suresh Prabhu resigned as Railway minister to take accountability of rail accidents.
 Philanthropist/Benevolence/Charity – Service attitude in public life
o E.g.: I once witnessed a serious road accident, I acted as good Samaritan to save lives.
o E.g.: S Shankaran (IAS) – took responsibility to education of more than 500 school children.
 Obedient/Reliable – fulfilling promises – strengthening self-image and social bonds.
o E.g.: As TA, I fulfilled my teaching duty, even if it meant missing sports session.
o E.g.: Patel followed Gandhi keeping aside a few personal differences.
 Fraternity/solidarity – identifying unity with others.
o E.g. IAS probationers sent to ‘Bharat Darshan’ – to inculcate oneness and patriotism.
 Tolerance, temperance, calmness – considered decision making, and long-lasting relations.
“Whatever is begun in anger, ends in shame.” — Benjamin Franklin
o E.g.: As TA in college, I often ignored mischievous students for their childish behavior.
o E.g.: Vajpayee was unanimously respected for his tolerance towards other parties/ideas.
 Forgiving – ending hate and spreading love, helping others to learn, mental peace.
o E.g.: My practice of forgiving other’s actions helped me prevent having enemies.
o E.g.: Gandhi promoted forgiving character, arguing to fight evil and not evil-doer.
 Just/Preserving dignity – of self and of others.
“Do what is right, not what is easy.”
o E.g.: I once returned excess fruits to a fruit vendor, who packed them by mistake.
o E.g.: S. Shankaran respected as People’s Collector, for his just behavior to all.
 Exemplary – setting examples for others
o E.g.: IAS Parameshwaran Iyer clearing manure pit to motivate villagers for composting.

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  Patriotism/Nationalism – Love for mother land, people
o E.g.: Military personnel ready for supreme sacrifice to protect the nation.
 Others: Compassion, Emotional Intelligence, Prudence, Value-pluralism, Action Orientation, Service Orientation,
Efficiency, Economy.

Values for society as a whole – stronger social fabric, peace and prosperity in society, sustainable develop.

 Unity – “Coming together is a beginning, keeping together is progress, working together is success”. “Vasuda-
iva-kutumbakam” (Maha Upnishad).
o E.g.: Sir Syed School, Muzaffarnagar celebrated both Eid and Diwali with same zeal.
o E.g.: Patel with his iron fist in velvet glove played pivotal role in unification of India.
 Cherishing diversity – “As biodiversity is important for ecology, cultural diversity is important for society”.
“Diversity of talent and thoughts add flavors to life”.
o E.g.: I have friends from almost all states and major cultures of India.
o E.g.: IAS probationers sent to ‘Bharat Darshan’ – to inculcate oneness, patriotism and compassion.
 Community ethics – ethical altruism; benefit of community before self. Opposite of Ethical egoism (self-benefit
before all). “Only a life lived for others is a life worthwhile” – Albert Einstein.
o E.g.: I practice following Gandhi’s Talisman to guide my actions.
o E.g.: Amit Kataria (IAS) is respected for efficient work, takes only ₹1/month as salary.
 Equality of all – “Sarve Bhavantu Kukhina”, “Sarva Sharma Sambhava”
o E.g. Mother Teresa’s services crossed religions, cultures, languages and regions.
o E.g.: Indian constitution secures equality to all.
 Social capital – strengthening trust and relations within society.
 Acceptance to value-pluralism, respecting multi-culturalism.
 Upholding constitutional values of – freedom, equality, fraternity, justice.

Human Values

 Human values guide us to take into account the human element when we interact with other human beings.
 Human values are values those are naturally imbibed into humans for the virtue of being born as humans. These
are values present in state of nature, and not dependent on institutions. E.g. respect for life.
 They are strong positive feelings for the human essence of the other and protecting human dignity.
 Characteristics of human values – universal, permanent, inalienable, individual, equal.
 They are beyond socio-political situations like religion, nationality, culture, and personal history.
 Non-maleficence – moral principle, one should refrain from harming others. “first, do no harm”.
 Common human values are as under:
o Brotherhood, friendship,
o Equality, empathy, compassion,
o Peace and love,
o Honesty, loyalty, fidelity,
o Fairness, justice and solidarity.

Lessons from the lives and teachings of great leaders, reformers and administrators

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  Administration is the process of working with and through others to accomplish the
agreed goals efficiently. Administrator is the one who is responsible for carrying out
this process, involved in planning, organizing, leading and controlling. Welfare
oriented, end is citizenry. Both include
 Management is also concerned with similar tasks such as planning, coordinating, planning, execution,
directing, defining objectives, supporting the work of others and evaluating delivery, monitoring
performance. Thus, a similarity exists between administration and management. work
Profit oriented, end is higher profit.
 Leadership is the exercise of high level conceptual skills and decisiveness. It is
envisioning mission, developing strategy, inspiring people and changing culture. Decision making,
“Leader knows the way, shows the way, goes the way”. inspiring people.
 Reformer– person who wants to improve the prevailing conditions in the society by
bringing reforms in any area of human activity e.g. Politics, social customs, religion. Changing prevailing
Discontent with status quo acts as driving force. social conditions

Difference between leaders and administrators

“An administrator does the things right, while a leader does the right thing.”

 Administrators are appointed. They have the legitimate/legal power base and can reward-punish. Their ability to
influence is founded upon the formal authority inherent to their positions. In contrast, leaders may either be
appointed or emerge from within group. Leaders can influence/appeal others to perform beyond the actions
dictated by formal authority.
 Leaders initiate new structures or procedures to achieve organizational goals or objectives, whereas
administrators use existing structures or procedures.

Human Values – lessons from:

Lives of great leaders

 Love for justice, human dignity

 Selflessness, altruistic, benevolence, people oriented working
 Respect for humanity Mahatma Gandhi
 Loving and caring behavior Mother Teresa
 Peace loving (non-violence) Nelson Mandela
 Compassion, prudent
 Courage, perseverance, determined
 Leadership, enjoys public trust, strong social skills

Lives of great administrators

 Selflessness, Honesty, Integrity

 Accountability
 Discipline, Objectivity Ashok Khemka
 Non-discrimination, Social Equality TN Sheshan
 Lawfulness, duty-bound
 Courage
Abhinandan Varthaman
 Patriotism
Ajit Doval
 Management, team-work

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  Solidarity and respect
 Constitutional idols

Lives of great reformers

 Dignity for all

 Humanism, individualism
 Reason and inquiry for seeking truth RRM Roy
 Kindness and compassion IC Vidhyasagar
 Contentment/satisfaction Jyotiba Phule
 Social equality, Service oriented
 Novelty

Role of family, society and educational institutions in inculcating values.

 Family – First social institution (informal), child observes parents/surroundings closely – forms basis of value
inculcation, aids intellectual growth in the child, has everlasting effects. Shapes individual values. Gives
understanding of standard behavior. Parents get first imprints on the minds of new born child.
o Stable family often lead to development of moral values. Broken homes are breeding ground for juvenile
delinquents and criminals, low self-confidence and low self-esteem.
o Paternalism – limiting liberty to prevent self-harm. Excessive paternalism is harmful as it prevents holistic
development of child.
o Parenting style – promoting questioning leads to curiosity and learning, giving responsibility shapes
leadership skills, rewarding honesty leads to integrity.
o Reinforcing stereotypes like patriarchy in heterogenous family, caste system.
o Reciprocating parent’s behavior shapes mind of child. Parent’s love appeals conscience of children.
o Joint Family teaches values like cooperation, fraternity, love, care, respect for weaker (sections).
o Nuclear families teach hard work, independence, courage, confidence.
o “A child misguided is a child lost” – Kennedy
 Society – Second social exposure, includes relatives, friends, teachers – performs act of “value shaping” over
values from family. Administrative morality is a part of society. It prepares social values.
o Learnt by conformity – tolerance, equity, fraternity, compassion, cooperation.
o Religion: ahimsa by Jainism, Buddhism; brotherhood from Islam and Christianity.
o Experience – own life and other’s life, cultural learning. Leaders serve as role models.
o Globalization influenced values: materialism, commercialization, westernization.
o Role of media, civil society like NGOs, Trusts etc.
 Educational institutions – first formal institution. Shapes professional values. Inculcate values like discipline,
honesty, and give rationality for decision making. Prepares human for future duty in different roles.
“To educate a man in mind and not in moral is to educate a menace to society”
“To destroy a nation, destroy its education system” – Gandhi
“Highest result of eduction is tolerance” – Helen Keller
“Education is the greatest weapon for development” - Nelson Mandela
o Educational institutions are those temples of democracy that build character of its future citizens,
impart knowledge to uphold foundational values of our constitution.
o Aims to development of human personality, pursuit of knowledge, preservation of culture, development
of character, social justice, scientific temper, rationalism.
o It leads to capacity building to realize true potential of people. Teachers act as role models.

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 o Innovative actions like Happiness curriculum (Delhi) help build stronger morals.
o India rolled out “Common Minimum Program for Value Education” to inculcate ethical values in students.
o Educational institutes teach critical thinking, scientific temperament, art of questioning, tolerance.
o Values inculcated like cooperation, perseverance (persistence), compassion, Solidarity/fraternity,
honesty, kindness, commitment, equity, patriotism, curiosity.
o Education should shift from “Examination, Employment, Enrolment” to “Emancipation, Enablement,
Empowerment”.
o Moral intelligence is just as important as intellectual intelligence of the mind.
 Higher institutions – after education, to prevent wrong doing and maintain moral behavior.
o Professional institutions
o Government bodies (legislature, executives, udiciary)
o Constitution as source of value: equality, justice, fraternity, scientific temper etc.
o Global institutions like UNHRC, UNICEF, NGOs etc.

Six stages of moral development by Lawrence Kohlberg:

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Attitude

 Attitude is predisposition (settled way of thinking) to respond in a particular manner against external stimulus
object, person or situation.
 Predisposition can be positive, negative, neutral or ambiguous.
 Example of Attitude –
o Never-say-die attitude of Sanket Sagar during Common Wealth Games 2022 helped him secure silver
medal in weightlifting even after injury.
o Bad attitude of Raavan, achieved him little even after immense capacity.
 Balance positive attitude with reality and past experiences. Do not let optimism become overconfidence.
 Positive attitude needs internal locus of control. Confidence needs internal locus of affirmation.
 Attitude controls application of one’s ability.

Positive Attitude Negative Attitude

Observed through a cheerful personality Observed through behaviours such as poor body
language, choice of words spoken,
Optimism, looking at the bright side of life Starts from negative thoughts → negative
behavior → negative attitude
Solution oriented approach See problems in solutions
Maintain calm in face of crisis, lead from font, Lose cool in case of crisis, blame game, pull others
emerge bigger at the end of crisis. down, procrastinate, avoid difficult situations.

Quotes on attitude

“People may hear your words, but they feel your attitude.” – J.C.Maxwell

“Attitude is a little thing that makes a big difference.” – Winston Churchill

“Bad attitude is like a flat tire, it takes you nowhere.”

“Our mind is a garden, thoughts are seeds. We can grow into it flowers or weeds.”

“You can’t go back and change the beginning,

but you can start where you are and change the ending.” – CS Lewis.

“Your attitude, not your aptitude, will determine your altitude.” – Zig Ziglar

“Life is 10% of what happens to you and 90% of how you react to it.”

“Aptitude without Attitude is Blind;

Attitude without Aptitude is Lame.” ― Richard Marcel I.

Structure

 Structure/Components of Attitude – CAB Model

o Cognitive – reaction based on intellectual function. How we think about something, based on our
learning, knowledge, beliefs, ideas and thoughts. A person can find reason for his attitude.

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  E.g. If we think honesty is rewarded with recognition, we tend to tell the truth.
 E.g. I like Honda cars because they give 20 kmpl mileage on petrol.
o Affective – reaction based on sentiments. Gradually, actions based on
intellectual function acquire sentimental value. How we feel or emotionally
respond about something. Very strong is nature.
 E.g. Patriotism comes naturally due to love for the mother land.
 E.g. I like Honda cars as it has been for decades in my family.
o Behavioral – reaction taking outward manifestation. Tendency to act in a certain way in certain
circumstances. (exception cases of Cognitive Dissonance)
 E.g. Darkness is often associated with fear, anxiety and threat, even when we know its empty.
 E.g. I bought Honda car over others due to favorable past experience.
 Categories of attitude
o Explicit – result of conscious cognition – person aware of one’s attitude and is able to control his behavior
(self-reported attitude). The person is self-aware and self-regulated.
o Implicit – result of unconscious reaction – person unaware of one’s attitude/beliefs, largely influenced by
experiences – more accessible (repeatedly done, observable). It is reflective in nature.
 Features/Characters of Attitude
o Strength – magnitude of how strong the attitude is – certainty, intensity, extremity, personal importance.
 E.g. Fans of Rajnikanth often exhibit strong attitude, to a level of fighting over his name.
o Accessibility – ease with which attitudes can be recovered from memory. More accessible attitude is
more predictive of behavior, how we react in a similar situation.
 E.g. Standing for national anthem.
o Ambivalence – state of not having a strong attitude, either for or against. This position is easy to sway,
by external persuasion.
 E.g. Sway voters have ambivalent political attitude.
 Formation of Attitude
o Conscience, learning, experience, emotions.
o Social institutions – Family, Friends, School/office, spiritual guides.
o Conditioning
 Classical or Pavlov Conditioning – associating similar results with repeated conditions, and
thereby creating stereotypical reaction. Through classical conditioning, people may have
powerful attitudinal even in absence of firsthand experience.
 E.g. Behavior related to caste, gender with color (pink and blue).
 Instrumental or Operant Conditioning – Reward/punishment to reinforce positive outcome
behaviors and suppress negative ones.
 E.g. Dogs trained with dog whistles.
o Observational Learning – acquire new behavior by observing behavior of others.
 Social Observation – social learning from our surroundings, family, friends, media etc.
Observation determines the response learned, e.g. children learn shouting scolding, from parents
 Social Comparison – compare oneself with others. When compare with others whom we deem
superior: upward social comparison; whom we deem inferior: downward comparison;
 Theories on changing attitude:
o Theory of influence/persuasion, in two ways –
 Reason based – strength of argument. Motivate people to think and change attitude.
 Identity based – strength of speaker. Indulgence by characteristics of speaker, leading to
temporary changes.
o Dissonance Theory – react differently from their attitude for social acceptance.
o Nudge technique

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Function

“Watch your thoughts, they become words; Watch your words, they become actions;
Watch your actions, they become habits; Watch your habits, they become character;
Watch your character, for it becomes your destiny.” – Buddha

Daniel Katz classified attitudes based on their functions

 Social identity function – attitude for person impression.

o E.g. Attitude of compassion makes identity of a helping person.
 Utilitarian/Instrumental – reading and using attitude to regulate behavior. It helps predict behavior.
o E.g. People generally do not favor tax evasion due to associated punishments – attitude of abiding law to
avoid punishment.
 Knowledge function – knowing one’s and other’s attitude provides a frame of reference for organizing our
understanding of the world so that it makes sense.
o E.g. – striving for equality, sanitation, health; religious attitude makes us go to temple.
 Ego-defensive function – hide self. Some attitudes protect us from acknowledging basic truths about ourselves
or the harsh realities of life – help cope with emotional crisis and protect self-esteem.
o E.g. – One may not be very good at playing football, but protect self-respect by saying they don’t like
football.
 Ego-expressive function – Value expressive function, show what are our basic values, what we stand for –
demonstrates one’s value system to others.
o E.g. – I like to blue color, I tend to purchase blue clothes more.

Its influence and relation with thought and behavior

Thoughts are abstract mental construct in our brain to stimulus; Attitude is predisposition towards a stimulus; Behavior
is outward manifestation of attitude.

“Our deeds determine us, as much as we determine our deeds.”

 Attitude = Behaviour: Specificity

o Level of attitude-behavior specificity – the extent to which
attitude and behavior are complementary in a situation. Attitudes
can predict behavior if there is high level of specificity.
o Psychologists have found that there would be consistency
between attitudes and behaviour when:
 High attitude strength – stronger the attitude, more
predictable is behavior
 High attitude accessibility – more accessible predisposition can be spontaneously and
automatically guide our behavior without us being necessarily aware of them.
 There is very little or no external pressure on the person to behave in a particular way. For
example, when there is no group pressure, no fear of judgment.
 The person’s behaviour is not being watched or evaluated by others.
 The person thinks that the behaviour would have a positive consequence, and therefore,
intends to engage in that behaviour.

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 o With high specificity in attitude and behaviour, actions of a person become more predictable, person
is seen as reliable.
Note: Persons with high integrity usually show a direct relation between attitude and behaviour.
 Attitude ≠ Behaviour: Cognitive Dissonance
o It is a state when behavior is contrary to attitude. It happens when there is a difference between internal
values (attitude), and outward manifestation (behavior).
o High cognitive function and strong role of external factors.
o Mostly due to reasons like professional conduct, social acceptance, fear of punishment, high empathy.
o State of psychological stress/discomfort, Reaction → (1) modify behaviour (2) downplay (3) self-
consolation. People dislike cognitive dissonance, as it is an experience of distress due to confliction belief
and action.
o Cognitive dissonance is influence by:
 Self-awareness – higher the self-control over actions, higher is the dissonance.
 True vs expressed attitude – differ, as former is absolute, latter is contextual.
 Characters of Attitude – low strength and high ambivalence increases dissonance.
o Examples
 Patriarchal mindset subordinate office reporting to a woman IAS officer.
 Richard La Pierra’s experiment – Chinese couple asked to travel across America and stay in hotels.
They were readily given accommodation in almost all. La Pierra send out letter to hotels asking if
they would give accommodation to Chinese, 91% hotels declined to give accommodation to
Chinese couple.
 Aung San Suu Kyi – Nobel peace prize winner, behavior of apathy against Rohingya.

“Actions should represent thought,

otherwise thoughts would have no meaning.”
One instance vs aggregate – relation between attitude and behavior becomes more apparent when we look at a person’s
aggregate or average actions rather than at an individual act. Repeated actions are formed by high accessibility.

Moral and political attitudes

 Moral Attitude
o Morality based attitude, attitude about any moral issue, like premarital sex, pornography, prostitution,
dance bars, euthanasia, abortion etc. where society usually debates on what is right or wrong.
o Moral attitudes include judgements of right or wrong on moral issues – person’s morality is reflected in
attitude/behavior.
o Big differences exist in what people describe as good or bad at cultural, individual and situational level.
o They are personal and subjective. They are strong and deep seated in mind, difficult to chance.
o These are more accessible, has high strength.
 Political Attitude
o Attitudes towards political/public considerations – political ideology (left to right), political candidates,
political issues (like reservation, IR issues), political parties and political institutions, sentiments/emotions
(death on Indira Gandhi brought landslide win to Rajiv Gandhi), Religion/caste/regionalism (identity
politics), Cognition or pragmatism.
o Political attitude can be studied of – citizens, politicians/parties, administration, civil society.
o Two types-
 Towards politics → alert, inert, positive, negative; attitude towards political person, party,
ideology/activities; participation in political activities.

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  In-politics → political spectrum like, left wing: radical change, socialist, revolution; right wing:
conservative, no changers, glorify the past, reactionary.
o Determined by
 Family,
 Economic status,
 Caste,
 Community,
 National ideology,
 Demography etc.
o Political attitude impacts:
 Electoral Behavior
 Voting Participation
 Pollical Deliberations.
 Political inclination
 Enrichment/participation in democracy
 Attitude towards state institutes.
o Certain personality traits influence our political leaning and orientation.
 Agreeableness – gullibility, tender-mindedness, trust and modesty.
 Conscientiousness – socially prescribed impulse control that facilitates task and goal directed
behavior, such as thinking before acting, delaying gratification, following norms and rules,
organizing and planning tasks.
 Emotional stability – even temperedness.
 Openness to experience – breadth, depth, originality and complexity of an individual’s mental
and experiential life.
 Feeling of belongingness to society – higher the sense, enthusiastic the attitude.
 Extroversion – enthusiasm to participate in social life.
First 4/6 are expected to influence our political ideology. The only exception is extroversion, which is
expected to influence political participation but not ideology.
 Scientific Attitude –
o Attitude of objective rationality based on scientific evidences.
o Provided for in Constitution → Art 51A(h) = desirable for all citizens
o Necessary traits (i) critical thinking (ii) curiosity (iii) intellectual honesty (iv) open mindedness (v)
skepticism (vi) objectivity (vii) perseverance & patience.
o Not accepting anything without proof, evidence-based belief system.
o Willingness to change based on new evidence.

Social influence and Persuasion

 Social psychology – scientific study of people’s behavior and mental processes under the real or imagined
presence of others. Emphasizes that human behavior is a function of both the person (internal) and the situation
(external). The study of social influence lies at the very heart of social psychology.
 Social norms – group held beliefs about how members should behave in a given context.

Social influence

 Social influence – impact which an individual or a group has on the attitudes, values, beliefs, feelings, and
behavior of a person or a group. It can be implicit or explicit in nature.

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 o E.g. Gandhi’s influence motivated people for non-violent struggle.
 Types of social influence
o Normative influence – going along with the crowd for social accepted. Crowd tells what ought to be.
 Asch’s classical study – concluded that people would rather make wrong decisions than to suffer
social rejections.
o Informative influence – crowd is always right, crowd actions are rationally formed. Seen in 2-types of
situations:
 Ambiguous situation – when people do not know what to do.
 Crisis situation – when people do not have the time to think what to do.
 Forms of acceptance by individual under social influence:
o Internalize – Behaviour change in social norms with full agreement from inside.
o Compliance – Behaviour change in response to an explicit request, but agree superficially. Obedience is
compliance under direct order, even against will. Enforced by fear of punishment.
o Identify – Identify and copy with an influential person or idol as source of credibility in decision.

Persuasion

 Persuasion refers to an active attempt to change another person’s attitudes, beliefs, or feelings, usually via some
form of communication. Persuasion is one form of social influence.
o E.g. Krishna persuaded Arjun to fight against cousins for Dharma.
 Aristotle’s model: Persuasion contains three key rhetorical elements:
o Ethos – ethical appeal – based on trust or authority of the persuader.
o Pathos – emotional appeal – based on appeal to emotions and belief.
o Logos – logical appeal – based on appeal to logic and reasoning.
 Two important bases of persuasion:
o Source Credibility: expert in their domain, credibility on knowledge.
o Source Likability: identifiable, likable, popular figure, e.g. Amitabh Bachchan for SBM.

Persuasion Manipulation Propaganda

Open Communication done with the Manipulation includes changing It is an organized attempt to
view that recipient “voluntarily” opinion without the receiver realizing influence and mold one’s ideology to
accepts the position as if it were his it. It includes convincing the person meet the goals of the propagandist.
own. that he/she has no choice.
Persuasion is done with the intent to It is done with an ulterior motive, for It is done to spread the adoption of
establish the truth of a proposition some vested interest or to conceal an idea regardless of its truth value
the lack of benefit
It has positive or neutral connotation. Manipulation denotes a negative Has strong ideological bent.
It is not a pejorative term. connotation Generally done by state/authority.

Factors of social influence/persuasion:

 Reciprocity – people give back what another has given to them. [quote Kant]
 Commitment – people when having decided upon something, they will do whatever they can to remain to that
point of view.
 Social proof – people often decide what to do by looking at what others have done. Uncertain people (ambivalent
attitude) can be influenced easily.
 Liking – physical attractiveness, similarity, praise, contact and association.
 Authority – recognizing authority of society in one’s life.
 Attitude ambivalence – weak attitude is easy to change.

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Tools for influence/persuasion

 Aristotle’s model – Ethos, Pathos, Logos.

 Nudge Tools –
o Foot in food technique – small request followed by bigger request. E.g. INM: Indians dominion to Purna
swaraj
o Door in the face technique – large request followed by actual/small request. E.g. asking for money.
 Credibility – reputation on knowledge, skills , expertise of the speaker. More likely to succeed. E.g. Doctor’s
consultation.
 Acquaintance – more likely to be persuaded by known person. E.g. Network Marketing.
 Scarcity – value inversely proportional to availability. E.g. Limited edition cars.
 Social validation – based on proof that many other people backed a certain activity. E.g. eComm reviews.

Resisting social influence/persuasion

 Boomerang effect – theory of psychological reactance – strong persuasion attempts more stronger belief against
persuasion.
 Attitude inoculation/vaccination – people exposed to counter arguments have more resistance to the persuasion.
 Forewarned – when people perceive threat from persuasion, they experience psychological reactance that
motivates them to give counter arguments. E.g. peer pressure on adolescent for smoking.
 Stockpile – a person with physical, cognitive or social resources (ability to defend) is more likely to resist
persuasion. (Healthy, well-read person). E.g. highly educated person denying superstition.
 Defenses against influence – if we are aware of various social influence techniques and perceive them as tricks to
persuade us, we can resist them better.
 Attitude character – high strength, high accessibility, low ambivalence.

Attitude for Good Governance

“Excessive governance is monarchy in name of democracy”

 Government – institutional arrangement of exercising the sovereign power for the serving the internal and
external interests of the political community.
 Governance – WB defines it as the way power is exercised in the management of a country’s resources –
economic, human and social – for maintenance and developmental functions. 2nd ARC gives outcome-output
model of governance.
o E.g. government manages the mineral resource and auctions them from time to time.
 PM Modi on 2017 Independence Day speech – Dump “chalta hai” attitude and accept “badal sakta h” attitude.

Attitude for Civil Servants

 Bureaucratic Attitude
o Bureaucratic Attitude exhibited by public servants in govt. organizations. Seen as associated with
slowness, top-down, rule-obsessed, apathetic, irresponsive, suffer from red-tapism. Based on one size fits
all, lack of accountability to people, accountability to team hierarchy. Decisions taken at the top, fail to
address ground level problems.
 Negative Attitude for Civil Servants
o Negative attitude develops because - lack of objective/ scientific appraisal system; political pressure and
often vendetta; work -life balance; risk of “anything can happen, if you do something, and nothing will
happen if you do nothing”

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 o Suggestions → objective appraisal system; appreciation and acknowledgement for work contribution;
incentivizing performance and penalizing non - performance; mid-career training; approach should
change from personnel administration to human resources management;
 Democratic Attitude
o Based on participation of people, focus on involving relevant stake holders. Bottom up approach, public
offices act accountable to people. Tend to be more empathetic and responsive. Approach of consensus,
transparency and people centrality.

Attitude for Good Governance

 “Good” as prefix to governance, adds a value dimension, which includes both means and ends oriented values
in governance like efficiency, transparency, justice, liberty and equality.
o E.g. Online auctioning helps in maintaining transparency and fighting corruption.
 Good governance is inherently ethical in nature, as it gives due regards to various values.
 According to 2nd ARC (12th Report), Good governance has Four elements-
o transparency,
o accountability,
o predictability, and
o participation.
 2 ARC (12th Report) also identifies Four pillars of Good Governance:
nd

 UNDP identifies Eight characteristics of Good Governance:

 Without good governance, no number of developmental schemes can improve the quality of life of the citizens.
“It is not the size of government but quality of governance that matters.”

Governance Issues in India

Some factors attributable to poor governance are:

 Historical issues:
o Adoption of colonial administrative structure, legacy of corruption in colonial government.
o Strong social identity as political factor.
 Political Issues:
o Criminalization of Politics

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 o Misuse of political power
o Less decentralization in spirit
 Legal and Judicial issues
o Delayed justice, issue of under trials
o Lack of accountability in Judiciary
o Threat to life and personal security
 Administrative issues
o Lack of sensitivity, transparency and accountability in the working of State machinery
o Bureaucratic Delays
o Resistance to changes which promote transparency and accountability
o Corruption
 Economic issues
o Poor management of economy
o Persisting fiscal imbalances
o Regional disparities
 Social and Environmental issues
o Denial of basic services to a substantial proportion of the population
o Marginalisation and exclusion of people on account of social, religious, caste and gender affiliation
o Existence of a significant number of voiceless poor with little opportunity for participation in governance;
o Deterioration of physical environment, particularly in urban areas.

Administration vis-à-vis public

 Perception, orientation and attitude of the public and administrator play a significant role in governance.
 The administration is expected to act as an agent of social change and motivates people for active participation
in governance.
 Public is expected to actively participate in state’s activity, follow duties as citizen, maintain law.
 Public administration in a democracy must be based on public consent and support. People will respect the
administration only when it responds to the aspirations of the people.
 Administration is a 2-way process- people’s mind (aspiration) must be known to the administration and at the
same time, administrators’ efforts must be actively supported by the people.
 India’s bureaucracy-mass relation shows wide cultural gap – Indian bureaucracy by and large is urban middle
class, while it mainly deals with the rural masses who are often illiterates.
 The ‘administrators’ find the masses indifferent and masses view the administrators as apathetic and
disinterested in the developmental process.
o E.g. neglect of farmers distressed pushed them to suicide and forced them for marches like the Nasik to
Mumbai march.
 2nd ARC show that citizens hold bureaucracy in low esteem, inter-relationship lacks cordiality and mutual
understanding.
 Public attitude towards civil servants:
o Poor and underprivileged class – very high power-gap, civil servants seen as ‘masters’ of colonial era.
“Mai Baap” culture persists in various rural pockets. Seen as role model.
o Middle class – extremely vocal and disenchanted with civil servants. Strong perception of civil servant as
corrupt, working only in self-interest rather than public interest. Consider civil services as inefficient and
slow. Leading to problem of “Exit of middle class”.
o Upper class – money and resources to compete influence of civil servants. See civil servants in low
esteem. Sometimes involved in collusive corruption.

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Recommendations to improve Public and administration

 Prof CP Bhambri: apathetic attitude of the citizens needs to be changed and make them positive and participate
in the functioning of the administration. [Create linkages]
 Hota Committee “technology alone would not make the administration people friendly unless higher civil servants
have a proactive attitude and reach out to the common people. They must spend much more time in field visits,
inspections, tours and night halts in remote and rural areas.”
 Citizen participation – active citizenry, mechanisms like social audits, active media.

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Aptitude and foundational values for Civil Service

 Civil servants are like the 4th Lion of Ashok Stambha, not get seen, but are vital for governance.
 Sardar Patel considered bureaucracy as “steel frame” of India, Nehru considered bureaucracy as flag bearer of
modernity and development.
 Role of Civil Servants: Act as 2-way link between people and government, Leadership of society, Formation of
policy and law, Execution of law, Adjudication, Representatives of society, welfare of people etc.

Public service Values

 Values are essential components of organizational culture, like that of individual personality.
“Values are like an anchor in a ship, they hold integrity of a person in difficult times.”
 Public value is normative about what the government defends and promotes, and guides a civil servant on
judgment of action in public services or greater good of people.
 Public services act as binding glue of trust between the governed and governing.
 2nd ARC recommends establishing Public Service Value Code.
 In government, public values provide normative guide about different aspects of governance:
o Citizen’s rights and obligations.
o Administrator’s conduct and priority.
o Principles of government policy.
o Decision making for administrator.
 Sources of Public Service Values – constitution, laws, codes, convention, social norms, leadership etc.
 2nd ARC – in addition to the Constitutional values, Civil servant should include:
o Adherence to the highest standards of probity, integrity and conduct;
o Impartiality & non-partisanship;
o Objectivity;
o Commitment to the citizen’s concerns and public good;
o Empathy to the vulnerable and weaker section of the society.
 Public Service values inculcate character in publics servants, which enables them to perform duties with full
dedication. “Pleasure at work puts excellence into action” – Aristotle.
 For civil services, adherence to high level public service values can generate substantial public trust and
confidence.
 Public servant duties are increasingly becoming complex and contradictory – maintaining confidentiality and
openness; acting with objectivity, neutrality and empathy with weaker section; avoiding conflict of interest,
ensuring accountability to a range of stakeholders. There is a need to follow pluralist approach to deal with
complexity.
 Public Value Pluralism – different values and value orientations can co-exist in the society, all of which may be
equally valid, correct and fundamental. This is so because bureaucrats perform under different conditions, that
demand different value systems. Public administration is characterized by plurality of set of values.
o Value conflict should not be regarded as detrimental to an organization and learning to cope with such
conflict is part of good public management.

Aptitude

 Aptitude – competence/ability to do a certain task or learn new skill. It is a particular dimension of intelligence
(cognitive ability).
 Types of aptitude: Physical, Emotional, Moral, Mental (intellect), Social, Economic, Political etc.

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 o Note: Attitude is settled way of thinking/predisposition to respond in a particular manner.
 Aptitude is measured by IQ, Attitude is measured by EQ.
 Aptitude deals with competence, while attitude deals with the character and. Character is relatively permanent
whereas aptitude can be changed or developed.
 Relation between Aptitude and Attitude:

“Aptitude without Attitude is Blind;

Attitude without Aptitude is Lame.”
― Richard Marcel I.

 Aptitude and attitude usually go hand in hand, but there are exceptions. e.g. –
o A person has ability to do well in studies (aptitude), but is lazy/not interested (attitude).
o Administrator may be very good in problem solving (aptitude) but is apathetic (attitude).
o A student good in computer science (aptitude), involved in hacking (attitude).
o Spoilt rich child with taste for luxury life (attitude), but lacking skills to generate income (aptitude).
o Ravan had immense capability/aptitude, but suffered because of his attitude – volatile nature, and anger.
 A.R. Rehman has aptitude for Music, Virat Kohli has aptitude for cricket.
 Aptitude assessment tools: IQ test, cognitive aptitude test, psychometric test, simulation test, case-study solving,
knowledge test, observation.

Ethics in Public Administration

 “A great man is different from an eminent one in that he is ready to be the servant of the society.” – Ambedkar
 “There is a court higher that the court of judiciary, that is court of conscience” – Gandhi
 “No supervision from above can be effective as an internal control”
 Ethical qualities for a civil servant leads to:
o Mental peace, contentment, sense of purpose.
o Self-confidence, belief, upholding public values.
o Higher efficiency, coordination at work.
o Rule of law, morality of conduce, public dignity.
o Constitutionalism/upholding constitutional ideals, constitutional morality.
o Public trust, transparency, accountability.
o Ethical governance, no corruption.
o Leadership and exemplary behavior.
o Legitimacy to actions, participation of stake holders.

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Nolan Committee – 7 Principles of Public Life (IAS-HOLO)

 Integrity- work with high regards to values, rules, and independence from external and internal sources
influencing decision.
 Accountability – for their decisions and actions to the public and must submit themselves to whatever scrutiny is
appropriate for their office
 Selflessness – take decisions solely in terms of public interest, in spirit of altruism.
 Honesty – have no hidden ill intentions, perform duty at best of capability.
 Openness – about all decision and actions that they take. They should give reasons for their decisions and not
restrict information except for a wider public interest clearly demands. Have no unwanted secrecy.
 Leadership – should promote and support values and higher efficiency by leadership and example to show waty
to the community, bring social change.
 Objectivity – decision, public business choices on merit, not influences by non-merit factors.

Paul H. Appleby on attributes of a good administrator:

In his book ‘Public Administration for a Welfare State’, enlists attributes of a good administrator:

 Willingness to assume responsibility – with a sense of duty and not a sense of obligation.
 A steadily enlarging ability regular learning/training.
 Action oriented – doer rather than talker.
 A good listener – understand others position, problem, situation to fullest – needs Cognitive Empathy.
 Effective with people – communication, approachability, help.
 Capacity to use his institutional resources.
 Avoiding power or authority for own sake.
 Welcoming reports of troublesome things – accepting criticism.
 A good team-worker and initiator.

Catchy terms for Public Administration:

 3-C – methods to improve work efficiency in governance/policy-making:

o Communication
o Consultation
o Cooperation
 4-D – to improve work efficiency in structure:
o De-centralization
o De-bureaucratization
o Delegation (Assignment)
o Democratization
 3-E – governance work should target for:
o Efficiency
o Economy
o Effectiveness – to get the desired results

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Vohra Committee Report, 1993

 It studied the problem of the criminalization of politics and of the nexus among criminals,
politicians and bureaucrats in India. It pointed our following problems:
o Inadequacy of criminal justice system – delay, interim bails, lack of evidence, witness protection weak.
o Functioning of govt lawyers is grossly inadequate.
o Cost of contesting elections is a major factor leading to corruption – brings in money power.
o Nodal agency for coordinated action is inefficient – 5C: CAG, CVC, CBI, CIC, Courts.

Values for Public Administration

 Empathy and compassion – understanding others position and pain, extending helping hand.
o E.g.: Armstrong Pame contributed fund and labour to build a 100-km road connecting remote villages.
 Honesty, Integrity, Probity – helps keep a person just. “You can fool some people sometime but not all people all
the time” -Bob Marley. “Success without integrity is a failure.”
o E.g.: Ashok Khemka is respected to uphold his integrity even under regular transfers.
 Responsible/Accountable – adds to dependability, transparency, and probity.
o E.g.: Suresh Prabhu resigned as Railway Minister after railway accidents.
 Selflessness/Benevolence/Altruism/ Kindness – work for wellbeing of others, not just profit or self fulfilment.
“Praja Sukham, Sukhe Raja”. “Service to man is service to God” – Vivekananda
o E.g.: S Shankaran contributed towards education of 500 children.
 Openness/Transparency – builds trust, promotes justice.
o E.g.: U Sagayam (IAS, TN) published assets in public domain.
 Leadership/Team-spirit – to lead people to success, work in coordination with others. “Single wheel cannot turn
the chariot” – Kautilya in Saptang theory
o E.g.: IPS Chhaya Sharma showed exemplary sense of team-spirit during 2012 Delhi rape.
 Objective – follow rules and law for optimal working. “However high a person is, law is above them”.
o E.g. Sharda Prasad Pandey (IRS) raid residence of local stronghold MP.
 Impartial and non-partisan
o E.g.: Raghuram Rajan holds respect to have worked with equal efficiency in 2 government.
 Fortitude/Courage – to defend self and other, and venture into unknown reaching new heights of progress. “You
will never achieve anything in this world without courage.” – Aristotle. “No task is bigger than human courage,
defeated are those who did not fight.” – Vivekanada
o E.g.: Durgashakti Nagpal kept working against sand mafia even after threat warnings.
 Resilient/tough – helps to deal with adverse situations and difficult times.
o E.g.: TN Seshan strengthened election machinery, even under political pressure.
 Dexterity/Innovative/Cognizance/Intelligence/Excellence – skillful performance, better results.
o E.g.: Mission Kakatiya – Telangana addressing water issue by reviving traditional water storage system.
o E.g.: Bondicoot – robot to eliminate practice of manual scavenging.
 Diligence/Motivated – persistent work or effort, synergizing actions.
o E.g.: Ashok Khemka reputed to work with full energy, even after repeated transfers.
 Approachable/Friendly/Polite/ Responsive – respect in heart of people, assures assistance.
o E.g.: Saurabh Kumar started lunch with collector to promote direct student interaction for counselling.

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  Nationalism/Patriotism – a civil servant while performing his duties, keep in view the impact of the decision made
on nation’s strength and prestige.
o E.g.: Captain Abhinandan displayed high patriotism when he was captured by Pakistan.
 Visionary/Farsighted – motivated for reaching new heights.
o E.g.: E Shreedharan’s visionary leadership made Delhi metro a huge success.
 Perseverance/persistence/determination/devotion/dedication – improving efficiency in work. “The most
common form of Human stupidity is forgetting what one is trying to do.” – Nietzsche. “Devotion to duty is the
highest form of worship” – Swami Vivekananda.
o E.g.: Verghese Kurein dedicated his life-time towards success of white revolution in India.
 Practical/pragmatic/utilitarian /efficient/economic – increases workability/efficiency of thoughts and task. “You
can’t go back and change the beginning, but you can start where you are and change the ending.” – CS Lewis.
o E.g.: OP Chaudhari as Dhnatewada DM, pooled resources and converged various schemes to ensure
development in the region.
 Emotional intelligence – understand emotional reactions of self and others and act accordingly.
o E.g.: An officer in charge in case of disaster emergency should have high EI.
 Intellectual integrity – being true to one’s won thinking and values; avoiding “intellectual hypocrisy” or “Cognitive
dissonance”.
o E.g.: U Sagayam (IAS, TN) published assets in public domain.
 Gender sensitive
o E.g.: IPS Saroj Kumari on a self-made mission to instill confidence in children to fight against sexual
harassment.
 Optimism – Looking at positive side of the situations, helps stay motivated and determined. “Those who wish to
sing, always find a song.”– Swedish Proverb; “Every problem has a gift for you in its hands.”– Richard Bach.
o E.g.: Scientist at ISRO astonished the world by reaching mars in maiden attempt, even under skepticism
from others.
 Enthusiasm/zeal – desire to complete one’s targets, faith of fulfilment of job, sense of
achievement/accomplishment (dopamine effect). “Pleasure in the job puts perfection in the work.” – Aristotle.
“Wherever you go, go with all your heart.” – Confucius.
o E.g.: IAS Prashanth Nair – ‘Collector Bro’, popular for innovative initiative ‘Compassionate Kozhikode’
and ‘Compassionate Keralam’, Operation Sulaimani, Tere mere Beach Mein.
 Others: Punctual, Persuasive, Autonomy, Prudent(Cautious); Constitutional ideals of Justice, Equality, Liberty,
Fraternity.

Integrity

Honest – Veracity

 One who speaks truth, one who speaks his mind.

 Apart from its intrinsic value, honesty serves a utilitarian function as exchange of accurate information is the
basis of transparency, that leads to effective coordination and accountability.
 Civil servants should provide their unbiased and rational view to political bosses.

“You can fool some people sometime,

but not all people all the time” -Bob Marley

“It is easy to be successful, but difficult to be honest.”

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Integrity

 MoPT definition – “consistently behaves in an open, fair and transparent manner, honors one’s commitment and
works to uphold the public service values.”
 Integrity is coherence between thoughts, speech and action. It is virtue of high moral conduct. It also means
moral soundness in any situation, the character of uncorrupted virtues, uprightness, honesty and sincerity.
 Intellectual integrity – It means to be true to one’s own thinking and hold oneself to the same standards one
expects others to meet. It includes to honestly admit discrepancies and inconsistency in one’s own thought and
action. Intellectual Integrity prevents Intellectual Hypocrisy or Cognitive Dissonance.
 Integrity saves us from Moral turpitude or corruption. It also helps prevent Conflict of Commitment and Conflict
of Interest.
 Establishment & maintenance of integrity in public life require several elements:
Internal factors
o Strong Value system and conscience.
o Professionalism amongst officials.
External factors
o Social values that expect integrity from officials and politicians.
o Legislations – correct laws, and strict implementation of laws.
o Regulations and code of conduct – guiding behavior of public servants.
 Quotes on integrity

“Do what is right, not what is easy.”

“Success without integrity is a failure.”

“Integrity gives you real freedom, since you have nothing to hide.” – Zig Ziglar

“Be sure you put your feet in right place, then stand firm” – Abraham Lincoln.

“To be beautiful lotus, one has to rise about the surrounding mud.”

Conflict of Commitment – action based

 A situation where fulfilment of one commitment compromises with other commitment/s in life. Happens as
humans have a multi-dimensional life.
 E.g. Duty as an officer and duty as a family member.

Conflict of Interest – value based

 A situation where objectives in one role of life compromises with objectives in other role/s in life. Happens as
humans can have multiple interests at the same time, often coming in conflict with each other.
 E.g.
o Dayanidhi Maran was telecom minister, while he had his own channel ‘Sun TV’, thus major government
machinery was utilized for profit of ‘Sun TV’.
o Srinivasan was the owner of IPL team and also the BCCI chairman.
o A purchasing agent hires his brother-in-law, irrespective of quality, to provide vending services to the
company lunch areas.
 Avoiding situations which give rise to a conflict of interest needs values like integrity, objectivity, neutrality,
selflessness, courage. Some guidelines:
o Selflessness – no personal use of office, power
o Avoid being placed in a position of responsibility, when conflict of interest arises.

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 o Transfer work involving conflict of interest to some other person. E.g. System of recusal in courts.
o Declare conflict of interest to public authority in beginning itself – increases internal accountability.
o Have the courage and conviction to make and stand by the right decisions, even at significant personal
cost. Declare considerations to make merit based decision.
Example – Jaitley as Finance minister chose right path of not handling the Vodafone case, as he was earlier
advisor of Vodafone.
 Suggestion – amend Code of Conduct to make it mandatory to declare conflict of interest, and punish who are
hiding it. Further, recording considerations for decision in writing will make decisions more objective.

Impartiality

“Impartiality is not just neutrality, it is partiality for justice.” – Stanislaw Lec

 State of not being influence by non-merit/personal considerations. Acting solely according to merits of case and
serving public equally well and in the same spirit, without bias.
 Not discriminating anyone due to influence from relations in other sphere of life like religion, caste etc.
o E.g.: UPSC makes merit based selection of candidates.
 Exception – Civil Servants should work for upliftment of poor and weaker section: Constitutional value.
“Rashtra should not turn into Dhritrashtra”

Non-partisanship

 Political patronage – political support as reward to extended benefits and privileges to politicians.
 Partisanship – act of supporting a political party, person, cause or ideology.
 Non-partisanship – Not having a biasness towards a political party/ideology/group.
o Maintaining political neutrality, or absence of political biasness.
o Civil servant should give free and frank advice to the government impartially and without any political
consideration. Guided by Code of Conduct, in line with constitutional values.
o Political neutrality should not become sycophancy.
o Implementation of the decisions by the civil services faithfully whether such decisions were in
consonance with the advice or not, or in line with political ideology of public servant or not.
o E.g. Raghuram Rajan reputed to have efficiently worked under 2 different governments.
 Complete neutrality may not be required in public affairs. The administrator should act to maximize the public
interest. Public servants need to be dedicated to constitutional idols, courage to say no in case the government
decisions against constitution.
 Code of Conduct Rules for Political Neutrality
o Civil servant should not associate to any political party, activity
o Prevent any family member in taking part or subscribing in aid of or assisting in any other manner or
movement or activity which tend to directly/indirectly to be subversive of the Government as by law
established.
o No influence or taking part in elections.
o No direct or indirect support to political figure.
o No communication which –
 has the effect of an adverse criticism of any government policy or action.
 can embarrass the relations between Centre-State/Indian- foreign nation.

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 oThey are allowed to publish works of academic nature, and opinions, not hurting government of the day,
or influencing political cause.
 Case Study – “FORCE” document by 54 IRS officers on reviving India’s economcy after Covid-19 Lockdown.
 Issue for demand of “dedicated bureaucracy” by government, especially during Indira Gandhi. Bureaucracy
should be dedicated to public interest and constitution.
 Recently, 4 IAS quit office broadly due to lack of autonomy.

Objectivity

 “Lex Rex, not Rex Lex” – Rule of law rather than Rule of individual.
 Decisions and actions should be based on observable phenomenon, facts or evidences, & should not be
influenced by emotions, relationships, biases or personal prejudices.
 Rule of Law – Principle of governance in which all persons, institutions including the State itself, are accountable
to the laws that are publicly promulgated, equally enforced and independently adjudicated. “However high a
person is, law is above them” (constitutionalism)
 E.g. Modi on BJP Akash Vijayvargiya (MLA) – behavior unacceptable, arrogance will not be tolerated irrespective
of “whoever it may be, whoever’s son he may be”.
 E.g. Sameer Wankhade in Aryan Khan drug case.
 E.g. Sharda Prasad Pandey raided residence of local strong hold MP, actualizing no one above law.

“Objectivity is not just impartiality, it is partiality for justice.”

 Equality – everyone should be treated the same.

 Equity – individuals or groups should be treated according to their circumstances and requirements. Equity leads
to fairness. It recognizes that some people should overcome obstacles to access resources or opportunities in
equal manner as others.

Dedication to public service

“Pleasure in job puts perfection at work” - Aristotle

“Dedication to work id the highest form of worship” – Vivekananda

“Best way to find yourself is to lose yourself in service of others” – Gandhi

“A great man differs from an eminent one

in that he is ready to be the servant of the society.” – Ambedkar

“Hands that work are much glorified than lips that mummer”

 Dedication to public service means commitment to public good above all and working for it even in adverse
conditions. It includes element to emotional attachment and a sense of duty.
 Dedication to public service means integrating yourself with the idea of public good and public interest.
 E.g. IAS Poma Tudu, Odisha – travelled more than 2 hours in rugged terrain to hear grievances of tribal –
ensuring inclusive governance, bringing governance at doorsteps.
 IAS Amit Kataria – takes ₹1 as salary – working with sense of duty rather than for money.

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Empathy

Sympathy

 Situation when one feels sorry for another person’s condition, but don’t specifically understand what they are
feeling.

Empathy

 Ability to imagine oneself in another’s place and understand the other’s feelings, desires, ideas and actions.
 Directly dependent on ability to feel and understand own emotions/feelings and relate them with others – need
of high emotional intelligence, cognitive empathy – to know why someone is acting the way they are.
 To become empathetic to others, one needs emotional intelligence qualities of:
o Demonstrate active listening skills (asking probing questions, not interrupting).
o Recognize body language, facial expression, or tone of the voice to understand the unspoken message.
o Recognize unexpressed or poorly expressed thoughts, concerns and feelings.
o Pick up signals when others are not feeling comfortable and display consideration.
o Empathy is the cornerstone for moral and character development, essential for working towards
inclusiveness in society.

“Empathy is about finding echoes of another person in yourself.” – Mohsin Hamid

“Sympathy is stand still. Empathy fuels connections.”

Compassion

 Having empathy and an active desire to alleviate others suffering.

 Empathy is closely related to compassion, but empathy precedes compassion and is a pre-requisite for
compassion
 E.g. Sonu Sood during Covid Lockdown.

“Compassion is a necessity not luxury” – Dalai Lama

“Hands that work are much glorified than lips that mummer”

Tolerance

“I may disapprove of what you say. But I will defend to death your right to say it.” – Voltaire.

 Act of not silencing others even when one has capacity to do so. It is accommodative stance towards differences,
people having contrasting or contradictory view.
 Tolerance is finding harmony in difference. It is fair, objective and permissive attitude towards those whose
opinions, practices, race, religion, nationality etc. differ from one’s own; freedom from bigotry/intolerance.
 It is not reacting to differences, even when one has capacity to do so.
 It recognizes that human beings naturally diverse and equal in their appearance, situation, speech, behavior and
values, have the right to live in peace & to be as they are.
 Tolerance upholds human rights, pluralism, democracy, harmony, rule of law and multiculturalism.
 E.g. Christians guarded Muslims after New Zealand lone wolf attack. Sir Syed National School, a primary school
founded for Muzaffarnagar riot victims, celebrates Diwali & Eid with equal gusto.
 Philosophical backing – “Sarv Dharm Sambhav”, “Vasudha-iva Kutumbakam”, Unity in Diversity (Vivekananda).

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 “Beauty of nature is stitched by different colors”

“Never by hatred is hatred appeased but it is appeased by kindness” – Buddha

“Do not impose on others what you yourself do not desire” – Confucius

Compassion towards the weaker sections

 Compassion – Having empathy and an active desire to alleviate others suffering

 Why have compassion towards weaker section?
o Inclusive growth – society as weak as weakest link
o Sense of justice.
o Protecting human dignity.
o Equity principle.
 Compassionate person has:
o Has an active desire to alleviate other’s suffering.
o Helps others because he wants to, not because he has to.
o Show kindness without expecting anything in return.
o Recognizes and help others that are less fortunate than himself.
o Respect for human dignity, a sense of justice, belief in social duty.
 Compassion overwhelms selfish concerns and motivates altruistic behavior.
 Compassion towards weaker section for civil servant
o Natural desire to help. E.g. Sonu Sood; IAS SR Sankaran (500 student’s education), Mother Teresa.
o Kailash Satyarthi against child labour: compassion, altruism, dedicated to a cause.
o Constitutional ideals to support weaker sections (FR, DPSP A.41).
o Implementing affirmative actions in totality.
o Gandhi’s Talisman – “Whenever you are in doubt, recall the face of the poorest and the weakest man
whom you may have seen, and ask yourself, if the step you contemplate is going to be of any use to him.”

“You find yourself when you lose yourself in service of others” – Gandhi

“Service to man is service to God.” – Vivekananda

Guidance for a civil servant’s action:

 Uphold code of conduct.

 Uphold principles of constitution.
 Follow Buddha teaching of Dhamma (devotion to duty) and Anicca (Selflessness).
 Remember Gandhi Ji’s Talisman.
 Follow steps of great leaders, e.g. LB Shashtri, Abdul Kalam.
 Improve ethical work culture, Indian cultural values.
 Ethical philosophies – utilitarian, deontological etc.
 People centric actions (2nd ARC).

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Emotional intelligence

Concept

 Emotions – immediate, physiological response; not processed by the mind.

o Feelings – emotions, when processed by the mind; last longer than emotions; emotions are assigned
meaning.
o Mood – long lasting emotional state; less specific, less intense, more chronic.
 Intelligence – Cognitive ability of an individual to understand, learn new skills, acquire knowledge, process
information, react in a thoughtful manner.
 Emotional Intelligence – the art and science to regulate emotions of self and others.
 The term was coined my Mayers and Salovey. They gave Ability Model of EI, defined as ability of a person to
perceive, understand, manage and utilize emotions of self and others in a given situation to reach desired
results/avoid crisis.
 Petrides gave Trait Model of EI, EI not a matter of ability, but part of one’s personality.
 Daniel Goleman in 1999 gave Mixed Model of EI, she gave 5 components of EI:
o Self-awareness – core of EI, means understanding self. Understand own strength, weakness, attitude and
impact of same on others. E.g. Self-awareness helped Nelson Mandela in prison to remain psychologically
stable.
o Self-regulation – ability to exercise restrain or control. E.g. Gandhi upheld path of non-violence even in
difficult times.
o Empathy – ability to connect with others at emotional level. E.g. Mother Teresa selflessly worked for
people in destitute in Kolkata.
o Motivation – driven by inner ambition rather than external influence. E.g. MS Dhoni reputed to keep self
and team motivated during matches.
o Social skills – communication, persuasion, social intelligence. E.g. Armstrong Pame persuaded people to
contribute labor towards road.

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  E.g. US Navy, Jonson&Jonson were amongst first to incorporate emotional intelligence into work culture.
“For news of the heart, ask the face.” — West African saying
“1 minute of anger takes away 60 seconds of peace.”
“Whatever is begun in anger, ends in shame.” — Benjamin Franklin
 High on EI – emotionally stable, consistency in behavior, optimistic, compassionate, people’s person;
 Low in EI – not emotionally stable, inconsistent behavior;
 It is important for both personal and professional excellence. According to the Daniel Goleman, EI is largest single
determinant of success in work place.
 EI is pre-requisite for a civil servant as s/he is interface between people and work in critical situations like
disasters, crime, poverty etc. – and are responsible for maintaining trust with people.
 Civil Servant will catch the nerve of the people, as s/he will be aware of their feelings and solve problems
accordingly
 Thus, it is not IQ but EQ which will determine the effectiveness of job by being truly aware of human nature,
making EI an indispensable value.

Their utilities and application in administration and governance

“In dealing with people, we have to remember that we are dealing with creature
of emotions not creatures of logic.” – Dale Carnegie

Utility of Emotional Intelligence

 Self-management – motivation, calm, enthusiasm.

 Changes in work environment – harmony, trust, compassion, approachability, motivation.
 Art of Criticism – should be made with specificity, constructive (giving solutions), empathy, ability to accept it.
 Team work – brings more viewpoints, heterogeneity, understanding of team-members situation, and better
decision making.
 New Management requirements
o Influence – deploying suitable means for effective persuasion.
o Communication – putting message expressively and effectively.
o Conflict management – holding discussions and settling disputes harmoniously.
o Leadership – creating enthusiasm and giving directions to subordinates.
o Acting as a catalyst for change – introducing, sustaining and managing change.
 Helps in self-awareness, understanding accessibility of attitude, vulnerability of personality.
 Self-regulation of emotions.
 Keep stress and strain away, increase efficiency and potential.
 Understand/perceive emotions of others and show compassionate behavior.
 Key determinant of interpersonal and social skills like persuasion, leadership, social influence, credibility.

Application of Emotional Intelligence

 For Individual
o Mental health – Stress-free work life by self-awareness and self-regulation.
o Self-regulation of emotions, leading to focus on goal.
o Resolution of conflicts.
o Multi-tasking capability.
o Conflict management, accepting criticism.

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 o Better personal relations.
 Leadership
o Interpersonal skill development – Motivation, persuasion, communication, reaction.
o Work allocation based on emotional competence and interest.
o Influencing others to take initiative
o Empathy-compassion towards others.
o Motivating colleagues and sub-ordinates.
o Persuasion.
o Rapport (relation) with juniors
 Administrative culture
o Current bureaucratic culture – status quo, red-tapism, empire building, elitist, non-responsive, file dealing,
not time bound.
o How to change using EI – empathy towards weaker section, understanding of rural culture and values,
motivate and bring positive attitude in sub-ordinates, conflict management across various departments.
 Citizen centric administration
o Polite, rendering apology, behavior training of employees, May I help you? desks.
o Public Grievance Redressal – Effective Redressal requires empathy, patience, approachability,
understanding, expressiveness, otherwise people will lose confidence.
 Executive-Administration relationship
o Minister – Administrator – understanding of each-others perspective, coordination in work, special
reference to the role of cabinet secretary, chief secretary
o Gain public trust.
 They deal with public directly, image of government in common man’s eyes – Need to rebuild
their confidence, attitude, and deal with compassion.
 Specially role of SP, Collector (District Administration) demand EI on ground.
 Administrators have now to interact and deal with PRI leaders (local elite), big difference in
cultural background.
 Police, Security Forces; Special focus Communalism – for negotiation
o 2nd ARC highlighted that people feel police is irresponsive.
o Change attitude of our police – from colonial masters to service oriented; Training to be emotionally
intelligent while dealing with sensitive issues, like heinous social crime, communalism, crime having
social sanction (Honor killing); specially training needed for SHOs & constables – directly dealing with
victims; dealing with AFSPA, public conference, interlocutor.
 Vulnerable Sections dimension
o Police dealing with sexual crimes, victims, hire more females at lower bureaucracy to freely deal with
female citizens, Gender sensitization training to all.
o Special care needed to give feeling of belongingness, faith in system, speak for rights.
 Others
o Hire more EI people, including it in system, Tailored and regular in-service training.
o How to interact with media, and on activities of media, avoid glamour of fame, wrong action can lead to
sensationalism, harm diplomatic relations, National Interest.
o Disaster situation – Maintain calm, prevent panic, keep everyone positive, synergize action.

Cognitive Empathy

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  Daniel Goleman denies it as ability to understand what other people are feeling and what they might be thinking.
It is sometimes called as “perspective-taking”. It is also called as “empathic accuracy” – having more complete and
accurate knowledge about contents of another person’s mind and feeling. Cognitive Empathy is based on
rationality, rather than emotions. It helps us become better communicator, under others.

Intelligence Quotient
 IQ is cognitive ability of an individual to learn new skill and process information.
 EQ is ability to perceive and understand emotion of self and others.

“Which job you get depends on your IQ.

How long you will last depend on your EQ.”

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Contributions of moral thinkers and philosophers from India and world.

Learnings from India

Kautilya – realist approach – used in hard-decisions in administration

 Believed in the policy of noble lie i.e. lying for public good [when need to divert from rules].
o Similarly, Machiavelli gives concept of dual-morality, for efficient administration.
 Ultimate pragmatist: “Just as straight trees are chopped down first; honest people are taken advantage of first”
[problems of being too honest, use in case study where honesty is punished].
 Consequentialist and Utilitarian philosophy.
 Highlights importance of materialism in his book Arthashastra – important to achieve other goals of life –
Purusharth. Material satisfaction is important for good life.
 Detailed on Corruprion issues.

Arthashastra/Nitishastra elaborate on state-craft.

 Smart power: advocated use of both soft power and hard power, a concept made famous in contemporary times
by Joseph Nye.
 Saptang Theory on components of governance.
 Raj Dharma – Duty of king to take care of subject – “Praja Sukham Sukhe Raja”
 King must control his passion likes kaama, krodha, lobha (greed), moha
 Good King – RajRishi = Raja + Rishi – administrator and protector of dharma.
 Kautilyan morality for administration.
o Raksha: protection of life and liberty – police state
o Palana: law and justice-wefare state
o Yogakshema: welfare of people, to achieve Purushartha – capacity building
 Corruption in bureaucracy – men are naturally fickle minded – honesty is not a lifelong trait and prone to
temptation
o Described various types of corruption – “40 types of embezzlement”
o Elaborate espionage network for detection of financial misappropriation and judicial impropriety.
o Concept of whistle blowers, and their protection.
o Rewards and promotion for good.
o Temporary postings in departments – periodic transfers.
o Accountability mechanisms for supernatants.

Ashoka – Benevolent ruler, who changed from cruel to pacifier – enlightenment brings ethical values

 Ashoka talked of 3-types of ethics: personal, public and political.

 Pacifist Policy – Dhamma-marg.
 Janhitam-Jansukham – Welfare State.
 Non-violence, Religious tolerance.
 Dhamma: the principle of duty and obligation.
 Dhamma espoused Right: Kindness, generosity, truthfulness.

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  Concern for animal lives too. Ended slaughter in his kingdom; adopted wildlife conservation, first ruler to do so in
the world. Officials tasked with environment protection duty.
 Social welfare: Paternal relations with subjects: spread use of medical instruments, built roads for travel comfort,
wells dug and trees planted along roads.
 “People are won by love and not by war” – Buddha
 “Hatred is not appeased by hate, but appeased by love” - Buddha

Akbar – Benevolent ruler, religious harmony and unity, administrative efficiency

 Din e illahi: Tolerance, and mutual learning from religions.

 Sulah-e-kul: universal peace.
 Rajput policy: Peace in kingdom.
 Mansabdari: Administrative efficiency.

Mahatma Gandhi

“Best way to find yourself is to lose yourself in the service of others.” (conclusion for civil servants)
 Truth in Gandhi’s philosophy is God – Satyamev Jayate (Manduka Upnishad)
 Satyagraha – holding onto truth or truth force – path for spiritually strong.
 Non-violence (Comprehensive) – “Ahimsa” – Violence belongs to world of animals
o Personal: absent in interpersonal relationship – physical, thoughts and speech.
o Civic: absent as a tool of state, or force of civil society.
 Swaraj: Political – restrain of desires to end need of external force to govern.
o Spiritual Swaraj: Karma Yoga – control over desire and action.
 Fasting: an important method of exerting mental control over base desires
 Su-rajya: state shares power with institutions of civil society. – Pluralist State.
 Ram-rajya – no need of State, everyone with high morals for self-restrains.
 Sarvodaya (Book):
o Upliftment of all.
o Trusteeship principle – Gandhian SOcialism.
o Bread-labor concept – respect to physical labor.
o Earn while you learn.
 Nai Taleem / Wardha School
o Education by book of life – practical based knowledge.
o Emphasis on subjects of social relevance like home science.
o Concept of earn while you learn.
o Emphasis on eastern culture.
o Equality of all professions.
 Against untouchability
o “Harijan” – son of God – shows empath and positive affirmation to change mind set of people.
o Cleaning one’s filth by practiced in his ashram.
o Considered women as engine of change.

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  Continuity of means and ends – “It is foolish to expect a rose flower, by sowing seeds of Babul” [Hind Swaraj] –
Actions to be such what you desire to be.
 “My enemy is a part of myself” (Hind Swaraj) – acknowledging that hatred is a mutual process.
 Cultural acceptance, and sticking to own culture – “winds of all culture to freely flow from doors and windows of
my house, but not take away my house.”
 Gandhi’s frugal living, simple clothing – exemplary action – empathetic behavior, courage to accept hardship,
trait of a mass leader.
 7 sins, by Gandhi.
o Wealth without work.
o Pleasure without conscience.
o Knowledge without character.
o Commerce without morality.
o Science without humanity.
o Worship without sacrifice.
o Politics without principle.
 Gandhi’s Talisman
o “Whenever you are in doubt, recall the face of the poorest and the weakest man whom you may have
seen, and ask yourself, if the step you contemplate is going to be of any use to him.”

Jawahar Lal Nehru – Modernist, and Scientific Humanist, Liberal world order, International peace

 Leadership skills, charisma, vision amongst highest of all time, accommodative, tolerant.
 Credited to preserve democracy in India by giving opportunity for dissenting voices.
 Called the maker of modern India – advocated for science and industrialization.
 Liberal and tolerant nationalist. But did not appreciate narrow and fanatical type of nationalism
 Great humanist – Scientific humanism – "humanity is its God and social service its religion"; rejects mysticism.
 Advocate of liberty, equality, fraternity, rights.
 Gave tribal Panchsheel:
o Non-imposition of alien values onto tribal.
o Respect Tribal rights on land and forest.
o Training tribal for administration and development of the area.
o Avoiding too many outsiders and multiplicity of schemes into tribal territory.
o Results judged not by statics nut by human character developed in tribal.
 International level
o Ardent supporter of UN, third world nations, disarmament and world peace. “there is only one
alternative to world terrorism and it is world peace”.
o Peace-loving, worked for cordial relations between nations – Panchsheel.
 Mutual respect for each other’s territory, integrity and sovereignty.
 Mutual non-interference in each other’s internal affairs.
 Equal and mutual benefit working relationship.
 Mutual non-aggression.
 Peaceful coexistence.
o Against colonialism and exploitation by super-powers – NAM.
o Believed in international liberal order – law based order – UNSC Resolution 39, 48 for Kashmir issue.

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Swami Vivekananda

 “Service of man is service of god” elevating social service to the status of divine service
 Tolerance – fundamental “oneness of God”
 Unity in diversity – Sanatan Dharma
 Called for a balanced life – both materialism and spiritualism important for human. “Insult to God and humanity
to teach religion to starving.”
 A new theory of ethics based on intrinsic purity and oneness of atman
 Stressed on education that gives self-confident, builds character.
 Emphasized on actions, “Knowledge without action is useless.”
 Promoted unity in Indian society – fundamental unity in diversity – roots in Sanatan Dharma
 Respect for women, humanist approach
 Argued that patience and steady work was the only way to get success/
 “Arise awake and stop not until the goal is reached”.
 “World is a history of few men who had faith in themselves” – stressing on self-belief.
 “Devotion to duty is the highest form of service” (conclusion).

Vallabhbhai Patel

 Iron fist in velvet glove (as an administrator should be)

 Determination, Pragmatism, Secular, Courage – Unification of India – Statue of Unity
 Protector of Minority rights – went to Nizamudin Auliya Dargah to reassure Delhi Muslims
 Patron saint of Indian Civil Service
 Supporter peasant’s rights kheda and bardoli satyagraha – compassion to weaker section.

Dr BR Ambedkar – need a better society first for a better politics/administration.

 Idol of consistent struggle for equality and dignity, even under all odds of constant discrimination and
discouragement form the society.
 Gave slogan of Educate, Agitate, Organize.
 Essence of his political philosophy
o The rights are protected not by law but by social and moral conscience of society
o Democratic form of govt presupposes a democratic form of society
 A social democrat – “political democracy cannot last unless there lies at the base of it social democracy” – a way
of life which recognizes liberty, equality and fraternity as principles of life.
 Advocated higher version of equality – Equality of respect and dignity
 Advocated for protection and rights of minorities. Champion vocal for annihilation of caste.
 Primary burden of emancipating themselves lies with untouchable themselves. Such self-help required not only
struggles but also education and organization
 Freedom, equality, fraternity – not only individual but also group rights. Fraternity as common sense of
belongingness.
 Defended positive discrimination – positive measures are a better guarantee than merely conscience of society,
goodwill or benevolence of the majority.
 Rule of law – Constitutional morality [follow law not only in words, but spirit. No misuse of power/position.]

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  Success of office determined by people occupying them.
 “I measure the progress of a community by the degree of progress which women have achieved.”
 “Bhakti in democracy leads to dictatorship”.

Deendayal Upadhyay

 Integral Humanism
o Comprehensive and holistic view of life
o Inspired by ideas of Vivekananda and Gandhi
o 4-dimensions of personality – mind, body, soul, intellect.
o 4-goals of life – Arth, Dharma, Kam, Moksh.
o 4-guides – Arthniti (sustainable), Rajniti (ethical), Samajniti (culture), Rashtraniti (unity)
o Integral Humanism leads to a life of dignity, balanced needs of individual and society, sustainability,
diversity and democracy (socio, economic and political).

Rabindra Nath Tagore

 Literary excellence – Nobel Price, National anthem of two nations.

 Creative use of literature/songs – Poems during Swadeshi Movement.
 Humanistic - Faith in human spirit and optimism.
 Preached universalism – Criticized narrow interpretation of nationalism.
 Education by practical approach – Shanti-Niketan (products: Indira Gandhi, Satyajit Ray, Amartya Sen)
o Emphasized on nature as the best teacher. Staunch naturalist.
o Rejection of book centered education – education by activity.
o Freedom to learner – unchaining desire to learn, no rigid curriculum.
o Practical teaching.
o Inspiration from West.
o Focus on fine arts (dance, drama etc.) – Cultural protection.
o Education for rural reconstruction.
 Considered the real problem of India as social and not political, against caste system.
 He condemned romantic overattachment to the past. Supported reason and scientific temper.
 Supported cooperative agriculture.
 Nonviolence – condemned communists in Russia for violence.

Jyotiba Phule

 Upliftment of weakest section of the society.

 Stress on education, especially for women, orphan, widow.

Ram Mohan Roy

 Demand for freedom of press, Indian-isation of civil services.

 Protection of dignity of women. Humanist approach, held reason above authority of God.
 Against rituals, idol worship – focus on conscience, freed concept of religion form superstition, dogma and priest

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  Stressed on fundamental oneness of all Gods.

Dayananda Sarasvati

 Gave sense of pride in India’s history.

 Revivalist in character, reformist in content.
 Called for “Back to Vedas”, based on reason not blind faith.
 Stress on right deeds and criticized escapist concept of Maya (illusion/transcendentalism).
 Spread of western education with DAV.

Aurobindo Ghosh

 Vedantic philosophy – sees unity and oneness in man and god.

 Human unity – Law of aggregation.
 Nationalism as universal spirit.
 True message of Vedanta was selfless action or karma yoga.
 Declared India as Mother India – changing freedom struggle to emotional relation.
 National education – True education: physical + rational + spiritual.
 Purna Sawraj: Sachit Ananda – through integral yoga

Abdul Kalam

 “Aiming small is a crime”. (use in context of students, national targets).

 “Believe you can, and you are half way their”.
 Champion of promotion of scientific values amongst the masses.
 Publically accepted failure of SLV mission.
 For self-reliance in technology.
 Sacrifice of family life in pursuit of excellence in professional life – no guilt.
 values he stood for: diligence, simplicity, optimism, perseverance, altruism, non-partisanship.
 Professional ethics: teacher, even after being President of India.

Abdul Kalam oath:

 Common –
o I will always think “what can I give?”
o I will always “Work with integrity and succeed with integrity”.
o I will not waste time, “Let not my winged days, be spent in vain”.
o “Aiming small is a crime, I will have great goal in my life and work hard to achieve it”.
o Plant Trees. Help others learn to read and write. Help others to leave habit of addiction and gambling.
Ensure equality between male and female.
o I will lead an honest life free from all corruption, adopt a transparent way of life.
o My national flag flies in my heart and I will bring glory to my state and the nation.
 Teacher –
o I am responsible for shaping not just students but ignited youths who are the most

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 o powerful resource under the earth, on earth and above the earth.
o I will encourage my students to ask questions and develop the spirit of inquiry.
 For Civil Servants –
o Work for 100% literacy among village people and ensure no child drops out from the school.
o Ensure status of women is enriched, and create towards gender parity.
o Ensure that no one can lead to the temptation of corruption.
o Ensure minimum 1 lakh trees are planted and maintained.
o Work towards execution of at least 5 PURA complexes in District postings.

Anna Hazare

 Supports sustainable development, and republic village concept of Gandhi.

 Gram Sabha empowerment votary
 Efforts lead to closure of liquor shops in Ralegaosiddhi Village – positive social change.
 Non-materialistic nature
 RTI activist, anti-corruption – determinism lead to Lokpal Bill after 60 years from first mooted.
 Against caste and social barriers

Mother Teresa

 Perseverance, Forgiveness, Empathy, Selflessness, Love

 She believed in starting alone if there was no one else – Focus on action, courage to do right
 Focus on positive aspects, rather than criticizing negative things.
 Her actions get global recognition, uplifted to status of Saint.

Amartya Sen

 Social Justice – Equality of Capacity.

 Focus on Capacity building on people – independent development – focus on quality of life.
 Inspired Social Liberal scheme, e.g. SkillIndia.
 Stress on individual freedom – ability to choose.

E Sridharan – Metroman of India

 Hard work, Dedication.

 Visionary.
 Work with honesty, others will cooperate.
 Faith in concept.

Narayan Murthy

 Keep aside fear of failure

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  Transparency – known for good corporate governance
 Bold in decision-making – Anti-sexual harassment – fired Phaneesh Murthy (then Director of Infosys)
 Donations/charity – supporter of Akshay Patra foundation
 Promoted the idea of “compassionate corporate”.

Others

 Ishwar Chandra Vidhyasagar – stress on women education.

 Narayana Guru – upliftment of untouchables. “One Caste, One Religion, One god for Man”.
 Sahodaran Ayyappan – “No Caste, No Religion, No God for Man” – Secular character in Indian culture.
 JP Narayan – Antyodaya concept – benefit reach last person, raise voice against miss governance.
 Gopal Hari Deshmukh (Lokahitawadi) – “If religion does not sanction reform, change religion.”
 Voltaire – “If God did not exist, it would be necessary to invent him.”
 Azom Premji – Wipro – Philanthropist.
 Vinobha Bhave – Grassroot public opinion mobilization – Bhoodan

Learnings from west

Socrates – normative for a good life

 Concept of dialectics to understand what is right and what is wrong.

 “It is important to know how we ought to live”
 Stressed on knowledge – “Knowledge is virtue” – brings excellence, leads to good life, converts into permanent
source of happiness.
 “Ethics and politics are made of same cloth”

Plato – talks of justice

 Gave four “Cardinal virtues”

o Prudence- practical wisdom
o Temperance – self-control/ moderation
o Courage – moderation or observation of mean wrt to feelings of fear and confidence
o Justice – good course of action
 “The world understands the argument of power, and not the power of argument”
 Talks of a just state in book Republic – Justice as functional specialization and non-interference.
 Supports equality of women, in both civil and political sphere.
 Supported meritocratic society, gave elaborate education system.
 Plato’s communism – ending conflict of interest/greed in ruler class.

Aristotle

 Virtue theory of ethics: Virtues – actions – habits. Virtue leads to happiness

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 o Concept of Potentiality to actuality – Virtues/Morals can be developed. If you want to be truthful, practice
speaking truth. If you want to be virtuous, practice virtue.
 Virtue ethics – ethics not just to determine whether an act is moral or not, but also to inculcate character.
 Virtue and vice is not a part of intellectual skill but a part of moral skill. Knowledge may increase intellect but
morality is inherent
 4 aspects of flourishing rational beings – physical, emotional, social and rational
 “Golden mean is the golden rule” - middle ground – practice is the key to achieve mean
 “One should not sacrifice good for the sake of the best” – practical approach to life.
 Importance of political institution – Man is a political animal and called for deliberative citizenry – active
participation of citizens in state affairs – gives people reason, free speech – leads to virtue.
 “One who can live without state is either beast or god, but not man.”
 “Law is reason without passion.” [importance of law, code, rules]
 “Pleasure in duty pus excellence at work”
 Supported equality of opportunity: “It is unjust to treat equals unequally. It is equally unjust to treat unequal
equally” [support positive intervention]
 “Inequality, perceived or real is the main cause of revolution and dissatisfaction.”
 Talks of Justice – Distributive (initially), Rectificatory (considering other factors)

Bentham

 Father of Utilitarianism
o Consequence based – Ontological approach – judgement based on final result of act.
o E.g. Use of hard power like AFSPA to control insurgency is ethical, considering integrity of India above
human rights of insurgent section.
o School has 4 principles: Ethical egoism (good of self), Ethical altruism (good of all except self),
Utilitarianism (good of all), Hedonism (felicific calculus).
 JS Mill
o Tried to bring aspect of quality in pleasure, integrate idealism in utilitarianism.
o Champion of liberty in general, freedom of speech and expression in particular.
o Considered liberty as moral value, limited only be harm principle.
o Called freedom of speech as Gift of God – Sacred in nature – “If all but one has differ…”
o Champion of women’s rights – “just because slavery of women is universal, it should not be accepted”.

Immanuel Kant

 Theory of Deontology – Intention based ethics.

 Motive of an action can be of two types:
o Motive of inclination – desire to gain back from action.
o Motive of duty – considering action as right, and without motive of returns.
 Kant stressed on idea of Human Dignity – forms base for Human Rights.
 Types of values as given by Immanuel Kant – Intrinsic (Absolute) and Extrinsic (Instrumental)
 Categorical Imperative – things that you should always do irrespective of results, conditions, situation etc.
o 3-rules to determine what is categorical imperative:
 Universalization of action – what if everyone does what you are doing.
 Action not related to end – humans should be used as end in themselves.

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  Kingdom of ends – to be approved by rational being (Dignity of people).
 “Treat others how you want to be treated by others”.
 “Every act is value neutral, it is the intention which puts moral worth on out act”.

Hobbes

 Hobbes is also utilitarian.

 Talks of world without state; anarchic, lawless world – “life of man is solitary, nasty, poor, brutish and short”,
“State of nature is all against all”.
 Image of man – PIMPU – but aims for happiness.
 All fighting to fulfil unlimited desires from limited resources – leads to power struggle, war like situation.
 People under social contract from anarchic nature to absolute state – Leviathan – to protect life.
 “Covenants without swords are nothing but words.” – importance of punishment/police.

Locke

 Concept of Tabula Rasa – man is reflection of his experiences.

 Man is rational, peaceful, cooperative, good willed.
 Right to life, liberty, health, possession is most important.
 Gave theory of separation of power, furthered by Montesquieu.

John Rawls Theory of Justice (Justice as Fairness for all)

 Dignity, liberty and equality – basic for human existence

 Lexicon order of LED – Liberty, Equality, Dignity, found by ‘veil of ignorance’.
 Difference principle – where social and economic inequalities, arrangement for greatest benefit of the least
advantaged.
 “Justice is the first virtue of social institutions.” – other virtues can be enjoyed only after justice.

Jean Paul Sartre

 Theory of Existentialism – all have intrinsic value, apart from how others define them (when talking of human
dignity).
 “Existence precede Essence” – Man first exists, others define him later.

Nelson Mandela

 “During my lifetime, I have dedicated my life to this struggle for the African people – an ideal for which I am ready
to die.”
 Sports to reconcile between black and white.
 Anti-racist: human dignity.
 Determinant and psychologically strong – 27 years in prison.
 “Like slavery and apartheid, poverty is not natural. It is manmade and it can be overcome and eradicated by the
action of human beings.”

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Learnings from Religion

 Quran – killing an innocent life is like killing all mankind. Saving an innocent life is like saving all mankind.

Hindu Philosophy

 To lead an ethical life – “Bhakti Marg” – total surrender to God – Superanaturalism Normative Ethics – God is only
source of ethics, actions as per desire of God.
 Geeta shows righteous path:
o Sthitapragya – Sthitapragya is a Sanskrit term that means “contented,” “calm” and “firm in judgment and
wisdom.” It is quality of not affected by external happenings as gain, loss, fear, joy, disappointment,
distress, etc.
o Six good qualities – Visvasam (Confidence), Sahasam (Daring), Dhairyam (Patience), Buddhi (Intelligence),
Sakti (Strength) and Parakramam (Valour) – Divine stands with such qualities in any age, place or
circumstance and leads to success.
o Six vices – Kam (lust), Krodh (anger), Lobh (greed), Moh (attachment), Madh (pride), Matsya (hate) – lead
a person to turn you into wrong paths and make them servile and sad.
o 3-types of Yoga – Bhakti yoga, Gyan yoga, Karma yoga.
o Nishkam Karma – self-less or desire-less action; central tenet of Karma Yoga.
 Dharmashashtra
o Good conduct is the highest Dharma.
o Dharma is to follow one’s duty – help in progress of the world.
o Lawlessness leads to Matsya Yana – might is right.
 Purushartha – Dharma, Artha, Kama, Moksha
 Karma-phala Siddhanta – you get what you give, circular motion of karma.

Buddhist Philosophy

 “Karma Marg” for salvation.

 Three Principles of Buddhism
o Anicca – Nothing is permanent (when talking of materialism)
o Anatta – Selflessness (how actions need to be)
o Dukha – Sorrow is a truth of life (when need to accept pain)
 Four Nobel Truth
o Life is full of Suffering
o Desire if source of Suffering
o Suffering ends when people control over desire
o Ashtpradhan-marg for ending suffering – MAD-SELMO
 Code of conduct (VLC-IP)
o No violence
o No lie
o No corrupt practices
o No intoxication
o No property

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  Bodhisattva desired values: Avlokiteshvara for compassion, Vajrapani for Courage, Manushri for Wisdom.
 “People are won by love and not by war”, “Never by hatred is hatred appeased but it is appeased by kindness” –
to support peace and order.

Jain Philosophy

 Tri-Ratna
o Right Faith
o Right Action
o Right Knowledge
 Five Doctrine
o No violence
o No lie
o Observe continence
o No stealing
o No property
 Some philosophy
o Anekvada – multiple understanding of truth.
o Syadvada – everyone has partial truth.
 Kshama Prav

Nihilism – when people get depressed, hard times.

 Philosophy of absolute nothingness (Mukesh Pandey IAS suicide).

 Human existence is without objective meaning, purpose, comprehendible truth or value.
 Denies possibility of knowledge of truth.
 Choose your own ethics for there is no ethics – Go Ahead. Kill.
 No objective values/morals/meaning exist.

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Public/Civil service values and Ethics in Public administration

Public servants are the steel frame and guardians of the state structure.

2nd ARC (12th Report) calls for people centric governance

 The motto that “public service is public trust” recognizes that compared to ordinary citizens public servants enjoy
many powers and privileges, hence also need to be under certain obligations and guides.
 Governance – WB defines it as the way sovereignty/power is exercised in the management of a country’s
resources – economic, human and social – for maintenance and developmental functions.
 2nd ARC prescribes output-outcome model of governance.
o E.g. government utilize police human resources to maintain law and order.
 The aim of governance is welfare of citizens. Arthshashtra talks about achievement of “Yogshem” for people.
 Justice is the cornerstone of morals in public administration. Governance aims for welfare of the people.
 Governance can be: Actor oriented, Work oriented, People oriented, Technocratic.
 “Good” as prefix to governance, adds a value dimension, which includes both means and ends oriented values
in governance like efficiency, transparency, justice, liberty and equality.
o E.g. Online auctioning helps in maintaining transparency and fighting corruption.
 Good governance is inherently ethical in nature, as it gives due regards to various values.
 According to 2nd ARC (12th Report), Good governance has four elements, and talks its Four-Pillars.
 UNDP identifies Eight characteristics of Good Governance.
 Ethical Governance – following ethical consideration while dispensing duties of public office. It is considered as
a prerequisite for well-functioning of democracy and good-governance. Crux of administrative morality is ethical
decision making. It establishes public trust for functioning of government, and works for welfare of people.
 Ethics infrastructure – measures that enhance and preserve ethical values like integrity, transparency,
accountability and prevent misuse of power etc. in functioning of an organization (recommend ethics
infrastructure to ensure good governance).
o E.g. e-governance for transparency, Gram Sabha for social audit accountability.
 3 obligations of public servants
o Objective – To pursue public good/interest
o Action – To follow appropriate processes and procedures
o Work Culture – To show proper feelings to colleagues
 Stakeholders/Determinants of Ethics in Public Administration – what it gets affected by

Personnel Government Citizens

- Values - Political Structure - Social Values
- Attitude - Constitution/Laws - Participation in Governance
- Aptitude - Convention - Accountability Setting
- Work Culture - Principles/Value system - Civic sense activism
- Political Leadership - Transparency
- Ethics Infrastructure
 Code of Ethics in Public Administration – recommended by 2nd ARC – how to improve PubAd
o Public interest greater and more important than self-interest.
o Support public’s right to information and involve citizens in policy decision making.
o Understand and cooperate with citizens to improve effectiveness of administration.
o Respect the Constitution and law and promote constitutional principles of equity, fairness,
representativeness, responsiveness and due process of law.
o Perform duties with honesty and integrity.
o Strengthen ethics infrastructure, efficiency and effectiveness in serving public.

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 o Strive for Professional Excellence – work hard to strengthen individual capabilities & encourage the
professional development of others to upgrade competence/aptitude.
o Power is considered most accountable when exercised locally (decentralization).
 Terms to use: steel frame, ivory tower – elitism self-exclusion, inward looking, mechanistic (against innovative),
means (self-serving civil servants) becoming end in itself, patron-client relationship, torch bearer, self-preserving.
 High Ethical standards will ensure that governance is people centric and fulfill the objectives enshrined in the
Constitution. [Conclusion]

“If a civil servant has empathy, nothing else matters.

If he doesn’t have empathy, nothing else matters.” – Sardar Patel
“Devotion to duty is the highest form of service.” – S Vivekananda
“Best way to find yourself if to lose yourself in the service of others.” – Gandhi
“Pleasure at job puts excellence at work” – Aristotle

Status and problems

Status

 Vohra committee highlighted the issue of criminalization of politics, corruption in governance.

 2nd ARC highlighted poor state of public services and that people don’t believe in police.
 Despite growing interest and structural efforts of government to promote ethics in public service, public is not
convinced about improvements in bureaucratic behavior.
 There exists no uniform approach to developing courses or teaching of ethics in schools/colleges/training of
public administration
 Status, negative side:
o Corruption, e.g. Rail-fodder scam, 2G scam, coal-gate, Antrix-Devas deal case.
 Corruption of 2 types – Coercive (forceful), collusive (under secret cooperation)
o Self-interest over public interest, e.g. Public Servants avoiding Rural posting; Conflict of interest –
Dayanidhi Maran (Sun TV).
o Less democratic in approach more bureaucratic in functioning. Common people think admin is apathetic
to their problems/aspirations. E.g. farmers road march in Maharashtra.
o Delay in action and less stringent punishment to corrupt. E.g. 27-years in Jamshedpur triple-murder case.
“Honest get rarely rewarded, corrupt get rarely punished”.
o Less protection to whistle blower, e.g. Satyendra Dubey (NHAI) killed after whistle blowing.

2nd ARC findings

o Low salary is demotivating and impacts service quality. Note: IIM Ahmedabad Study – Salary at higher
level is very less compared to private sector.
o Corruption is higher at the higher level of bureaucracy.
o Complaints against higher authority go unheard, usually. “Honesty is rarely rewarded and corruption is
rarely punished.”
o Observable lack of commitment to resolve public grievance.
o Attitude of arrogance and indifference, ivory tower attitude.
o Unholy nexus between politicians and bureaucracy.
o Criminalization of politics, colonial legacy, Bonapartism (strong bureaucratic position), utilitarian
approach as reasons for declining spirit of service.

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 o Red Tapism, excessive and rigid conformity to formal redundant rules prevent action and slow down
decision making.
 Status, Positive aspects:
o Compassion towards weaker section. E.g. Daliya Jalao movement, by young IAS officer in years’ time.
o Upholding the values of constitution. Rule of law, equality before law. Many public servants and
politicians put behind bars for wrong conduct. E.g. Lalu Prasad Yadav, Mizoram Secretary (IAS) termed
for 3 years for graft, ex-Minister of UP gets life-term in 2017 rape case.
o Empowering local level institutes – 73rd and 74th amendment: Power is considered most accountable
when exercised locally (decentralization) [similar argument by Economic Survey]. It adds to women
empowerment, Rajasthan has more than 50% women PRI. 2nd ARC calls for citizen centric panchayats and
governance on subsidiary principles.
o Social audits, MNREGA and rights based approach – Meghalaya social audit law.
o Information dissemination: RTI. Exposed corruption cases like Adarsh Housing society, 2G Scam,
Commonwealth Games scam. Right to Know in Maharashtra. 2nd ARC “RTI is the key to open the locks
of good governance”. Rajasthan’s Jan Soochna Portal for active information dissemination.
o Some state governments, like Rajasthan, have also initiated time bond delivery of govt. services. Delhi’s
service to doorsteps initiative, Mohalla Clinics, Basti Dawa-khana (Hyderabad).
o Citizen charter, Sevottam service delivery model, grievance redressal, Code of conduct, Code of ethics
etc. have resulted into improvement in public service delivery quality.

Problems

 Ethics in public administration involves many considerations (Socio-Legal-Administrative), like what to inculcate,
how to inculcate, whether to use philosophy, whose philosophy to use (Indian or Western), how to supervise
ethical conduct, etc. that have no certain answers, often have conflicting opinions.
 Problems leading to poor status of ethics in governance observed by 2nd ARC:
o Personnel
 Public Servants – Values, training, attitude, aptitude.
 Political interference –pressure to make undue favors, undermine rule of law. E.g. Scams.
 2nd ARC talks of unholy Nexus between bureaucracy and politicians.
 Crony capitalist or Cronyism. Narayan Murthy called for Compassionate Capitalism
 Lack of individual accountability of officers and politicians of any level. When 2nd ARC
recommends establishing individual officer’s accountability.
 Asymmetric distribution and abuse of power Art 310, 311.
o Government
 Parliamentary Functioning – met for less than 80-days/year on average in 15th Lok Sabha, against
130-days/year on average in 1st Lok Sabha.
 Complex working structure, difficult for common man. Poor grievance redressal.
 Less transparency and sensitivity towards common man and less accountability – laws like
Officials secret, Code of Conduct etc makes RTI redundant.
 Lack of proper Code of Conduct for Public Servants; Absence of Code of Ethics.
 Laws like UAPA, AFSPA misused to curb voice against government.
 Need a law modeled on the US False Claims Act – any citizen can file a case on behalf of the
government. If he wins the case, he gets a part of the money returned to government. US also
has a hotline called “fraud net” to blow the whistle anonymously.
 Judicial delays
 Lack of action against corrupt officials. E.g. A Raja.
 Delay in verdict for years. E.g. it took 28 years for Jamshedpur court on final verdict on
Jamshedpur triple murder case.

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 o Citizen
 Less focus on imparting value education and less focus on teaching people skills to resolve
conflict coherently.
 Week civic values.
 Acceptance to culture of corruption – UN Convention on Corruption 2003 recognized the Ethical
Public Services as necessary for prevention of Corruption.

2nd ARC findings

o Same as in negative status of public services.

 Way forward – Framework for Ethical Governance

o Codifying ethical norms & practices, make them legally binding (2nd ARC)
o Adopting Sevottam Model
o Disclose vested interests
o Creating a mechanism for enforcing the relevant codes
o Providing norms for qualifying and disqualifying a public functionary from office
o Public interest oriented administration. 2nd ARC calls for citizen centric governance.
o Review Article 310, 311 to remove blanket immunity – 2nd ARC suggestion
o Promote Ethics Structure

Ethical concerns and dilemmas in government and private institutions

Ethical concerns/issues

In government

 Corruption – (relates to most of the issues directly or indirectly)

o India ranked 85/180 in Corruption Perception Index 2021, worst in Asia-Pacific.
o Grafting, e.g. Meghalaya Secretary termed 3-year jail for graft case.
o Misusing govt property/resources for personal welfare, e.g. Dayanidhi Maran.
 Illegal Gratification, Malfeasance (illegal actions, out of power), Misfeasance (poor performance).
 Sycophancy culture – not disagree with bosses even when required. Abuse of statutory security.
 India defined as soft state – poor implementation of law & order. (Gunnar Myrdal, Asian Drama)
 Vohra Committee highlighted criminalization of politics.
 Electoral reforms – curbing money-muscle power, fair opportunity to all, preventing freebie distribution, appeal
on communal causes.
 Nepotism and favoritism, e.g. dynastic culture in political parties.
 Office of profit – not clearly defined, allows for spoils system.
 Crony capitalism, e.g. alleged influence of Reliance and Adani group in government policy.
 Unholy nexus between politicians and bureaucrats.
 Lack of proper ethical teaching and training.
 Code of conduct and ethics are either mission or not applied in spirit – highlighted by 2nd ARC.
 Bureaucratic elitism, citizen-government gap.
 Punishment posting.

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In private institutions

 Corruption – Coercive (forced on customer) or collusive (collaborative to rob society). E.g. IL&FC gave favors to
rating agency Brick Workers executives for higher ratings. Rolls Royce paid bribery to UK Serious Fraud Office
 Exploiting legal loopholes, e.g. Harshad Mehta, Parikh Mehta case.
 Misuse of information – Insider trading, e.g. recently by former non-executive director Pia Jonson and her
husband in Indiabulls venture shares.
 Fraud – e.g. during COvid-19 Lockdown, private travel agents took money from poor migrants on false promise
to transport them to their native villages.
 Nepotism and favoritism, most evident in Bollywood.
 Disregard to environmental ethics, e.g. Vedanta group in Odisha.
 Disregard to rights of tribal, e.g. Vedanta group in Odisha.
 Practice of tax evasion. E.g. shifting of profits by Vodafone.
 Distinction between professional and personal ethics, successful professional involved in domestic violence.
 Rising cased of sexual harassment. E.g. recent #MeToo movement accused TVF founder.
 Unfair means, like unverified claims/ads to have quick gains, e.g. fairness creams, Dove Soap.
 Sub-standard products, disregard to customer’s complaints, e.g. Johnson and Johnson Hip Transplant.
 Scam – e.g. Satyam Scam, Sahara Chit fund.

Dilemmas

 Dilemma – Situation where a problem has two or more options, neither of which is obviously/ readily acceptable
over the other. E.g. Welfare vs Right to choose – blanket ban on alcohol.
 Ethical dilemma arises due to value pluralism, in a situation that necessitates a choice between competing set of
principles.
 Value Conflicts – occur when individuals or group of people hold strong personal beliefs that disagree with the
society’s/institutions’/organizations’ values.

3 conditions for a situation to be an ethical dilemma

 Agent needs to decide about the best course of action (situations that are uncomfortable but do not require a
choice, are not ethical dilemma).
 There must be a different course of action to choose from.
 In ethical dilemma, no matter what course of action is taken, some ethical principles are compromised – concept
of double effects.

Types of Ethical dilemmas

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  Personal Cost – compliance with ethical conduct results in a significant personal cost (relates to Conflict of
Interest, against Utilitarian approach.), e.g. a Telangana village school principle punished his own son for case of
cheating.
 Right vs Right – from situations of 2 or more bona fide ethical values (existence of value pluralism). E.g.
Objectivity vs Compassion [following law, helping weaker section], Openness vs Secrecy [Information on right to
people dealing impacting National security], freedom vs right to life [AFSPA].
 Conjoint – a combination of above-indicated ethical dilemmas in searching for the right option.

Reasons for Ethical dilemma, considerations like: -

 Can a person deviate from professional ethics outside office hours or outside the office premise?
 Whether to follow Value absolutism vs Value Pluralism/relativism.
 Consequentialism/Utilitarianism vs Deontological/Intentions.
 Short vs Long-term Implications.
 Personal vs professional values. Following professional ethics makes holding job difficult.
 Individual vs Society or Personal vs Public.
 Law vs Morality.
 Order/Hierarchy vs autonomous decision.
 Sentiments vs Rationality.
 Means vs Ends.
 Interest of community vs responsibility to government.
 Emergence of New variables, situations create ethical dilemma.
 Non-codification on resolution of ethical dilemma.
 When right or wrong is not clearly identifiable. Consequence is unknown.

Examples of Ethical dilemma:

 Arjun in Mahabharata – fighting for his Raj Dharma or respect family relations.
 Rohingya issue – security vs humanitarian action.
 11-year-old Jharkhand girl, Santosh Kumari, died due to Aadhar-PDS linkage system – mechanism for service
delivery becoming fatal.
 Telangana village school principle – punish son for cheating as teacher, or save him as father?
 Migrants issues – livelihood v/s health.

Resolving Ethical Dilemmas, a lexical order or a sequence of logical reasoning:

 Take into consideration all the facts of the case, and take an evidence based decision.
 Uphold greater value, bigger public interest, satisfy more stakeholders, including animals and ecology.
 Use correct mean and rationality.
 Look for long-term and permanent solution.
 Avoid use of force, use mediation.
 Form resolution within accountability and law.
 Preference to morality to be given.
 Follow deontological path for utilitarian results.

Laws, rules, regulations and conscience as sources of ethical guidance

 Two sources to guide human judgement to morality of their action.

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 o Outside actor – law, rules, regulations and social norms. E.g. Prevention of Child marriage
o Inside the actor – conscience. E.g. compassion towards weak, Daliya Jalao young IAS.
 These together put legal and moral obligation to do good and avoid bad.
 Laws are set of codified rules for the society, made by sovereign/authority by legislative action. Rules and
regulations are part of laws made for clarification or as sub-set of the complete law, mostly by executive action.

Law (to bind)

 Law is wisdom of ages without emotions (Aristotle).

 It guides people to act or restrain to act in a certain way.
 Laws are backed by government, enforced by deterrence of punishment. (Mill “covenant…”)
 It encourages people to act or restrain in a certain way, a clear demarcation of action– to avoid punishment.
 In making law, the legislator must act reasonably, law must be good, practical and just. [Concept of General Will
by Rousseau]
 Types of laws – impose moral obligations
o Natural law – universal and immutability (does not change) [Locke]
o Negative law – restricts freedom of a person [Hobbes]
o Positive law – laws that empowers citizen for development [TH Green, Amartya Sen]
 Civil law – clarify general and value natural laws
 Regulations often help in clarifying laws. Regulations focus on the individual good, whereas the purpose of law
is to promote the common good.
 Examples:
o Ethical but not legal – euthanasia, surrogacy, equal pay, against marital rapes.
o Legal but not ethical – AFSPA, marital rape, women objectification under RPA service voters law.
o Ethical and legal – EPA 1986, Assam’s PRANAM legislation.

Conscience

“There is a higher court than court of justice and it is the court of conscience.” – Gandhi.

 Conscience is inner sense of what is right and wrong.

 It is cognitive process of rational and emotional association to understand the goodness or badness of an act.
 The intuition which distinguishes the moral worth of actions, is called the ‘moral sense’.
 Conscience connotes a concept much wider than law.
 Relation with law – What conscience is to law, is a brush to a paint (helps in application/law useless without
conscience)
 Conscience has 3 aspects –
o Knowledge (Input: to understand merits and demerits of a decision),
o Associated emotions (Processing: inculcate sense of morality in decision), and
o Authority (Output: to take or avoid action).
 Our conscience results from our moral development, our education and our social environment.
 Crisis of conscience is a situation in which the clear internal sense of what is the right thing to do is missing.
 Reflective conscience is mean between impulsive self-conceit and dead conformity.
 Ethical skepticism – each option appears a moral demerit.
 Importance of conscience for administrator – Public servants cannot act mechanically in applying rules,
conscience gives belief in laws. Laws are general guide, conscience show path in specific situations.

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Public interest – common man’s well-being.

 Public interest is the end for the administration.

 Four philosophies to promote public interest
o Intuitionist – decision on intuition/conscience to protect human dignity.
o Perfectionism – promotion of excellence to all members of society, against elitist who favors excellence
of few at the cost of social equity.
o Utilitarianism – analysis the utility of result for common man – how it makes their life easy.
o Theory of Justice – 2 principles of justice to test public interest
 Each person is to have equal right of liberty
 Public policies are reasonably expected to be to everyone’s advantage & public positions and all
offices are open to all. In case of conflict, 2nd principle prevails

Accountability and ethical governance

 Accountability is amongst pillars to ensure ethical (good) governance as per 2nd ARC.
 Accountability – answerability for the decisions and actions taken.
 Responsibility – answerability for a stipulated duty to be performed.
 Self-accountability and external accountability are inter-related as the
later imposes expectation on the former.
 It has five dimensions of accountability:
o Legal/Procedural (Rule of law)
o Policy and performance dimension (meeting goals, promises and expectation)
o Fiscal (efficient use of public funds)
o Democratic/social (informing and consulting legislatures and citizens)
o Ethical (behaving in accordance with the codes of ethics or general moral standards)
 E.g.: General Board Meeting, CAG audit, AFSPA, SC.
 Examples
o Suresh Prabhu resigned as Railway minister to take accountability of rail accidents.
o Rahul Gandhi resigned as Congress president for poor 2019 election performance.
 Government Accountability – public officials -elected or unelected- have the obligations to explain their decisions
and actions. Elected gave direct accountability.
o E.g. Narmada Andolan against governance without inclusion dams.
 Social accountability – answerability of state to citizens for lack of social infrastructure and basic amenities.
o It questions the gaps between promised goods and services, versus outcomes on such
promises/schemes.
o It is a demand driven, bottom-up concept of accountability, where Civil Societies and Gram Sabha play
important role via social audit.
 nd
2 ARC: transparency in democracy is bidirectional information flow, which allows citizens to participate in
governance.
 Importance of accountability for ethical governance – Effective accountability helps in the achievement of
ethical standards in the governance system. “Ethics can be considered a form of self-accountability, or an internal
check on public administrator’s conduct”.
 Need of Accountability:

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 o It is normative value and is important as an end in itself.
o Important for good governance.
o Brings transparency in functioning.
o Enhances the legitimacy of the government.
o Improves efficiency of governance, recognizes positive change.
o Promotes participatory governance.
o Prevents corruption, misuse and abuse of power and position.
 How to ensure accountability:
o Demarcation of duties – defining clear roles, otherwise diffusion of responsibilities evaporates
accountability. “Everyone’s responsivity becomes no one’s responsibility.”
o Administrative procedure – efficient mechanism should be present to uphold accountability. E.g. Code of
conduct should be comprehensive; Social Audits, Gram Sabha debates.
o Information disclosures: proactive and reactive – bring transparency, make people aware on governance.
“Transparency enables mind to ask right questions.” (quote 2nd ARC)
o Public consultation – twin benefit: makes policies public participative, increases accountability by feed-
back loop mechanism (for efficiency).

Social audit

 Social audit process allows end users to scrutinize the deliverables, resources used and impact of developmental
programs. It increases demand side of effective governance.
 Social audit serves mechanism for social accountability.
 It is a decentralized, bottom-up and demand driven process.
 Social Audit, unlike CAG reports, is based on information which beneficiaries provide.

Principles of social Audits:

 Multi-perspective – reflect views of all stakeholders: gender, class, caste, religion, occupation etc.
 Comprehensive – reporting on all aspects: quality, quantity, life, impact.
 Participatory – encourage and facilitate contribution of different stakeholders.
 Multi-directional – feedbacks of different aspects like finance, efficiency, impact etc.
 Regular – to make proactive become embedded.
 Comparative – mark performance against benchmarks, temporal, special etc.
 Verified – based on facts and evidences.
 Disclosed – to all stakeholders and wider community.

2nd ARC recommendations on conditions for social audit:

 Subsidiary principle – Capacity building at grassroot level.

 Transparency – Sharing of information with citizens.
 People Centric – Participation of civil societies and people at large.

2nd ARC listed challenges to efficient social audit:

 Bureaucratic rigidity, and associated hurdles – Non-cooperative in sharing information.

 Male dominance in society – women view gets subjugated.
 Illiteracy, lack of capacity.
 Absence of trained auditors.

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  Social cleavages – Caste/identity divide.
 Unholy Nexus between bureaucracy and politicians – prevents capacity building of citizens.
 Presence of redundant laws make procedures cumbersome.
 Lack of action on audit reports and findings.

Strengthening of ethical and moral values in governance

Internal value building strengthening:

 Professional socialization mechanisms such as Ethical training, e.g. Mission Satyanishtha,

 Leadership influence e.g. Sardar Patel,
 Reward and recognition to ethical conduct,
 Integrity pact – between government and bidding parties to follow best practices of integrity, monitored by a
neutral 3rd party, usually civil society.

External measures and controls to ensure high levels of values and ethics in public organization:

 Workable Code of ethics and code of conduct, as recommended by 2nd ARC.,

 Ethical working environment e.g. Sevottam Model,
 Clarity of policies, priorities, targets etc. e.g. NITI’s India@75.
 Effective monitoring, audit and reporting, e.g. CAG reports disclosed 2G Scam.
 Clear mechanisms for reporting wrongdoings, as envisage by 2nd ARC in Sevottam Model
 Separation of duties and oversight – Mill: one cannot be his own judge, e.g. Social Audits
 Strengthening adjudication – judiciary, ADR like Lok Adalat, Gram Adalat.
 Civil Society engagement/social audits – to expose, denounce and restrain corruption. E.g. PIL, Jan Sunwai by
Mazdoor Kisan Shakti Sangathan.
 2dn ARC: Risk area review – Reviewing potential risk areas and developing a ‘value and ethics risk management’
strategy.
 2nd ARC: Proactive/Preventive Vigilance
o Preventive vigilance attempts to reduce and eliminate corruption in long run.
 Vigilance Clearance from CVC for senior appointments in PSUs & PSBs.
o Proactive vigilance – identifying suspected corrupt elements and then devising mechanisms to weed
them out.
 Officers with doubtful integrity, undesirable middlemen under watch.
o Punitive Vigilance – investigating and punishing corrupt elements, e.g. 5Cs
 Taking actions against wrong doer.

Example of Ethical Training

Port Integrity Campaign – by Maritime Anti-Corruption Network.

Mission Karmayogi also has elements of ethical training.

“Mission Satyanishtha” by Indian Railways –

 Aims at sensitizing all railway employees about the need to adhere to good ethics and to maintain high standards
of integrity at work.
 The objectives of the Mission are:

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 o To train every employee to understand the need and value of ethics in Personal and Public life.
o To deal with ethical dilemmas in life and Public Governance.
o To help understand the policies of Indian Railways on ethics and integrity and the employee’s role in
upholding the same.
o To develop inner governance through tapping inner resources.

Ethical issues in international relations and funding

 International domain is called as “anarchical society” – though few norms are followed, largely the thumb rule is
might is right.
 International ethics offer insights into how nations & other entities treat other nations & people.
 It talks of moral standing of the sovereign state.
 Major ethical dilemmas would be between ‘national interest’ & ‘ethical responsibility’.
 Morgenthau: no morality in international relations and national interest is the driving force.
 Recent happenings:
o Russia’s attack on Ukraine, Bucha Massacre.
o US exit from Afghanistan, taking over of government by Taliban.
o China’s cheque-book diplomacy, unilateral change in borders.
o Trump’s unilateral pulling-off from JCPOA jeopardizing global peace – poor leadership.
o India’s help to Nepal Op Raahat, Op Insaniyat, UAE’s offer to help Kerala – compassion.
o Sweden imports solid waste to generate electricity – create employment and energy.

Approaches to International ethics

 Realism – sovereignty supreme, only national power matters, deny the role for common or shared ethics –
Anarchy, security dilemma, Balance of power, Self-help.
o Kautiliya (Mandal Siddhant), Machiavelli, Morgenthau.
 Idealism – based on some basic moral consideration, focuses on common interests between nations, HR – ethics,
morality, laws, legal systems (institutionalists) have a central place. State is a means, humans as end.
 Constructivism – Focuses on foreign policy, diplomatic initiatives, communication between nations to shape
international relations. Note: Concept of securitization – perceived security threats based on what is talked about.
 Cosmopolitanism – World order is natural, behave in ways that you think others should behave. It empowers
international ethics and development of ‘global values and ethics’ fully – Ghosh, Vasudha-ev-Kutumbakam.
 London School – international order is an anarchic society, norms and power both co-exist.

Ethical issues in International affairs

 Fundamental debates:
o Definition/standards of ethics
o Accountability mechanism
o Difference in public opinion and government action
o Ideological Conflict
 Management of Global commons (majorly related to environment):
o High Seas, e.g. China in South China Sea.
o Antarctica, e.g. Calving of A-76 due to global warming – who is accountable?
o Climate change, e.g. IPCC highlighted that 1.5C rise from pre-industrial times.
o Outer Space, e.g. US’s space wing will start a new space race.
 “Problems without passport”, e.g. global pandemic like Corona, climate change, extremism, organized crimes etc.

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  Terrorism (Just cause theory) – a world problem; organized crime, delay in CCIT.
 Humanitarian intervention in domestic order – eroding sovereignty.
 Right of self-recognition of people – Kurd, Catalonia (Spain), Hong Kong.
 UNSC veto, undermining international order by big nations, putting self-interest before humanity.
 Trade Negotiations/Doha Round 2001 – discriminate trade tools (phytosanitary, Amber box), leading to
increasing inequalities.
 Tax Havens, rise of minimum corporate tax – sovereignty compromised.
 IPR – loss of indigenous knowledge, patents vs human health, right on intellectual vs humanity.
 Role of international media: Snowden, WikiLeaks etc. – Propagandas?
 Question of multiculturality, superiority of a culture, Asian values.
 Scientific Research Agendas and Technology transfer e.g. Unethical for Pak scientist A Q Khan to share N-Tech
with by N-Korea.
 Should North pay for poor condition of South – historical injustice.

Ethical issues in International Funding

 Conditionality
o Use of conditions attached to loan typically by the international financial institutions, regional
organizations or donor countries. E.g. IMF – eroding fiscal sovereignty.
o It is an exchange of money for policy change.
o Issues involved in conditional funding
 Donors shaping policy via conditionality undermines sovereignty of nation.
 Undermines the principle of democratic ownership – people’s right to choose
 Forced austerity, privatization, liberalization.
 Local societal diversities and local ownership ignored – evaporation of local art.
 Uniformity in conditionality questions multiculturalism. Diversity in conditionality questions
equality.
o Funding/conditionality in case of disaster and humanitarian aids.
 Crypto currency – eroding monetary sovereignty, aiding organized crimes.
 Defense Funding – continuously rising, diverting funds from developments against hunger and poverty.
 Funding to NGOs leading to poor image of government – Green peace in India; threat to security – Zakir Naik’s
Islamic Studies Foundation.
 Funding to Human rights groups (attacking particular countries, e.g. Amnesty International), and medical
agencies like MSF NGO (question on efficiency)
 Funding for illegitimate activities like terrorism/organized crime, laundering, Tax haven, BEPS.
 Information sharing on fund transfers (versus right to privacy) – Social Media selling data.
 Funding for matters like elections, foreign funding influencing domestic democracy.
 Funding influencing state order – Dollar diplomacy in last century by US, BRI project of China.
 Issues of Money laundering, black money, neo-imperialism, China on 21st century Scramble of Africa.

Corporate governance

“A business that makes nothing but money is a poor business.” – Henry Ford

Corporate Governance

 It is an act of managing company’s resources for attaining company’s objectives, mostly profit oriented.

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 It aims to ensure that a company is governed in the best interest of all stakeholders. It is about promoting
corporate fairness, transparency and accountability.
 It encompasses practically every sphere of management from action plans and internal controls to performance
measurement and corporate disclosure.

Cadbury Committee on corporate governance gave 3 principles:

 Transparency (Openness) – disclosing of information, within the limits set by their competitive position – for
confidence between management and all stakeholders.
 Integrity – straightforward dealing and completeness (presenting a balance picture of the company’s affairs)
 Accountability – Management is accountable to the shareholders and both have to play their part in making
accountability effective.

Companies Act 2013 include various aspects of good corporate governance, such as:

 Independent directors on board,

 Enhanced disclosure norms,
 Enhanced accountability of the management,
 Stricter enforcement,
 Audit accountability,
 Protection of minority shareholders,
 Investor protection, and
 Activism and CSR.
 Created a National Financial Reporting Authority (NFRA) and IndAS for prescribing and enforcing accounting
standards.

Corporate Governance relates to

 Bringing the interests of shareholders and investors to the forefront.

 Linking the company’s governance mechanism to society’s conception of corporate accountability.
 Commitment to values, ethics of business code and the company.
 Promoting fairness, transparency & accountability in company policies.
 Vertical ease of communication, prevent sycophancy.
 Grievance redressal, of employees and customers.
 Observing principles of CSR

Corporate Governance can help companies’ profit in the following ways:

 Attracting financial and human resources – by improving ethical and managerial image.
 Improving corporate performance – by improving efficiency by work culture.
o Bain and Co. research – long term performance of companies who treat their employees as long-term
assets is better than those who treat them as a burden.
o E.g. Asian Paints raised salary of employees during Coronavirus lockdown to boost morale of workers.
 Public image – brand value.
 Tapping international financial markets.
 Avoiding corporate failure – Managing risks – preemptive, crisis management, resilient rebuilding.
 Business leadership:
o Ramnath Goenka (Indian express) – conviction showed by him in Indian media’s darkest hour of
emergency remains a lesson for today’s time – duty towards society.

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 o Infosys chief Narayan Murthy suggested compassionate capitalism – holding high moral grounds in
corporate conduct. it holds that corporates are not only for profit making, but also have social
development value.
• Moral grounds in corporate can include: no illegal means, no fraud, no forced labour, sustainable.
 Independent directors – no clear definition of roles.
o Independent director – non-executive, no stake in company except as directors, brought from outside –
Cyrus Mistry Tata, Satyam, Chanda Kocher – difference and pressure of other boards – less specialization
(kin allowed to work in managerial board: Nepotism).

Corporate Governance in Public Sector Enterprise, challenges:

 Right balance between the government’s duties as owner and preventing political interference in the
management.
 Government should not distort competition by its regulatory and supervisory powers.
 Unclear ownership objectives – profit or public good?
 Unprofessional Board of Directors.
 Weak owners – apathetic staff, lack of motivation for efficiency.
 Low levels of transparency and disclosure.

Issues with Corporate Governance in India

 Nepotism in board appointments – Ambani.

 Lack of effectiveness and transparency in performance appraisal of directors.
 Overlook social responsibility and sustainability for higher corporate profits. Lack of serious effort by board
towards CSR projects – done mostly under legal obligations.
 Very high difference between salary of executives and employee.
 The Independent directors in India have either played a passive role or they can be removed easily if they do
not side with promoters. Relatives allowed to be appointed as independent directors.
 Entire boards are not often present at general meetings for stakeholders to ask questions – accountability?
 Compensation policies are not transparent and do not require shareholders' approval.
 Unrealistic risk assessment policies.
 Inadequate emphasis on privacy and data protection, cyber security.
 Unethical Practices – Glass ceiling, Glass cliff, casteism, manipulation, fraud.
 Wrong means utilized – reverse engineering, unsustainable methods, excess burden on employees.

Corporate Social Responsibility

 Phenomenon wherein organizations serve the interest of the society – customers, employees, stakeholders,
communities and environment in all aspects of their operations.
 Ethical considerations in this regard:
o Profit to welfare (which value has higher weightage)
o Personal growth to organizational values
o Ethics and profit/organizational goal
o Profits/efficiency to rights of employees (labor laws)
o Profit to environment
o Ethics vs graft (integrity pact)
 CSR Act Amendment 2013 – 2% profits of last 3 years as CSR.
o 2016 Amendment- income cap on income to independent directors.
 Examples
o Stop Hunger Initiative – Sodexo in Dhenkanal, Odisha.

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 o AAI: Cochlear (eardrum) Implant Surgery – through ALIMCO
o Infosys Mysore campus providing training and job to the nearby slum population. Hence making them
part of the growth story.
Note: India has brought Scientists Social Responsibility – scientists give 10 days/year to work for social challenges.

Committees on Corporate Governance:

 Kumar Mangalam Birla Committee 2000

 Narayan Murthy Committee 2003
 Adi Godrej Committee 2012
 Uday Kotak Committee 2017

Steps still needed to improve Corporate Governance:

 Restriction on connected directors.

 Minimum number of meets and minutes
publication of board meeting.
 Public disclosure of CSR work.
 Punish misleading Ads.
 Accountability on Carbon foot print
 Diversity Index for affirmative actions.

Example of low corporate ethics:

 Johnson and Johnson faulty hip replacement.

 IL&FC gave favors to rating agency Brick
Workers executives for higher ratings.
 Rolls Royce paid bribery to UK Serious Fraud
Office

Examples of high corporate ethics:

 Social media companies formulated “Voluntary

Code of Ethics” for 2019 elections.
 Mechanisms like Kimberley process against
trade of conflict diamonds.
 Asian Paints raised salary of employees during
Coronavirus lockdown to boost morale of
workers.
 Narayan Murthy fired then Infosys director Phaneesh Murthy on charges of sexual harassment on ‘zero
tolerance’ principle.

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Probity in Governance

“No responsibility of government is more fundamental than

the responsibility of maintain the higher standards of ethical behavior” John Kennedy

Probity in Governance – a desirable quality as per 2nd ARC

 It is quality of strict adherence to highest moral principles, uprightness in conduct, & application of these in
public service and welfare of the people, rather than just avoiding corrupt conduct.
 Probity is a cornerstone of good governance and for ensuring procedural integrity.
 While integrity is a part value system, probity is a way of working. Integrity is related more to individual’s quality,
while probity is concerned more with organization’s functioning.
 Probity in governance is the antithesis of corruption in public life.
 2nd ARC states “apart from the traditional civil service values of efficiency, integrity, accountability and
patriotism, it is necessary for civil servants to inculcate and adopt ethical and moral values including probity in
public life, respect for human rights and compassion for the downtrodden and commitment for their welfare”
 2nd ARC rightly observes that ethical behavior does not lie in bold words, but in their adoption in action.
Vivekananda observed “knowledge without action is useless”.
 Bureaucrats should prevent themselves from becoming New Despot (Tyrant) – exercising excess power, in
arbitrary fashion.
 Probity is a multidimensional concept, includes virtues like integrity, honesty, impartiality, impartiality,
commitment to constitutional principles, dedicated and selfless public service.
 Important perquisites for probity needs actions related to:
o Reducing corruption,
o Effective laws, rules and regulations, and
o Their fair implementation.
 Objectives of Probity in Governance:
o To ensure accountability, integrity, compliance with the process,
o To bring transparency in government actions,
o To preserve public confidence in governmental processes,
o To avoid potential for misconduct, fraud and corruption.
o To promote ethical actions.
 Need for probity in governance is
o To prevent unethical practices like misconduct, fraud and corruption in governance.
o To bring in good governance (accountability, transparency, integrity, confidentiality etc.).
o Bring lost public trust back and ensure public interest and cooperation in governance.
o To cater to the needs of all sections of society to achieve inclusive growth.
o To bring strong image of country around the globe.
o For efficient resource utilisation.
o To ensure compliance with processes.
o If something is legal, doesn’t always mean it is right. Probity of the public servant helps to make righteous
decision, based on merit of action.
 Probity in work is becoming a difficult task for civil servants. Challenges to Probity in Governance:
o Corruption – social acceptance, institutionalised, normalised way of life.
o Evils of coalition government – instable government leads to soft state.

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 o Absence of transparency and accountability – cumbersome procedure for setting accountability.
o Unrealistic code of conduct – vague and often not punished.
o Toothless laws and institutional arrangements.
o Unholy politician-bureaucratic-businessman nexus.
o General value degeneration of the society.
o Growth of materialism as a result of globalization.
o Slow and tardy case disposals and justice delivery.
 How to Bring About Probity
o 2nd ARC recommends having a cooling off period for candidates of P, VP, Governor.
o 2nd ARC recommends rationalising bureaucracy.
o Reforming public service, combatting corruption.
o Legally enforceable Code of ethics.
o Strengthening social audit. They are based on information which beneficiaries provide.
o Empowering civil society (effective citizen charter, RTI etc.), and giving moral education.
o Presence of vibrant and proactive media – as an institution of transparency and accountability.
o Promoting ethical infrastructure and work culture etc.
o 2nd ARC recommends “Risk Area Review” – for risk assessment.
o Proactive, preventive and punitive vigilance.
o Training like Mission Satyanishtha, Mission Karmayogi.
o Framing effective laws, with effective and fair implementation of those laws, etc.
 Conclusion: Probity in governance is an essential of good-governance and for socio-economic development.
Ensuring probity in public sector activities is part of every public official’s duty.

Concept of public service

 Public service refers to goods and services government provides to citizens – their success depends on their
availability, affordability and accessibility.
 Public Service is the interface between the citizen and administration.
 2nd ARC – “Citizens are end in themselves, rather than as means to other ends.”
 2nd ARC calls for citizen centric governance.
 The motto that “public service is public trust” recognizes that compared to ordinary citizens public servants enjoy
many powers and privileges, hence also need to be under certain obligations and guides.
 Public servants refer to all the public functionaries working in people’s interest including all those working in the
army, judiciary and the executive.
 Public interest is the collective interest of the entire community.
 Social Contract concept – State emerged to protect and enforce the rights of its people. Social contract expresses
2 fundamental ideas
o Value of liberty – ‘will’ not ‘might’ is the basis of government
o Value of justice – ‘right’ not ‘might’ is the basis of all political society and order.
 If public service mechanisms are effective, then people may be served in the best possible way and maximum
public interest can be ensured.
 Factors affecting efficient public service delivery:
o Reach/accessibility – Its presence to remotest corners of the country.
o Effective policy making and regulation.
o Ability – Administrative and managerial capacity to serve.
o Following constitutional mandate and the legal framework.

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 o Effective coordination between institutions of governance.
o Leadership at different level of administration.
o Excellence in service delivery (Sevottam model).
 7-principles to be followed in public service:
o Serve rather than steer.
o Serve citizens, not customers.
o Seek the public interests.
o Value citizenships over entrepreneurship.
o Think strategically, act democratically.
o Recognize that accountability is not simple.
o Value people, not just productivity.
 New Public Services approach – public interest & democratic citizenship are guiding stars (v/s bureaucratic model)
 Riggs gives concept of Ecological Bureaucracy for 3rd World Countries – aims for developmental administration.
 Development Administration – action oriented + goal oriented. Its focus is on government influenced change –
towards the attainment of progressive social, economic and political objectives.
 Behavioral parameters for development administration
o Change/transformation orientation
o Outcome orientation
o Citizen participative orientation
o Commitment to work
o Focus on public centrism and public interest
o Flexible and dynamic
o Believes in decentralization
o Concerned with innovative approach
o Guided by constitutional values
o Upholding desired civil servant values – Nolan Committee’s IAS HOLO, 8-UNDP Good Governance values

Philosophical basis of governance and probity

 Kautilya – realist approach, Arthashastra’s Smart power, Saptang theory, Yogshem.

 Ashoka – Benevolent ruler, who changed from cruel to pacifier.
 Akbar – Benevolent ruler, religious harmony and unity, administrative efficiency (Mansabdari).
 Mahatma Gandhi – Ahimsa, Satyagraha, Swaraj, Ram-rajya, Means-ends continuity, 7 sins, Talisman.
 Jawahar Lal Nehru – Modernist, Scientific Humanist, Liberal world order, International peace.
 Swami Vivekananda – “Service of man is service of god”, “Knowledge without action is useless”.
 Vallabhbhai Patel – Iron fist in velvet glove, Unification of India, Patron saint of Indian Civil Service.
 Ambedkar – need a better society first for a better politics/administration, Constitutional morality.
 Abdul Kalam – promotion of scientific values, diligence, simplicity, optimism, “Aiming small is a crime”.
 Socrates – normative for a good life, “Knowledge is virtue”.
 Plato – Talks of justice, Four “Cardinal virtues”: Prudence, Temperance, Courage, Justice.
 Aristotle – Virtue theory, Potentiality to actuality, Golden mean, “Law is reason without passion.”
 Bentham – Utilitarian, Consequentialism, Hedonism.
 JS Mill – bring aspect of quality in utilitarianism. Champion of liberty and speech.
 Immanuel Kant – Deontology, protection of Human dignity, Intrinsic and Extrinsic value.
 Hobbes – lawless world (SNPBS), “State of nature is all against all”, man is PIMPU, “Covenants without…”.
 Locke – Tabula Rasa, Man is rational, Right to life, liberty, possession, theory of separation of power.

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  John Rawls – Justice as Fairness for all, Lexical order of LED, “Justice is the first virtue of social institutions”.
 Jean Paul Sartre – Existentialism – all have intrinsic value, “Existence precede Essence”.
 Hindu Philosophy
o Geeta shows righteous path – Six good qualities, six vices.
o Nishkam Karma – self-less or desire-less action; central tenet of Karma Yoga.
o Dharmashashtra – Dharma is to follow one’s duty – help in progress of the world.
o Purushartha – Dharma, Artha, Kama, Moksha
o Karma-phala Siddhanta – you get what you give, circular motion of karma.
 Buddhism – “Karma Marg” for salvation, Anatta – Selfless, “People are won by love, not by war”.
 Jain Philosophy – Tri-Ratna: Right Faith, Right Action, Right Knowledge.

Information sharing and transparency in government – Right to Information

 Transparency is openness in decision making on one side and openness to scrutiny on the other.
 Transparency is 2-way flow of information and communication between government and citizens.
o Freedom of information is core/essence of transparency – building trust.
 It creates a climate of self-restraint & self-check to avoid irregularity – leads to internal accountability.
 Importance of transparency (same as accountability):
o Objective decision making. E.g. by using ICT.
o More and clearer accountability. E.g. via Citizen Charter.
o Public participation. E.g. Mechanism of Gram Sabha leads to informed public -> quality input.
o More harmonious, cordial inter-relationship between public and administration.
o More effective & careful use of public resources. E.g. corruption free contract allocation.
o Public activities open to public scrutiny. E.g. Social audit under MNREGA.
o Expose counterproductive and inhibiting rules that make administration slow. E.g. redundant laws.
o Reduce chances of corruption or abuse of power. E.g. open allocation prevents conflict of interest.
o Legitimacy to government decision by public support – tacit or explicit. E.g. Gram Sabha.
o Leads to good governance.
 Mechanisms to maintain transparency:
o Proactive disclosure – government disseminating information on its own pro-actively
 e.g. Citizen charter (information about citizen’s claim), reports like Economic Survey, PIB,
Rajasthan Jan Soochna Porta.
o Reactive disclosure – information provided on demand of citizen.
 e.g. RTI, Right To Know (Maharashtra).
 Institutions to achieve transparency in the administration:
o Parliamentary Controls – Question hour, zero hour, debates, different motions, parliamentary committee.
o Legislative framework – CIC, RTI, Time Bound delivery of goods and services.
o Ombudsman – Lokpal and Lokayukta.
o Independent Judiciary – judicial activism, PIL.
o E- Governance, TORA (Transparency Of Rules Act – suggested by Economic Survey).
o Free press under Article 19.
 Asymmetry of information – exploitation of dependents. Information is fundamental for democracy to work.
Information is achieved by brining transparency.
 2nd ARC observes that transparency prevents corruption, bring probity, accountability, openness.
 2nd ARC Suggest – “Replace oath of secrecy by oath of transparency”
 2nd ARC – Openness should become norm, while privacy an exception. (Conclusion)

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Right to Information, Act 2005

“You must question those in power to live in a true democracy.” – Pranab Mukherjee

 2nd ARC “RTI is the key to open the locks of good governance.”
 2nd ARC – RTI act is called as sunshine act – darkness of secrecy to dawn of transparency – create awareness,
management practices book-keeping, auditing etc.
 2nd ARC: Openness in the exercise of public power is a culture, which needs to be nurtured, with privacy &
confidentiality being an exception. Will create an environment of public vigilance which will help promote
functioning of a more participatory democracy.
 RTI aims to empower citizens, promote accountability and transparency. It helps citizens seek information on
government functioning and resource use.
 A fundamental Right under right to life Article 19.
 People are armed with knowledge leading to participative democracy as informed citizens and ushering in people
centric governance.
 RTI has defined
o Who the information providers are? – state or its agencies.
o What types of information they can provide – all, with few exceptions (section 8).
o What kind of information they can withhold – denting national interest, individual information, 3rd party.
o How one can access the information – time bound manner (30 days), payment of ₹10.
 For supply of information, the Act creates an elaborate machinery. It consists of Public Information Officer,
Assistant PIO, Departmental Appellate Authorities, independent CIC and SIC.
 For efficient sharing of information, RTI Act creates obligation of digitalization of information.
 Benefits of RTI institution.
o Empowers citizens and makes democracy vibrant.
o Transparency creates public trust.
o Opens government’s records to public scrutiny, making the government more accountable.
o Lesser leakage and corruption, reduces chances of misuse of information.
o RTI activism puts check and balance on government power.
o Encourage questioning and helps citizens in decision making (election).
o Set mechanism is easy to file and time-bound in nature.
o Led to disclosure of scams like CWG, Adarsh housing, PDS Assam.
 Section 4 of the RTI Act requires suo motu disclosure of information by each public authority. However, such
disclosures have remained less than satisfactory.
o Section 4(2) of the RTI mandates Governments to maintain computerized records and provide
information suo motu to the public, so that there is minimal need for filing RTI applications.
o In reality, Governments are not keeping as much information as possible in the public domain suo motu.
o As per a recent NGO study of the Central Information Commission in 2018, 70% of the original RTI
applications are not required, provided the Government suo motu publishes the information in the
public domain.
o Rajasthan Jan Soochna portal: Pro-active information dissemination of government’s digitalised database.
 Section 8 provides certain exemptions to RTI information sharing:
o National Interest.
o Economic Information of State.
o Judicial Processes.
o Information protected under Official Secrets Act (RTI Section 8(2)).
 Section 11 talks about 3rd Party Confidentiality.

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Performance of RTI

Performance of RTI Adjudicators:

 Estimated loss of ₹290 crores in the forms of fine and penalty.

 Most denial of the Information under RTI was seen in cases of 3rd party information. 3rd party is not clearly defined
in the act. (suggestion to define it clearly).
 Many of state commissions have not posted their annual report on the web.
 Incomplete information is provided in most cases which further leads to delay.
 CIC and 12 SIC backlog will take more than a year to clear on full capacity.
 Satark Nagrik Sansthan –
 Rajasthan SIC remained without Chief for more than 2-years.
 Only 3% of the cases impose penalty.
 Estimated 2.5 years to dispose a case.
 RTI Act, 2005 did not create a new bureaucracy for implementing the law. Instead, it mandated officials in every
office to change their attitude and duty from one of secrecy to one of sharing and openness.
 Persistent vacancies in State and Central Information Commissions is long drawn problem.

Performance of Public Authorities:

 CIC has reported that 94% of central ministries and departments have provided the required details.
 After the roll out of RTI, this has been the first time that the number has crossed 90%.
 Case of DIPP: DIPP accepted payment only in DD for Rs. 10.
 Political parties not under RTI Act despite being substantially publicly funded.

Involvement of Citizens

 At least 50 Lakh RTIs are filed every year.

 2% of Indians have used it till now.
 Killing of RTI Activists: Chirag Patel (Gujarat, for seeking info on MPLAD); Lalit Mehta, Jharkhand for Social Audit
of MNREGA; Gattu Waman Rao in Telnaga for land issue;

Role of Frivolous RTI

 Case of Vidya Bharti School, Delhi – 15 RTIs filed by teacher after removal from school.
 PhD students filing RTI to get access to data for dissertation.
 Many are used to blackmail public functionaries and authority.
 In 2016, several MPs of RS had demanded to amend RTI Act to penalize frivolous RTI.
 Most of the frivolous RTIs are politically motivated, retarding the efficiency of RTI system.
 Former CJI Gogoi – unbridled use has created a sense of “paralysis and fear” in the government.
 Former CJI Gogoi – time had come to lay down guidelines on the use of the RTI to check the locus of the RTI
applicant and put a “filter” on the kind of requests made under the 2005 Act.

RTI activism highlighted

 Loss making deal of Bullet train.

 Aadarsh housing society scam 2008.
 2010 Common Wealth games.
 PDS Scam in Assam 2007.

Steps taken to improve RTI

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  Reforms by CIC
o Digitalization of CIC has been done similar to e-court.
o Digital tracking option allows RTI applicant to get updates on the case’s progress.
 Draft rule by DoPT released in 2017 to enhance functioning of RTI.
 EVM, CJI office under RTI.

Issues remaining

 Section 8 repeatedly cited to protect information from disclosure.

 Procedure for appeal on RTI is separate from filing RTI.
 CIC holds discretion whether appeal is fit for trail or not – establish objective criteria.
 There is no time-limit for disposal of appeal.
 Limitations brought by 2019 amendment – security of tenure, status lower than previously.
o Earlier → term fixed to 5 years of 65 years whichever is earlier; Now → As Govt may deem fit;
o Earlier → Salary of Central CIC + ICs = CEC and ECs; Now → determined by Central Govt;
o Earlier → Salary of State CIC + ICs = SEC and CS; Now → as determined by Central Govt;
o Criticisms
 against federal spirit → even State CIC and ICs Salary and allowances in hands of Central Govt
 against the independence of ICs = no fixed service years and salary
 reduced the status granted to ICs at Center and State
 lack of consultation with stakeholders

Steps needed further:

 Adjudicator:
o Prescribe the limit of number of cases which are to be dealt in advance.
o Appointment of IC should be swift, based on list/roster system.
o Increase manpower and strengthen PIO institution.
 Scope and functioning of RTI
o Political parties and judiciaries should be brought under the ambit of RTI.
o Increase the fee of RTI from ₹10 to ₹500 to avoid frivolous RTI.
o Need of a common mechanism for filing RTI and its appeal.
o Proactive disclosure on information under Section 4.

e-Governance – SMART governance

 2nd ARC – E-Governance or ‘electronic governance’ is basically the application of ICT to Government functioning
to bring about ‘Simple, Moral, Accountable, Responsive and Transparent’ (SMART) governance.
 2nd ARC – e-governance is new paradigm using ICT to bring public services at doorsteps of citizen.
 Stages of e-governance
o Computerization/digitalization.
o Networking/interconnection.
o Online Presence/updating.
o Interaction with citizens.
 E-Governance should not merely be seen as use of ICT in as a mode of communication, but rather as ICT in process
at every stage of governance. E-Governance demands process re-engineering.
 Success of e-Governance intervention requires Knowledge Management (KM) as an important component.

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  Knowledge Management (KM) is defined as a discipline that promotes an integrated approach to creation,
identifying, capturing, evaluating, processing, retrieving, utilizing and sharing information.
 2nd ARC lists benefits of e-governance: better delivery of government services, improved interaction with
business, citizen empowerment, higher transparency, clearer accountability, efficient working, less corruption,
greater convenience, revenue growth & service cost reduction.
 Singapore model – “Singapore One” – very comprehensive service, once a child is born, the database keeps a
track of the child from primary school, employment, marriage, housing etc.
 UN E-Government Survey (2008) laid stress on the march from ‘e-government to connected government’. It also
stresses front-end and back-end processes to be innovatively integrated and efficiently implemented to achieve
improved service delivery.
 National e-Governance Plan (NeGP) 2006 aims at improving delivery of Government services to citizens and
businesses. Its vision is to make all government services available to citizen of India via electronic medium.
o Has 31 mission Mode projects – E-Office (Computerization) and Common Service Centre (CSC) are two
important projects in NeGP.
o NeGP divisions – Human Resource Development, Research and Development, Capacity Building,
Architecture Framework Standards.

2nd ARC gives core principles of e-governance (becomes corresponding challenges)

 Clarity of purpose – objectives, evaluation of citizen’s need, citizen centric.

 Environment building, e-preparedness as stepwise approach.
 Efficient implementation of e-governance.
 Monitoring and evaluation for correction of limitations.
 Safe e-environment.
 Allowing for horizontal applicability, and development in local languages.
 E-governance as a continuing process.

Types of e governance – as per 2nd ARC

 G2C
o Computerization of Land Records (Department of Land Resources, MoRD, GoI)
 Failure – digitalization did not solve problem to paper land records, it didn’t reflect actual field
reality; only transferred loopholes in paper system to digital.
o Bhoomi Project in Karnataka: Online Delivery of Land Records through government kiosks
 Success – solved earlier issue of cumbersome record keeping, delays; provides for request for
changes in land title; self-sustaining mechanism by levy of charges.
o Gyandoot (MP) – providing relevant service information to rural population.
o Project FRIENDS in Kerala – digital financial and tax services.
o Rajasthan’s e-Mitra Project – digital service kiosks, bringing government services next door.
o Rajasthan’s SSO (Single Sign On) – unified platform to access government services, or raise grievance.
o Telangana’s Samagra Vedika initiative – common identifier for 25 government databases. Only Head of
Department can see all data.
o UMANG – 660 services on a single App.
o MyGov – public-government interaction and participation platform.
o IndEA – uniform and unified platform for government service delivery.
 G2B
o MCA 21 - The Ministry of Corporate Affairs – all registration related services.
o GeM – procurement by government through listed vendors, 25% from MSME.
o e-Biz – information and clearances related to business activities.
o PARIVESH – for environment clearances.

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  G2G
o Khajane Project in Karnataka: It is a comprehensive online treasury computerization project. Enables
tracking every activity right from the approval of budget to fund flow.
o SmartGov (Andhra Pradesh): movement of file from one office to other. Paper to digital.
o PRAGATI platform
o Public Financial Management System (PFMS) portal
o Trakea Haryana – for efficient file movement and locating files in government functioning.
o eHRMS – e-Human Resource Management System – for central service officers to apply for leave etc.

2nd ARC recommendations of on e-governance

 Strengthen all 4-pillars of e-governance – people, process, technology, resources.

 Information standardisation: based on cataloguing, indexing and orderly storage for efficient data management.
 Government Process Re-engineering: to make them adaptable to e-Governance.
 Simplification of process: e.g. RTI single window for filing and disclosure of information
 Focus of e-governance should be on Local Self Government as they are closest to citizen and constitute interface
between government and citizens.
 Capacity Building: for both organizations and user individuals.
 Building conducive: displaying a will to change within the government, Incentivising e-Governance, creating
awareness in the public.
 Monitoring and Evaluation: in a regular manner for timely improvement.
 PPP: should be preferred mode for all non-essential, outsource-able job; selected transparently
 Protecting Critical Information Infrastructure Assets: need of assets protection strategy and required
infrastructural backing.
 Common Support Infrastructure: all data centres at State level should be subsumed in State Data Centres (SDCs).
 Need of a comprehensive e-Gov law, data protection law.

Case of m-Governance

 India jumped directly from traditional paper based governance to m-governance in many domains.
 M-Governance is more successful in India because:
o Higher penetration of mobile phone compared to computers.
o Individual connectivity – possibility of 24x7 service delivery.
o Low cost of internet.
o Simple User Interface (UI) based visual cues and symbols – reducing the gap between literate and illiterate
 Examples of successful m-Governance initiatives – UPI platform, UMANG App etc.

Codes of Ethics – Morally enforced

 Set of written guidelines issued by an organization to its members to guide their decision making and moral
conduct, in accordance with primary values and ethical standards of the organization. They are just broad moral
values, and cannot pin-point action.
 It has values like integrity, impartiality, commitment to public service, accountability, devotion to the duty,
exemplary behavior etc.
 For civil servants to become agents of change, code of ethics is an integral aspect. [conclusion]

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  Indian Public services have many established traditions and acceptable behavior, but without formal sanctions,
they lack uniformity and implementation.
 Code of Conduct contains few hints over ethical behavior of Public servants, but they are vague, minimal, and
easy to circum-pass.
 There is no Code of Ethics prescribed for civil servants in India. We only have several Conduct Rules, which
prohibit a set of activities. 2nd ARC recommends legally Binding code of Ethics.
 Code of Ethics builds character for good governenace.
 Structural changes for good governance like citizen charter, RTI, e-gov etc. cannot work without behavioral
reforms. They will remain cosmetic changes rather than transformational changes.
 Public Service Bill 2006 aimed to strengthen working of civil servants without political/senior’s pressure. It
demanded public servant to:
o Primary goal – good governance for public interest.
o Allegiance to the Constitutional values.
o Apolitical functioning.
o Objectivity and impartiality.
o Accountability and transparency.
o Maintenance of highest ethical standards.
o Merit as criterion for decision making.
o Ensuring economy and avoidance of wastage in expenditure.
o Healthy and congenial/friendly work environment.
o Participation of all level of personnel in management.
o PSC Bill envisages an enforceable code of conduct for all bureaucrats through new Central Public Services
Authority – responsible for coordination, control and monitoring various structural changes by the bill.
 nd
2 ARC on Ethics in Governance recommendations-
o Partial state funding of elections.
o Tightening of anti-defection law.
o Code of ethics for ministers, legislatures, judiciary and civil servants; code should include integrity.
o Tightening the provisions of Prevention of Corruption Act and Speedy trials.
o Creation of ombudsman at national, state and local level – Lokpal and Lokayukta.
o Making corrupt officials liable for paying damages – individual liability.
o Confiscation of property illegally acquired (introduces with PCA Amendment).
o Deletion of article 311 with a provision that legislation under 309 be made to protect public servants
from arbitrary action.
o Measures to protect honest servants from malicious complaints.

 The 2nd ARC fourth report (2007) recommended a code of ethics based on a set of “Civil Service Values”,
transgression of which was to attract disciplinary action. There should be mechanism to ensure that civil servants
constantly aspire towards these values.
Desired Ethics of Civil Servants

 Personal qualities of civil servant compromise personality, intellect, conscience and character.
 4 cardinal Virtues – Prudence, justice, courage and temperance – all relates to ethical conduct.
 IAS HOLO + RACE TRIP – Integrity, Accountability, Selflessness, Honesty, Openness, Objectivity, Responsiveness,
Efficiency, Law abiding.
 Other desired qualities – efficiency, meritorious, optimism, courage, fairness, charity, superior prudence, moral
heroism, correct their moral frailties, and impartiality.
 Superior prudence – wisdom for achieving nobler and bigger goals than mere individual achievements. This
requires public servant to discipline his will and acquire self-command.

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  Moral heroism or courage – so that a civil servant can remain steadfast in his moral convictions and without
wrongful pressures or immoral policies.
 Love of people – will enable public servants to provide services to people & care for them. They should always
be ready to serve the best interests of people in their jurisdiction.
 Need to trust people – transcending cultural gap between himself and masses – 2nd ARC observes Public Servants
are seen as apathetic.
 Constant pursuit of moral self-culture – higher positions in civil services need greater moral refinement. Nobility
of character comes from constantly improving one’s moral conduct.
 Moral exemplar. Moral exemplar is one who serves as model of ideal morality.
 Public servants as compared to business managers, strive for higher purpose. Business managers aim for higher
economic profit, public servants for public good. Thus, public servants have higher importance of ethical conduct,
good character, self-less-ness, benevolence etc.

“Politics without ethics is a death trap” – Gandhi

“Politics without principles” is amongst 7-sins listed by Gandhi
“Politics and ethics are made of same cloth” – Plato

Codes of Conduct

 Set of rules that outlines the expected behavior from employee. E.g. Not taking gifts above a certain value.
Precise and unambiguous list of acceptable and unacceptable behavior.
 Code of conduct was started in India by Cornwallis.
 In recent times, with changing nature of public administration and higher expectations from civil servants, code
of conduct in public sphere has assumed greater importance.
 The motto that “public service is public trust” recognizes that compared to ordinary citizens public servants enjoy
many powers and privileges. Hence, Code of Conduct for civil servants impose special obligations and restriction
on the exercise of public power and authority.
 Code of conduct serve the following purpose:
o Regulating behavior of civil servant – Increase possibility of action in public interest.
o Continuous comparing of conduct against prescribed norms, civil servants get in the habit of doing the
right things.
o Set standards against which civil servant’s behavior can be judges.
o Express the commitment of civil servants to certain moral standards (externally).
o Proves effective by appealing to one’s moral sense.
o Help civil servant in time of dilemma and contradictions.
o Increase accountability towards citizens.
o Guides all Civil Servants towards a common goal of good governance.
 Issues with code of conduct
o They mostly talk about don’ts and rarely about dos.
o They do not provide clear solution for civil servants in case of dilemma and conflicts.
o Some rules are highly restrictive in nature, curtail freedom of civil servant as citizen, e.g. prohibition on
criticizing government.
o Many of the codes are impractical and vaguely worded, e.g. ‘high standards’ conducts.
o They are not often made public and there is lack of awareness about them in public, and even in civil
servants.
 Code of conduct related information:

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 o US, UK, Germany, Canada, and Pakistan have Code of Conduct for Senators.
o Lok Sabha speaker in 2019 setup a committee of presiding officers to recommend common Code of
Conduct for legislative bodies.
o VP mooted for Code of Conduct for MPs and MLAs.
o There exists a Code of Conduct for Rajya Sabha since 2005; but no such Code for Lok Sabha.
o Code of conduct for Union Ministers 1964.
o Code of Conduct for Judges 1999.

Central Civil Services Conduct Rules 1964.

 Requires maintaining absolute integrity, devotion to duty and political neutrality.

 Professional life
o Government servant shall not misuse office.
o Political Functions
 Cannot participate in political acts except voting.
 Cannot criticize government.
o Cannot take any employment outside government.
 Literary and artistic work allowed with permission.
o Prohibits editing or management of any newspaper or periodical.
o Cannot accept gifts, restriction on buying and selling properties. Minor gifts allowed up to of ₹5000 and
under protocol and curtsey.
o Civil Servant should avoid conflict of interest.
 Personal Life
o Cannot engage in polygamy.
o Neither give or demand dowry.
o Display secular behavior.
o High standards of personal conduct in public.
o Bar on accepting commercial employment immediately after retirement.
 Issues with the Rule 9 of the CCS (Conduct) Rules, 1964:
o Rule 9 prohibits adverse criticism, directly or indirectly, Government and its policies.
o It goes against Fundamental Right under Article 19 (1)(a).

 Arguments in favour of Rule 9

o CS are permanent executives -> need for political neutrality for unbiased implementation of policies.
o Bureaucrats are not directly accountable to citizen, but political executives (Government) is directly
accountable, thus should work in accordance with Government policies.
 2nd ARC defines this relationship as Output-Outcome Frame. Outcome is decided by political
executives as the final result. Output is outlined by civil servants in line with outcome.
 Arguments against Rule 9
o Rule 9 makes an underlying assumption that any criticism is indiscipline and subordination.
o Step in making of committed bureaucracy, that undermines the democratic character of India.
o Fundamental Rights:
 SC in Vijay Shankar Pandey, 2014 held that Article 19 applies to all citizens and government
servants in common.
o Public Order:
 In Ram Manohar Lohia Case, 1960, it was held that public order was the absence of disorder (not
curbing all rights). Article 19 (2) acts only on incitement public disorder.

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 o Colonial origins: reflective of colonial mindsets, guided by a surveillance and command and control
mentality.
 Measures taken by the Government
o In 1957, the DARPG prepared a code of ethics, but they were never issued.
o In 2006, the DoPT drafted a Public Service bill, but no action was taken.
o The 2nd ARC fourth report (2007) recommended a code of ethics based on a set of “Civil Service Values”,
the transgression of which was to attract disciplinary action.
 Way Forward
o CCS (Conduct) Rules, 1964 be replaced by a broader ‘code of ethics’ based on 2nd ARC recommendations
and practice in nations like in other countries like UK, USA etc.
o Public Service Bill must be enacted on priority basis to ensure proactive accountability towards Citizen.

All India Services (Conduct) Rules, 1968

 Section 3(1) – Maintain Absolute Integrity and Devotion to Duty; do nothing of unbecoming.
 Section 3(1A) – Maintain Highest ethical standards, Political neutrality, Impartiality on duty, accountability and
transparency, responsiveness (especially to weaker section), courtesy and good behavior with public.
 Section 3(2) – Every member of the services shall take all possible steps to ensure integrity and devotion to duty
of his/her subordinates.
 Section 3(2A) – Not adopting dilatory tactics in dealing with the public.
 Section 3(2B) – [added in 2014] – Every member of the services shall
o Commit and uphold constitutional supremacy and democratic values.
o Take decision should solely be on public interest and use public resources in economic, efficient, and
effective manner.
o Declare any conflict of Interest.
o Not misuse post for personal/financial gain.
o Not discriminate, especially against poor and under-privileged.
o Maintain discipline and implement any order.
o Maintain confidentiality.
o Discharge duties with highest degree of professionalism and dedication.
 Section 3(3) – Take order from superior only in writing, not employ child below 14 years of age.
 Section 5 – Ban on taking part in politics and elections.
 Section 7 – No communication criticizing government in public media/documents.
 Section 9 – No unauthorized communication of information.
 Section 11 – Not to accept gifts of value higher than
o ₹25,000 – on special occasions, e.g. Marriage
o ₹5000 – otherwise
 Section 11A – Ban on giving or taking dowry.
 Section 13 – Restrictions on private trade and employment.
 Section 17A – Observance of Cultural Norms, no polygamy, no crime against women, follow 2-child norm.
 Section 20 – restrictions on consumption of intoxicating drinks and drugs.

Comparison of Code of ethics and Code of Conduct

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  Code of ethics are ethics that govern decision making and code of conduct are the ethics that govern actions.
 Code of conduct is enforced sense of moral duty, code of conduct may be backed by punishment.
 Code of ethics is promotion to ethical conduct or positive behavior, code of conduct is prohibition to
negative/unethical/illegal behavior.
 Code of Ethics usually contains general values while code of conduct clearly spells actions which are derived
from values. Principle is the general law or rule that guides behavior or decisions whereas values articulate “an
aspiration of an ideal moral state”.
 Absence of code of Ethics/Conduct creates scenario when it is easy to be moral opportunist and use unethical
deeds as a means to career advancement. E.g. Fake encounter.

Citizen’s Charters

 Definition: Citizen charters are set of commitments/promises made by organization regarding standard, quality and
timeframe of services it delivers to its citizen and customers, along with grievance redressal mechanism.
 It is an expression of understanding between the citizen and service provider about the nature of services that the
latter is obliged to provide.
 Rationale: As public services are funded by citizens, either directly or indirectly through taxes, they have the right to
expect a particular quality of service that is responsive to their needs and is provided efficiently at a reasonable cost.
 Utility: Citizens’ Charter binding link that brings trust between the service provider and its users, and is also a method
of accountability, thus empowering citizens and deepening democracy in substantial terms [DAPRG site].
 It allows for service improvement by setting standards to check service quality.
 Origin: UK in 1991 as a national program – a modern concept. India began Citizens' Charter early in 1997-98.
 6 principles for Citizen’s Charter originally framed [DAPRG site]:
o Quality – to improve service quality of organization.
o Choice – provision wherever possible.
o Standards – specifying what to expect and how to act if the standards are not met.
o Value – for client and the taxpayer money.
o Accountability – set on individuals and organizations.
o Transparency – of rules/procedures/schemes/grievances.
 Ingredients: DARPG prescribes following for a good citizen charter, to includes:
o Vision and mission statement of the organization
o Service statement – Specification of time frames and quality standard for each service at each level.
o Clear identification of services, levels, client groups/stakeholders/users
o Details and expectations from clients or customers.
o Information about the grievance redressal procedures, and compensation on failure of service.
o Compensation mechanism in case of failure of services delivery.
o Details of business transaction.
 Significance: A citizen charter can lead to
o Higher accountability and transparency.
o Change the mindset of the public official – Greater responsiveness of officials towards the public.
o Improved service delivery – efficiency and efficacy.
o Greater public satisfaction with services – public trust.
o Informed citizenry – Engages civil society to curb corruption – public participation.
o Self-regulation and improvement of organization.
o Less corruption.
 Issues: DAPRG highlighted problems with Citizen charter:

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 o Crude design and content
 Most organizations do not prepare citizen charter.
 Service providers do not understand the philosophy, goal and importance of the Charter.
 In many cases, model citizen charter is just copied without organization specific changes.
 Charters where prepared lack essential information useful for the end user.
 Lack of vernacular language charters.
 Details of public grievance officer are not provided in many charters.
 Consultation in formulation and execution training of staff not done.
o Lack of consultation: End-users, NGOs and related organization are not consulted are drafted.
o Inadequate awareness: efforts of communicating and educating the public not taken, for specific funds.
o Ignoring complaints: Customer complaints are one of the most available and yet underutilized sources of
consumer and market information.
o No focus on service delivery improvement (thus need Sevottam model).
o Special category needs: of senior citizens and differently abled have largely not been factored.
o Charters rarely updated
 2nd ARC – only 6% charters were revised since their inception.
o Citizen Charter in India is only a moral obligation, not legally binding – non-judiciable makes it toothless.
 Right to Citizen bill lapsed in parliament, concept never revived.
o Resistance to change by bureaucracy since charter increases accountability & efficiency.
 Guidelines by DARPG for Citizen Charter
o Simple, clear and Useful – focus on customer entitlements and requirements.
o In case of multiple services, multiple charters for different services.
o Participatory formulation – staff, users and experts (e.g. Chennai Municipality).
o Interaction and staff training of responsive climate.
o Satisfaction of citizens, should be goal of organization.
o Feedback and performance audit – schedule for reviewing the Charter within fixed time (something like
“citizen feedback form”).
 nd
2 ARC recommendations on Citizen Charter:
o Make Citizen Charters legally enforceable and hold officers accountable for the results (revive Right of
Citizens for Time Bound Delivery Bill 2011)
o Recommended for “Sevottam Model” – feedback based quality improvement.
o One size does not fit all – make organisation specific charter provisions, not copy model charter.
 Even within organisation – Citizen’s Charter should be prepared for each independent unit under
the overall umbrella of the organization’s charter.
o Wider consultation which should include civil society in the process.
o Ensure delivery: Internal process and structure should be reformed to meet the commitments.
o Benchmark using end-user feedback and Periodic evaluation of Citizen’s Charters.
 Other steps to improve citizen charter institutions:
o Make PIO (of RTI) as Nodal Officer for Citizen’s Charter, responsible for its implementation, review, evolution.
o Institute Best Citizen's Charter Award, on lines of Best Client’s Citizen Charter in Malaysia of 1993.
o Effective awareness campaign amongst all the stakeholders – “School Charter” for kids, earmark funds.
o Lead Organizations – identify specific organizations for exemplary purpose to promote other organizations
in the sector to follow best practices. DAPRG identified banking sector as exemplary sector for Citizen charter.
o External evaluation – DAPRG advise, preferably by NGOs. Similar mechanism succeeded in UK.
o Grievance data base – to identify structural failure and correct them promptly [DAPRG].
o Capacity building workshops for staff and officials – 2003-04 workshop LBSNAA was very successful.
o The charter initiative should have a built-in mechanism for monitoring, evaluating and reviewing the working
of the Charters, preferably through an outside agency.

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 o DAPRG – instead of striving for total change at once and attracting resistance, task should be divided into
small achievable targets, and completed in timebound manner.
o Charter should be accompanied with citizen review form and complaint form.
o Standards must conform to TRAMS idea i.e. Time bound, Realistic, Achievable, Measurable and Specific.
 Initiatives in the right direction
o UK Passport office improved services delivery many-folds since implementation of Charter in 1991,
mainly due to periodic review, updating of targets and evolution of Charter.
o Tamil Nadu urban bodies – citizens were made entitled to raise issue on failure of grievance redressal in
time as stipulated in charter. A nominal fine of ₹50 on concerned staffer/officer for delay.
o Chennai metropolitan water supply and sewage board set up a committee to review citizen charter,
including customers, activists, officials of other departments; resulted into an efficient charter.
o Regional Transport Authority – formed a simple yet informative Citizen’s Charter, backed with IT best
practices, structural improvement, & better coordination. Result: reduced time of work, eradication of
middlemen, better data.
o DAPRG Compendium on Citizens' Charters in GoI 2003 – Enable citizens to critically review functioning
of these organizations, compare service quality standards practices vis-à-vis set by the organization.
o 105 Information and Facilitation Counters/ May I Help You/ Inquiry Counters have been set up so far.
o DAPRG started Charter Mark Scheme – based on evaluation by independent organization. It will boost
sense of achievement and promote spirit of competitiveness, while generating awareness among citizens.
 Conclusion: Citizen’s Charters should be seen as a partnership between people and government to further
democratic reforms. Both performing their duties to make it a complete success.

Rights of Citizens for Time Bound Delivery Bill

The Government introduced the Right of Citizens for Time Bound Delivery of Goods and Services and Redressal of
their Grievances Bill 2011, now lapsed.

It talked about institutional, personnel improvement; legal (penalty) mechanism for service delivery.

Its provisions were:

 Bill aimed to create a mechanism to ensure timely delivery of goods and services.
 Public Authorities should publish Citizen Charter within 6 months.
o They should specify the services and the quality of services to be provided.
o The Heads of the department were responsible for disseminating and updating the Citizen Charter.
 Mechanism for grievance redressal mechanism, penalties.
 Special officer for grievance redressal, to be redressed within 30 days.
 Information Facilitation Centers should be set up by each public authority [use similar thing for RTI].
 It establishes Central and State Grievance Redressal Commission.
 Appeals from Commissioners’ decisions on the matters of corruption will lie before the Lokpal or Lokayuktas.
 Penality of upto ₹50,000 on responsible officer for failure to render service.

Rajasthan brought Rajasthan Guaranteed Delivery of Public Services Act, 2011

Sevottam model: 3 pillars, 7 steps – Sevottam Symbol: standards – IS 15700:2005

 2nd ARC proposed Sevottam Model as a model for Public Service Delivery in citizen centric way.
 Sevottam – "Seva" and "Uttam" – means excellence in service delivery.

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 It is an administrative citizen-centric “service delivery excellence model”. India is first country to publish public
service delivery standards – 60 standards and ISO standards.
 It includes the following three main charters/components:
o Citizen Charter and Service Standards (Information out) – Sevottam focuses on the formulation,
monitoring and review/feed of Citizen Charter to ensure the organization promises what it can deliver
and delivers what it has promised.
o Public Grievances (Feedback) – Sevottam focuses on receipt, redressal and prevention of grievances.
o Service Delivery Enablers/Capacity (Improvement) – key pillars required to give excellent service and
includes Capacity building, Employee Motivation and infrastructure.

 Defects of earlier systems of public service delivery:

Drawbacks of Citizens Charter

o Prepared without involvement of citizens/clients/stakeholders.
o No relation with service delivery improvement.
o Information about charter does not percolate down the line, hence not implemented.

Drawbacks in earlier Public Grievance Redress Mechanism

o Not in place in many organizations.

o Grievances not taken as feedback for improvement of services – complaints database.
o Employees not trained for improvement of tasks assigned.
o Poor Capacity of redressal.

Defects in earlier Public Delivery Standards

o Not prescribed or not met due to inadequate infrastructure.

o Non-involvement, de-motivation & lack of training of employees at cutting-edge level.
o Lack of proper planning for optimum utilization of resources.

 2nd ARC model prescribes seven steps:

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  Sevottam targets:
o Timeliness: time norms for specific services are enumerated in Citizens’ Charter.
o The services and norms are set as per active discussions with different stakeholders.
o Effectiveness: a single window system for service deliverables.
o Responsiveness: a robust grievance redress system and redress them timely.
o Courteous behavior: norm for behavior and pro-active feedback on service delivery to judge it.
o Information: facilitation centers and help centers for access to information.
 Sevottam framework is being implemented in the government departments since 2009.
 Sevottam has been launched as a certification scheme with “Sevottam symbol” of excellence to public service
organizations that are able to comply with set standards – IS 15700:2005.

Work culture

“Brilliance of a public institution ought not to depend on the brilliance of an individual

but on the purity of its management”. – Mahatma Gandhi

 Workplace culture is the environment provided by an organization to its employees.

 It is the mix of:
o Organization Value: Leadership, traditions, values, goals and objectives.
o Employees: Beliefs, interactions, thought process, skills and attitudes.
o Physical infrastructure: Bodily comfort, security, equipment of work,
ergonomic.
 Positive work culture helps employees concentrate on their work, extracts the
best out of employees and making them stick to the organization for a longer duration.

General problems in present system:

 Organizational Values:
o Profiteering, exploitative,
o High power-distance characterizes superior and subordinate relationships
o Nepotism/Favoritism
o Ghettoization based on caste, religious and regional.
 Employees:

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 o The staff ignores to pay serious attention to the visitors
o Absenteeism and coming late.
 Harvard: on any given day, 25% govt teachers and 40% medical staff are absent in India.
o ‘Aaram se’/Dilatory culture.
o “Chalta jai attitude” (need of “badal sakta h attitude”)
o Risk averse, no innovation, apathy, low commitment.
o Sycophancy – do not disagree with bosses even when its required.
o Lack of ethics and ethos
 Infrastructure:
o Poor Technology, computerization etc.
o Inadequate recreational activities.
o Stressful job conditions (e.g. Railway Loco pilot).
o Lack of dedicated machinery (e.g. for research purpose).
o Inadequate women safety infrastructure.

Underlying issues:

 Colonial legacy – Hierarchy, elitism, lack of sense of public-service based on Weberian model.
 Red Tapism – procedures have become paramount – shift to red carpet approach (Modi)
 Attitude arising out of ‘permanence’ Article 311
 Casual filling of CR – bosses tend to be lazy or to avoid having trouble with juniors, rapport.
 Poor performance evolution system.
 Lack of Gender and Culture sensitivity.
 Vertical training: training of senior and junior officers together so that they can intermingle.

How to improve Work Culture

 2nd ARC recommendation on procedure:

o Simplify process, single window approach.
o Clear strategy and vision.
o Reduce the number of layers in decision making.
o Improve performance evaluation with a 360-degree evaluation system. In the annual performance
report of an officer, the performance of junior should also be an input.
 Organizational values:
o Strategy – a set of choices to reach a defined objective, that provides a clear vision to the firm. Strategy
forces organizations to examine the prospect of change in advance.
o Results-Framework Document – consisting of the priorities of work, corresponding success indicators and
time bound targets to measure progress. RFD is an instrument to convert strategy into action, vision into
reality. It ensures things are done effectively and efficiently.
o Code of Conduct and Ethics.
 Employee improvement:
o Staff training for right attitude, aptitude and values.
o Replace “Chalta Hai” attitude with “Badal Sakta Hai” (Modi 2017 Independence Day).
o Regular skill training – updated with new technology.
o Strengthening relations between colleagues: departmental picnics and days out.
o Participatory decision making: taking input of all employees involved in delivery.

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 o Use motivation/moral theories – Performance based incentives (6th Pay Commission). While motivation
is an individual concept, morale is a group concept.
o Creating emotional bonds with the organization – goals, symbols, ceremonies etc. [Bain and Co research]
o Fostering innovation by
 Acknowledge innovative contributions.
 Fostering risk tolerance e.g. Amnesty schemes
 Work infrastructure:
o External checks like biometric time attendance system to ensure punctuality.
o Strengthening RTI regime, openness in organization, free communication.
o Engineering ergonomics.
o Information Fusion Centre.
 E.g Google/FB – gives free weak, employee trips and parties, open space work environment.
 Lokvani Project in Uttar Pradesh – kiosk based handling grievances, land records, info on govt schemes etc.
Timebound complaint redressal within 40 days. Monitored by DM.

Quality of service delivery

Central Government and State Governments are one of the largest service providers.

 Service should be SMART:

o Simple – reengineered, single window process, use of ICT.
o Moral – maintain high ethical standards.
o Accountable – allow scrutiny, responsive, procedural integrity.
o Efficiency – time bound, door step delivery.
o Transparent – people centric, objective, information sharing.
 Service Delivery should aim for:
o Involvement of various stakeholder at all levels – access, equity, quality, cost effectiveness, efficiency.
o Citizen centric (2nd ARC).
o Focus on outcomes rather than just outputs [2nd ARC output-outcome model].Transparency,
accountability, social audits, public participation.
o Grassroot level capacity building, infrastructure improvement.
o Bottom-up/decentralized approach.
o Time-bound delivery.
o Efficiency, Efficacy, Convergence, and Sustainability.
o Continuous improvement
o BIS prepared IS 15700:2005 Quality Management Systems, on the initiative of the DARPG, as a generic
standard specifically designed for public service organizations.
o Imbibe public service values at all levels. Commitment from political and administrative leadership.
Motivate employees and improve work culture.
 Problems in present system:
o Corruption and leakages
 E.g. Chhattisgarh PDS: bribes were paid by rice millers to allow substandard rice.
o Less resources against high population and poverty.
o Less or unclear accountability and transparency.
o Unholy nexus between bureaucracy and politicians.

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 o Lack of service in remote areas.
o Complicated laws – leading to complexity of the system, people do not understand them.
o Top-down approach of planning.
o Red Tapism – adherence to redundant rules, at the cost of service delivery.
o Elitism, Misuse of position – e.g. IAS couple walking dog in sports stadium in Delhi.
o Grassroot level weakness: low training, poor capacity of individuals. For a village person, a patwari is the
most important revenue officer, Thanedar is the most important police officer. They form the image of
government in people.
o No feedback improvement mechanism.
 Way forward for service delivery improvement:
o Personnel: Skill development, coordination, mid-career training, PPP model etc.
o Government: use of ICT, RFD (Result Framework Document), Doorstep delivery, subsidiary principle of
work allocation, Service delivery guarantee law etc.
o Citizens: empowering with information, audit mechanism, avenues for public participation etc.
 Models of quality service delivery [for examples and ideas]:
o Social audits, 3rd party appraisal and assessment, with transparency, accountability, regulatory
mechanism. Social Audit unlike CAG is based on information which beneficiaries provide.
 E.g. Social audit law in Meghalaya, under MNREGA.
o Door-step delivery
 E.g. Done for 70 services in Delhi.
o Use Result Framework Document – consisting of the priorities of work, corresponding success indicators
and time bound targets to measure progress. RFD is an instrument to convert strategy into action, vision
into reality. It ensures things are done effectively and efficiently.
o ICT: M-governance and E-governance initiatives like e-seva (Andhra), Bhoomi project.
o Sevottam model for improving the quality of public service delivery in the country.
o Simplify procedures (2nd ARC):
 E.g. e-Mitra in Rajasthan: Easy accessible interface, one stop single window.
o Strengthen grassroots level functionaries, training, capacity building and sensitization
 E.g. ASHA healthcare workers. Even though many ASHA workers are around 10th Grade graduate,
but they are trained enough, gained adequate skills and confidence. They enjoy immense faith of
society and have become most important link in adequate primary health care.
o Using PPP for efficient service delivery
 E.g. Collaboration with Akshay Patra for Mid-day meal – now world’s largest mid-day meal
program.
o Regular assessment of quality of service delivery. Citizen report card for citizen feedback.
 E.g. Charter-mark scheme of UK – an accreditation for organizations to indicate achievement.
Malcolm Baldrige National Quality Award (MBNQA) of US.
o Ensuring minimum tenure for public servants – to ensure efficient service delivery.
 E.g. Prakash Singh case guidelines.
o Develop cost, time and quality standards.
 E.g. Citizen Charter commitments.
o Competitive, open and transparent bidding
 E.g. GeM portal.
o Streamlining fund allocation/transfer
 E.g. Public Finance Management System (PFMS) in India.
o Performance based appraisal system, introduce performance based bonuses

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  E.g. 6th pay commission recommended performance related pay to employees based on their
Sevottam Score.
o Right to Guaranteed Delivery of Services
 E.g. MP, Rajasthan laws.
o Complaint/grievance redressal mechanism – simple, effective, timely delivery.
 E.g. Banking Ombudsman.
o Public service delivery policy
 E.g. Kerala Model, launched a Kerala’s Service Delivery Policy aimed at timely and transparent
delivery.

Utilization of public funds

IT Department Motto – “Kosha Moolo Dandaha” – Finance is the backbone of governance.

Arthashshtra:
Finance are primary source of public welfare.
Finance (Kosha) is one of the seven elements of the state as per Saptang Theory.
Taxation should be like Bee taking nectar from flowers, without hurting them.
“Honey on tongue, impossible not to taste it”.

 Funds are perhaps the most important asset for the government.
 Public Funds are resources of the people, held by government as trustee of the people.
 It is spent by public agreement through representation in legislation. Responsible use of public funds should focus
on: public welfare and national interest.
 Life-cycle of public funds:

 Full utilization of sanctioned funds is the first indicator of a scheme’s performance.

o CAG: ₹2.8 lakh crore cess collected by central government remains unutilized (2019).
o SC: Nirbhaya fund remains underutilized even after 5 years of establishment.
o 80% of the BBBP scheme funds utilized in advertisement and media campaigns.
o National Schedule Caste Development Fund remained completely unutilized for most years.
 Budget – It is a source of information and fiscal accountability. No appropriation of funds without approval by the
Parliament or State Assembly respectively. It caters function of sources, planning and allocation of funds.
o Recently, emphasis has shifted to financial propriety & project outcomes from physical target.
o Outcome budgeting means assessing the change in life or results beyond output created by funds.
o Gender Budget Statement (GBS) to reduce developmental gap between men and women of the country.
 GBS was first introduced in the Indian Budget in 2005-06. GBS comprises two parts–
 Part A reflects Women Specific Schemes, i.e. those with 100% allocation for women.
 Part B reflects Pro Women Schemes, i.e. those with at least 30% allocation for women.
 Limitations:

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  Only about 5% of the total budget is under Gender Budget Statement.
 Most of the Gender Budget Statement is allocated under Part B.
 Only a few ‘big budget’ women exclusive (Part A) schemes of MoWCD like BBBP.
 Lack of designated mechanisms for monitoring GBS at national level.

Challenges to Public Fund Utilization

o Planning misaligned with ground realities.

o Mostly due to public planning dominated by ‘Generalists’ at higher level.
o Lack of public participation at different steps of public fund management.
o Fear of prosecution for bona fide mistakes – prevents innovation and creativity.
o Too many legal procedures and approval mechanism – cumbersome process and scope of leakage.
o Lack of digitalized infrastructure.
 Misappropriation
o Funds used for purpose or in a manner which was not intended. It is out-rightly illegal.
o Includes diversion of funds and corruption.
o Happens due to lack of administrative oversight, accountability, high discretion of public servants.
o E.g. 80% funds under BBBP used for advertisements.
 Under-Utilization
o Public funds allocated are not used for any purpose.
o Fund lapses with end of financial year. Leads to problem of ‘March Rush’, leading to misutilization.
o Due to lack of adequate planning and top-down approach in funding.
o ‘Tied Funding’ mechanism to Central Sector Scheme – under-utilized due to state incapacity.
o E.g. Nirbhaya Fund remained under-utilized as per CAG report.
 Misutilization
o Problem of 3Es – efficiency, economy and effectiveness.
o Due to lack of outcome approach, poor public oversight.
o Poor bidding process – not reflecting market realities.

Recent development in finance of the government.

 Shifting forward the financial year, preventing delays and Vote on Account.
 Merging of Railway budget with General Budget
 Rationalization of Centrally Sponsored Schemes
 Cooperative Federalism – GST
 FRBM Act – for maintaining fiscal proficiency of the government funds.
 The Public Financial Management System (PFMS) integrates tens of thousands of implementing agencies and
tracks funds movement from release till money reaches the actual beneficiaries.
 Shift to outcome budgeting, and introduction of gender-budgeting principles.
 JAM (JanDhan-Aadhaar-Mobile) Trishakti/Trinity – leak proof identification and delivery.
 Adoption of Social Audit mechanism – Meghalaya made it compulsory for all schemes.
 Long-term planning – National Infrastructure Pipeline, National Monetization Pipeline, Mission Gati-Shakti.

Role of CAG in funding

 CAG reports and other studies have pointed shortcoming in the fund utilization.
 CAG is the sole auditor of the accounts of the Central Government and the State Governments.
 Audit means examination of accounts, transactions and records.
 Types –
o Procedural Audit – checks compliance to legal aspects of finances.

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 o Performance Audit
 Economy – minimizing cost of resources in an activity, with appropriate quality.
 Efficiency of resources – financial, physical and information resources.
 Effectiveness – extent to which objectives are achieved.
o Propriety Audit – checking wisdom of decisions.

Tools/steps for better fund utilization:

 Social audit, e.g. under MNREGA, Meghalaya social audit law.

 CAG – Compliance audit, Performance audit, Presumptive loss analysis; expand to comptroller over certain limits
of funding, like allocation above ₹1000 Cr projects.
 For transparency in fund use – RTI, PFMS, DBT, JAM, Dashboard for proactive information in public domain.
 Online system of release and tracking of funds like PFMS.
 Grants on advance basis rather than reimbursable basis – higher chances of utilization.
 Competitive bidding – improving efficiency, e.g. GeM; coal e-auction saved $80,000 in 2018.
 Subsidies: effective targeting of subsidies, e.g. Aadhaar based; to service provider rather than consumer, e.g.
Fertilizer Subsidy model; digitalization, e.g. Pahal scheme on LPG cylinders; Govt saved about ₹1500 Cr in 2017.
 Coupon system – for targeted benefit of people, e.g. e-RUPI.
 Giving finances directly to PRIs rather than routing through state governments – for decentralized planning and
utilization, and establishing local accountability.
 Performance budgeting based on outcome to be extended – reducing underutilization of funds.
 Un-tied funding should be promoted for ensuring flexibility.
 Address issue of matching grants. Matching central grants can distort priorities of the states.
 Create mechanism for pre-budget public participation – to take inputs of citizen’s demands/concerns, e.g.
Rajasthan Budget 2023.

Challenges of corruption

2nd ARC defines Corruption = Monopoly + Secrecy + Discretion – Accountability

“When money speaks, the truth is silent.” – Russian Proverb

“A penny of honesty is larger than a bag of crime”.

 Corruption is abuse of power by those in position of authority for personal gains.

 Corruption is highest form of dishonesty a civil servant can do with the nation.
 Any irregularity is only a prima facie indicator of possible bigger dishonesty.
 Kautilya wrote extensively on corruption in his Arthashashtra.
 Case of corruption: recent case of misappropriation of about ₹2.25 crore under RUSA scheme.
 Corruption is a broad term, that can include:
o Moral corruption – doing something unethical, e.g. adultery, discrimination.
o Misfeasance – wrong action, e.g. office resources for person gains, like cars.
Sin of Commission
o Malfeasance – poor action, e.g. inefficiency in fund planning
o Nonfeasance – not action, e.g. not filing FIR, teaching. Sin of Omission
 Types of Corruption (Financial aspect):
o Coercive – bribe giver is a victim of extortion – due to information gap or destitute.
 WB women reported to have paid ₹7000 for free Ujjwala LPG connection.

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  Systematic reforms can curb coercive corruption. E.g. Use of ICT has reduced corruption in areas
like railway reservation, marriage certificate.
o Collusive – bribe giver and bribe-taker act as partners to rob society, harm public welfare.
 E.g. 2G Scam, Aadarsh society scam.
 2nd ARC recommended to amend PCA to combat collusive corruption – in case of collusive
corruption, the ‘burden of proof’ should be shifted to the accused.
 Causes of Corruption:
o High demand of public services, obstructive actions, Information gap, social acceptance, excessive
regulation, money power in politics, high discretionary power, low conviction rate.
o Ideas:
 Explore based on Personnel-Government-Citizens framework.
 Explore based on 2nd ARC’s MSD-A framework.
o Causes listed by Santhanam Committee.
o Causes listed by 2nd ARC.
 Santhanam Committee 1964 identified 4 general causes of corruption
o Administrative delay (prompting people to bribe for early work).
o Scope of personal discretion in the exercise of powers, absence of digitalization of work.
o Government overstretching its capacity by assuming too many functions.
o Cumbersome procedures for various matters importance to citizens in day to day affairs.
 2nd ARC highlight causes of corruption as:
o Systematic
 Corruption in an organized manner, complete chain of officials linked and running a ‘Corruption
Corporate’.
o Systemic
 They are related to functioning of systems, e.g. election, political, economic, administrative
system.
o Systemic Causes
 Political Cause
 Electoral Corruption – 2019 election parties spent about ₹50000 crores, more than
₹30000 un-accounted.
 Crony Capitalism – unholy nexus between corporates and politicians.
 Opportunistic Politics – for personal gains and not policy or principles.
 Administrative Causes
 Lack of Transparency
 Colonial Legacy
 Red Tapism
 Bureaucratic causes
 Economic Causes
 Pre-1991 – Licence raj, Crony-socialism
 Post-1991 – Corruption of resources e.g. spectrum, minerals etc.
 3 core areas of economic corruption – real estates (Aadarsh society), resources (2G, Coal
scam), defense (Bofors).
 Social and Cultural Causes
 Corruption has become a way of life in Indian Society.
 “No empathic anger” [no feeling angry on wrong doing].
 Acceptance of corruption as a necessary evil.
 Outcomes of corruption:
o Rent seeking attitude – shamelessness in asking money to do one’s duty.

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 o Quid pro Quo – Give something to get something.
o International perception – India ranked 78/180 in corruption perception index.
o Investment climate – poor ease of doing business.
o Growth and GDP affected, e.g. WB estimated corruption to reduce GDP by 3-4%.
o Rise of social inequality – due to inequitable distribution of resources.
o Black-money, parallel economy, organized crime.
o Demotivation of honest officers.
o Moral turpitude of government employees in general.
 Corruption is immoral, anti-national, anti-society, anti-poor and against constitutional ideals.
 Corruption leads to uneducated students, quake doctors, broken bridges, declining economy, funding terrorism,
weak security forces, inefficient governance, poor accountability, inequality and poverty.
 Prevention of Corruption Act mentions offences which are acts of corruption. The acts are:
o Asking or taking money for performing official work or using influence with officials.
o Obtaining a valuable thing without or inadequate payment by exerting influence.
o Abusing office for material gains.
o Having assets disproportionate to known sources of income.
o Misappropriation, forgery or cheating or similar deeds.
o Recent amendment makes offering or giving bribe as a crime, unless reported as under pressure.
 nd
2 ARC has recommended that the following should be made offence under PCA Act
o Gross twisting of the Constitution and democratic institutions amounting to willful violation of the oath
of the office.
o Abuse of authority unduly favoring or harming someone.
o Obstruction of justice.
o Wastage public money.
o Combat collusive corruption – the ‘burden of proof’ should be shifted to the accused.
 Institutional structures
o CVC
o CBI Anti-Corruption Department
o CAG
o Lokpal and Lokayukta
o Judiciary

Steps to reduce corruption:

 Approaches to reduce corruption

o Vigilance – Proactive, Preventive, Punitive Vigilance.
o Risk Area Mapping method.
 nd
2 ARC recommends “Multidimensional reforms” to deal with menace of corruption.
o Political Reforms
 Electoral Reforms – mother of corruption practices.
 Strengthening anti-defection law.
 Decriminalization of Politics.
 Check on paid news.
 Check unaccounted expenditure in elections.
 Transparency in funding.
 Increased awareness.
 Bring Political parties under RTI (done and undone in 2013)
 Increase Accountability of political class by democratic tools like right to recall.
o Administrative Reforms

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  Reduce Discretionary powers of officials – bring standard to procedure.
 Use of ICT and e-governance. System of single window clearance, e.g. Andra Pradesh’s e-Sewa
Model.
 Reduce the number of levels at which a matter is processed.
 Introduction of concept of “Integrity pact”.
 Citizen charter and Sevottam model.
 Police reforms – making police citizen friendly.
 Limiting government’s role to welfare activities only.
o Legal and institutional framework
 Strengthening Prevention of Corruption law.
 Strengthening 3C – CAG, CVC, CBI.
 Appointment of Lokpal and Lokayutka.
 Social Audits – Local Self Government, civil society can help in this process.
 Protection of Whistle Blower.
o Economic Reform
 Bringing 3rd gen economic reforms, e.g. Uniform Income-tax Regime.
 Reduce state monopolies in sector expect strategic area, e.g. non-core railways.
 Ensure transparency in resource auctioning, e.g. e-bidding, GeM.
 Other steps
o Necessary to create an interlocking accountability chain - performance of juniors should reflect in CR
(Confidential Report) of senior officers.
o 3rd party evaluation of public service delivery.
o Promoting public vigilance – A law modeled on the US False Claims Act – any citizen can file a case on
behalf of the government. If he wins the case, he gets a part of the money returned to government –
incentive to whistle blower. US also has a hotline called “fraud net” to blow the whistle anonymously.
o Provision of Social Audit should be introduced in all schemes which have many scattered beneficiaries.
Social Audit unlike CAG is based on information which beneficiaries provide.
o ‘Positive Silence’ sanction – when an applicant’s request is not decided within a specified time, it is
deemed to be given; a reform from citizen’s point of view.
o Offices having large public interface should have an online complaint tracking system – use as feedback.

The issues currently in focus in fight against corruption are

 Delays in departmental proceedings against corrupt officials.

 Need for prior government sanctions for prosecuting corrupt officials – further enhanced under recent PCA.
 Speeding up trials of corruption cases
 Making corrupt officials liable for damage for their actions – 2nd ARC
 Confiscation of property acquired through corruption
 Prohibition of ‘Benami’ Transactions
 2nd ARC talks of protection of Whistleblowers
 2nd ARC recommends doing away with Art 311 which gives excessive job security
o Deletion will reduce job security, which will make civil servants more responsive, committed and
efficient.
o 311 was meant for protection of senior civil servants. However, it has made a climate of excessive job
security without fear of penalty for incompetence and wrongdoing.
o The rights of the civil servant should be subordinate to protection of public interest.
o 2nd ARC has recommended that 311 and 310 should be repealed, and government servants can be
protected under Art 309.

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Whistle Blowers: currently poor law

 Whistle blower is a person who exposes corruption, he or she comes across during course of his/her work. It
may include government officials, public spirited citizens, civil society organizations etc. E.g. FB Staffer, Uber files.
 The whistle blowers face victimization and harassment for their honest acts in the form of delayed promotion,
suspensions, transfer and even murders. E.g. Satyendra Dubey.
 Even though, police is mandated by competent authorities to provide protection, but still not much done.
 In the last few years, 65 people have been killed for exposing political party.
 Original law for whistle blower came in 2011.

Whistle-blower (Amendment) Bill, 2015 – covers only acts of central govt employees – via CVC, SVC
 Protects persons making public interest disclosure related to an act of corruption, misuse of power, or criminal
offense by a central public servant.
 It provides that any public servant or private individual or non-governmental organization can make such a
disclosure to Central or State Vigilance Commission.
 The complaint must include the identity of the complainant.
 The Vigilance Commission shall not disclose the identity of the complainant except to the head of the department
if he deems it necessary.
 Act penalizes any person who has disclosed the identity of the complainant – to prevent flavorous complaints.
 The Act prescribes penalties for knowingly making false complaints.
Criticism for this act:
 Covers only central government employees. Does not cover state government / private bodies.
 No provisions of incentives for whistle blowing, rather fear of punishment on falsification.
 Does not cover corporate whistle-blowers for exposing private corporate corruption.
 Powers of CVC is limited to making recommendations. It cannot impose penalties.
 Disclosure on identity of complainant.
 Penalties on false complaints gives large scope for exploitation of Whistle blower.
International best practice
 US has False Claims Act – any citizen can file a case on behalf of the government. If he wins the case, he gets a
part of the money returned to government.
 US also has a hotline called “fraud net” to blow the whistle anonymously.
 Supreme court asked High Courts to establish ‘witness safe-house’ – protect witness.
 Uday Kotak Committee recommended for SEBI protects Whistle Blowers.

Recent debate related to whistle blowing

 After it came to light that the source of the Uber Files investigation was Mark McGann a senior lobbyist who
worked for Uber, the whistle-blower of the 2016 Panama Papers has given his first interview.
 The Panama Papers, exposed how the rich and powerful parked and moved their money in and out of global tax
havens.

Whistle-blowers:

 Whistleblowing refers to calling attention to wrongdoing happening in an organization.

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 Whistleblowing has to do with ethical understanding, at a deep level, that an action his or her organization is
taking is harmful—that it interferes with people’s rights or is unfair or detracts from the common good.
 Ethical dilemma with Whistleblowing: Disloyalty towards organization v/s moral commitment towards society.

The values that are shown by whistle-blowers:

 Moral Courage – to stand against your organization and be ready to lose employment.
 Self-sacrifice – They work for the public interest at the cost of themselves.
 Duty bound and respecting the law – there is a dilemma of breaching the contract with the organization as well.

How can government encourage whistle-blowing?

 Create a policy about reporting illegal or unethical practices

 Formal mechanisms for reporting violations, such as hotlines and mailboxes.
 Investigate and follow up promptly on all allegations of misconduct.
 Bring in whistle-blower protection law.
 Promote high ethical standards in corporate ethics.

Indian Examples:

 Satyendra Dubey, an IIT graduate working with NHAI in Bihar, wrote directly to the PMO exposing corruption in
the project. He paid with his life for doing so.

Legislations in India regarding Whistleblowing:

 The government introduced the Public Interest Disclosure and Protection of Informers (PIDPI) Resolution for the
logging of complaints against alleged corruption or misuse of office in government. The CVC administers the
complaints, after masking the name of the whistle-blower.
 Whistle-blowers Protection Act is aimed at providing a legislative route for people to file complaints on alleged
corruption and misuse of office by public servants. But limited to Central offices only.
o The act has not come into force, and the Rules for it have not been finalised

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Case Study

Commandment for case studies:

 Case study checks:

o Decision making ability
o Breadth of your arguments
o Depth of your argument
o Ability to identify ethical issues, ethical dilemmas
o Knowledge on legal and ethical aspect
o Courage or conviction in choice
 Introduction can be – factual summary, bringing our severity of issue, quote etc.
 Focus on decision making, rather than avoiding position of responsibility.
 Base decision on fact and evidences, giving due opportunity for defense to all.
 Do a Social Impact Assessment of event life cycle.
 Writing stake holders is optional, unless asked in the question.
 Identify the Value Conflicts / Ethical Dilemmas – mention them.
 Become part of the solution rather than being part of problem.
 Be transparent, maintain trust and credibility, with official anonymity/confidentiality.
 Uphold laws, best practices, code of conduct and code of ethics.
 Explore solution through IEC – Information, Education and Communication.
 Place professional and ethical responsibility over personal friendships.
 Leading via example Ethics should flow from top to down.
 Encourage people to take up ethical stand, report shortcomings in the system.
 Collaborate — involve all appropriate personnel and authorities – civil society / NGOs.
 Public servants’ decision should invite confidence rather than allegations of wrongdoings.
 Acceptance to undesired results of own decision.
 Zero tolerance to corruption, social crime.
 Course of action steps – Assurance/Conciliation, Investigation, Awareness, Enforcement, Relief, Collaborate.
 Deploy police/force to ensure no law and order situation arises.
 Take care of special needs of sections like children, women, old age, transgender etc.
 Bring out long term permanent solutions.

Common Ethical Issues/Dilemmas:

 Value compromised – Integrity, Honesty, Compassion, Neutrality, Equality, Accountability, Objectivity…

 Crisis of Conscience
 Question on human dignity, prioritizing human life
 Means vs Ends or Utilitarian vs Deontological path
 Public welfare/interest vs Personal Welfare/interest
 Personal vs Professional Ethics [Conflict of Interest]
 Loyalty to one’s kith and kin vs Rule of Law / Righteousness / Truth

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  Rule of Law / Legality / Equality vs Positive Discrimination / Affirmative Action
 People / Development vs Planet / Environment
 Transparency vs. Privacy/ Reputation
 Dedication to work vs commitment to family/friends
 Compliance/Obedience vs. Conscience
 Use of force (e.g.; police) Vs. non-violence as a value
 Impartiality/ Non-partisanship vs. Personal ideology, Philosophy and Principles
 Bureaucratic anonymity vs personal fame
 Nishkam Karma vs Desire for better future for self and family progress
 Religion Vs Reason / Public Sentiment / Public Faith
 Conservative/ Rural / Traditions vs Modernity/innovations / progressive values
 Organizational/own Interest vs National interest

A few options to find solution:

 Communicate and coordinate with the political, religious and local leaders [can be an asset in crisis].
o Use their influence and emotionally intelligent.
o Put perspective and point of view clearly.
 Seek constitutional and law backing.
 Innovative ways.
o Awareness generation by Nukkad Natak, folk theatre, peace march.
o Convergence of existing schemes, like SSA, MGNREGA, PMKVY, NRLM, SHG.
o Involvement of NGOs, Religious organizations.
 Community participation- Behavioral Change.
o Mobilize people – use of Gram Sabha, SHGs, NGOs, Social media platform.
o Involve stakeholders in all stages like decision making, performance review, and grievance redressal. Stake
holder – Children, women, media, parents, religious leader, Ngo etc.
o Use your social influence and persuasion skills to carefully debate counter arguments.
 Reward and Punishment.
o ‘Ethical employee of the month’, ‘Credibility Star’, ‘Integrity Mark’.
o Hate the sin and not the sinner – give a chance to reform.
 Work Culture improvement.
o Integrity pacts, Compassion index.
o Ethical infrastructure.
o Preventing unethical conduct – vigilance and Risk Area Assessment.
o Fair merit based selection and regular training.
o Proactive information disclosure, promote – RTI, Social audits, citizen charter.
o Code of conduct and code of ethics needs to be made and religiously followed.
o Constructive criticism should be promoted.
o Promote confidence building measure to build trust with the people.
 Use technology and leverage local best practice
 Vulnerable section special assistance.
o Vulnerability mapping in terms of numbers and awareness.
 Media Role
o Transparent event reporting, help in building a good attitude in the society
 Prepare for crisis in advance- have a backup plan.

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Concepts

 Summum Bonum: the highest good – to be achieved by ethical path, different for all individuals.
 Dopamine Effect – “feel-good hormone” –feel good on achievement, leads to motivation & bliss.
 Trader Principle: attaining value from other people through mutually beneficial trade of values against values
rather than force, fraud, or parasitism. E.g. One should not love others for material gains, but for their virtues.
 Civil consciousness: People’s character, important for the progress of the country. Need to infuse civic
consciousness among the citizens through education, education and functional literacy.
 Human Rights – inalienable fundamental rights of a person by the virtue of being a human (– Subhash Kashyap).
These are universal, unalienable, individualistic and non-discriminatory.
 Gandhi’s Talisman, Satyagraha, Ahimsa, Sarvodaya, Seven Sins.
 Doctrine of Double Effects.
 Social capital and Natural capital.
 Non-malfeasance – not harming others – first do no harm.
 Internal Locus of control/confidence/affirmation.
 Geeta’s Sthitpragya.
 Amartya Sen’s Capability approach – conclusion for welfare of vulnerable section.
 Triple Bottom-line – People, Profit, Planet.
 3E – Efficiency, Economy, Effectiveness.
 Collegiality Principle – collective wisdom, more brains better than one brain.
 Sevottam Model.
 Concept of ‘Free Will’ – actions committed without any pressure/destitute.
 Vigilant society – need for ethical upliftment of society – culture of social audit and assessment.
 Social Tools – Influence, Persuasion, Nukkad Natak, Incentivizing.
 Social Contract – Government as a trustee of rights of people for a ordered life.
 ‘Misplaced Sympathy’ [2nd ARC term] for the ... leads to slippery slope setting wrong precedence.
 ‘Res Extra Commercium’ – things beyond economic considerations.

Key words/phrases for case study

 The case reflects a mindset that has remained entrenched in its deeply held patriarchal/… values.
 Case presents slippery slope… resulting in Double effect… any act has both good and bad effect.
 How a well intentional scheme has failed to deliver the results due to…
 Artificial segregation on basis of gender, religion, caste etc. is unwarranted.
 Accepting/legitimizing this (….) in the name of customs and traditions is unwarranted.
 Enforce laws in letter & spirit, backing by social sanctions.
 Cure not only symptoms, but disease.
 ‘Go not unto others as you won’t be done by’ – golden rule.
 We need to be firm in our values and courageous in our actions.
 Follow your duty and don’t do anything unbecoming of a public servant.
 It is difficult to change one’s attitude, but with constant skillful effort it can be.
 Be quick in the response and do not ignore ethical violations.
 Public participation – Government should not only be for the people, but by the people too.

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 Objectivity in decision, based on facts and evidences.
 Mention ideals of preamble, constitution, judgements.
 Distributive and procedural justice. Justice should be seen to be done.
 Law cannot be effective till it becomes part of public reasoning / gains social sanction.
 Identifying one’s dharma – Swadharma vs Sadharan Dharma
 Ethical Dilemma/Dharma Sankata
 Intellectual integrity – being true to own thoughts/beliefs, honestly accepting discrepancies
 Professional/Procedural integrity
 Cognitive dissonance – position of self-betrayal
 Ethical/Moral relativism – different people having different views on morality (vs universalism, absolutism,
objectivism.)
 Culturally induced selective blindness
 Permanent impairment of moral values in society
 Value Degeneration or Collective Decline of Morality of individual/society
 Domino effect, Multiplier effect, positive externalities.
 Bureaucratic Inertia – regulatory cholesterol.
 Avoid moral turpitude, moral hypocrisy – conduct contrary to moral standards.
 Zero Tolerance to Corruption
 Crime of Ignorance and Crime of Arrogance; Crime of Commission and Crime of Omission
 Public / Societal / National Interest
 Responsiveness to public demands
 Public oversight over governance / administration
 Cognitive Empathy and Emotional Intelligence
 Conflict of interest, Conflict of commitment, Crisis of conscience
 Setting wrong precedence
 Abdication of one’s duty / Escapist mentality – becoming part of the problem
 Right to dignified/fair treatment, Right to truth
 Telling lie is immoral – shunning truth
 Justice tempered with kindness – punishment in proportion and with aim to reform
 Anekantavada of Jaina
 Niti & Nyaya – policy and justice; focus on justice.
 Dharmo Rakshati Rakshita - Law protects those who uphold it – faith in legal mechanism
 Vasudhaiva Kutumbakam
 Nishkam Karma
 Saytameva Jayate
 Sarva Dharma Sam Bhavah
 Sarvodaya-Antodaya
 JanBagidari – public participation
 Sarvjan Hitaye, Sarvjan Sukhae or Bahujan Hitaye, Bahujan Sukhae
 Purshartha – 4 elements for good life
 ‘Raja-Praja’ syndrome [2nd ARC term] – elitism in bureaucracy
 Glass ceiling / Glass cliff
 Compassionate Capitalism
 Demographic dividend / demographic liability
 Conscience, Justice, Dignity, Proportionality, Public Trust, Public Service.
 Opportunity in Disaster – Apada Mein Avasar: leadership quality

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  Taking middle path
 Control the controllable – shows positive and rational attitude
 Humanity does not have a ‘Plan(et) B’
 Categorical Imperative – things that should always be done: Universalization, Action itself, Kingdom of ends,
Protect human dignity.
 Education should shift from “Enrolment, Examination and Employment” to “Enablement, Emancipation, and
Empowerment”

Sanskrit mottos

 Tourism Development Corporation of India: Athithi Devo Bhavah (Treat guest as God)
 Indian Police: Sadd Rakshanay Khalah Nighranayah (Protect the virtuous; punish the wicked)
 Income Tax Department: Kosha Moolo Dandaha (Revenue is the backbone of governance) -- Arthashastra
(Kautilya) [use in context of corruption, tax evasion]
 IAS – “Yogah Karmasu Kaushalam” – Yoga is excellence at work.
 Republic of India – Satyamev Jayate (Truth alone triumphs)
 IITB – Gyanam Param Dhyeyam
 IITR – Shramam Vina na Kimapi Sadhiyam
 'Vasudev Kutumbkam', ‘Bharateva Kutumbakam’
 ‘Swadeshe Pujyate Raja, Vidwan Sarvatra Pujyate’

IPC provisions related to religious offences

 IPC Section 153A – promoting animated between different groups on ground of religion race place of birth
residence language etc.
 IPC Section 177 – for “furnishing false information” to government.
 IPC Section 188 – ignoring/preventing orders of officer on duty: 1 month or ₹200 fine; cause danger to officer’s
life: 6 month or ₹1000.
 IPC Sections 269 and 270 – negligence or malignant act likely to spread infection disease.
 IPC Section 295 – damage or defilement of a place of worship with intent to insult the religion.
 IPC Section 295A – deliberate and malicious act intended to outrage religious feeling of any class by insulting its
religion or religious beliefs.
o SC upheld the law on different occasion, e.g. Ramji Lal Modi Case, for “public order”.
 IPC Section 298 – a drink/good acceptor with deliberate intent to wound religious feeling of any person.
 IPC Section 304A: deals with death due to negligence and imposes a maximum punishment of two years and fine.
 IPC Section 309 – Suicide (decriminalized in 2017: Mental Healthcare Act 2017).
 IPC Section 500 – criminalises defamation.

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Appendix

Examples

Examples of value degeneration:

 Intolerance
o Tyranny of few – cow vigilantism in Alwar.
o Killing of rationalists like Gauri Lankesh.
o A Dalit youth beaten up in Gujarat for wearing a pair of jeans, to look like Kshatiya.
 Tailin Lyngdoh – Delhi Golf Club incident, allegedly asked to leave the premises for wearing traditional Khasi dress.
 Attack on Africans in Delhi metro premises – an act of racism and prejudice.
 Suicide in IITs under negative thoughts, pressure. Rohit Vermula under discrimination.
 UP Sonbhadra district killing of 10 over land disputes: lawlessness, materialism over humanity.
 Cultural blindness – Khap Panchayat cases of honor killing.
 Censorship – NDTV news telecast, Udta Panjab, Lipstic under my Brukha etc.
 Suicide bombing on myth of place in heaven.
 SP Mathura killed during violent clash in 2017.
 Shimla Assistant town planner shot dead for following duty.
 Low professional ethics: Local bar association in Karnataka objected to defend 4 students facing sedition
charges, even when SC had directed such resolutions to be against constitution, statute and professional ethics;
and against Bar Council of India Rules on Professional Standards.
 Degeneration of Values – Bois Locker room, Bully Bai, Aryan Khan case etc.
 Media trails – of Rhea Chakarboarty after death of Sushant Singh Rajput.

Examples related to women:

 Behavioral economy –SelfieWithDaughter, Swachch Bharat Mission.

 SC striking down IPC 498A, CrPC 198(1), (2) for objectification of women.
 Women in politics in Rawanda, more than 50% of parliament strength.
 #MeToo – women solidarity, courage, empathy, equality, public mobility.
 Women local leadership – Chhavi Rajawat – MBA sarpanch – positive work in solar power, road pavement, water
storage and conservation.
 Movies on social issues like Padman (story of Muruganatham), Toilet.

Examples from administration

 IAS Ashok Khemka – unearthed land misappropriation in Haryana. Repeatedly transferred. Quality of probity,
objectivity, non-partisanship, fortitude, perseverance.
 IAS OP Chaudhary – transformed LWE affected Dantewada into a progressive district by efficiently and
innovatively arranging funds, pooling resources, and converging efforts of various schemes.
 IAS Amit Kataria – takes ₹1 as salary, true to duty. [altruistic nature].

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  IAS Armstrong Pame – ‘Miracle Man’, 100km people’s road without government aid.
 IAS Prashanth Nair – ‘Collector Bro’, popular for innovative initiative ‘Compassionate Kozhikode’ and
‘Compassionate Keralam’, Operation Sulaimani, Tere mere Beach Mein.
 IAS Saurabh Kumar (as Dantewada DM) – Lunch with Collector programme – interacting with tribal students –
ending elitism, innovative way to take up grievances.
 IAS R. Anand Kumar – Erode (TN) DM, sends his daughter to government school – setting example for society.
 IAS U. Sagayam, TN – sense of duty, spent night in graveyard to protect evidence. Staunch vocal against
corruption, uploaded details of his assets on the district website.
 IAS Poma Tudu, Odisha – travelled more than 2 hours in rugged terrain to hear grievances of tribal – ensuring
inclusive governance, bringing governance at doorsteps.
 IAS SR Sankaran – popular as ‘people’s collector’ – worked tirelessly for social cause or down trodden. Remained
unmarried and helped 500 students to get education. [Altruism]
 IAS Ira Singhal – topped civil services exam overcoming physical limitations, positive attitude.
 IAS TN Seshan – 5 transfer postings in one single day. He walked in right path and succeeded in providing a strong
foundation for election machinery by effectively implementing MCC. Perseverance, self-belief, fortitude,
dedication to nation-building.
 IAS Vinod Rai –as CAG, introduced presumptive loss mechanism. Quality of dexterity, integrity, objectivity,
upholding office dignity under political pressure.
 IAS DurgaShakti Nagpal – fight against sand Mafia in UP. Threatened for life. Quality of dedication to rule of law,
courage, aim of public betterment.
 IPS Ajit Daval – spy in Pakistan – dedication, patriotism.
 IPS Saroj Kumari – give children confidence to fight against sexual harassment.
 IPS Chhaya Sharma – exemplary leadership and team spirit heading 2012 Delhi rape case.
 IRS Sharda Prashad Pandey: Raid movie – probity, fortitude/courage, unbending ethical values.
 IES Satyendra Dubey – NHAI Project Director, sent letter disclosing corrupt practices in NHAI, shot dead. Quality
of integrity, dedication, courage, laid life for duty.
 IES E Shreedharan – ‘Metro Man of India’. With limited resource availability, political interference and scarcity of
manpower, he delivered one of the most successful metro projects in the country. Quality of efficiency,
innovation, visionary, economic.
 Captain Abhinandan: EI, situational awareness, sense of duty, patriotism, diligence, fortitude.
 Suicide of IPS Surendra Kumar (Kanpur rural) – Happiness and achievement not always related. Need of imparting
EI among civil servants.

Examples of leaders

Global:

 Abraham Lincoln – persistence despite 26 campaign failures, going bankrupt twice, personal life tragic (emotional
intelligence) and leadership at time of crisis American War of Independence. Acoomodating different views. Wide
opinion on objective of education.
 Abusing power – Hitler, Napolean, Stalin, Mussolini, Mao, 1975 Emergency in India.
 Md Ali: refused to serve in US Army against Vietnamese, as he found it injustice.
 Malala Yousafazai for girl’s education, Nadia Murad against sexual violence.

India:

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  Abdul Kalam – ‘Missile man of India’, Pokhran-2 made India nuclear state. He was people’s president, simplistic
in living, owned only a pair of clothes even as President, died pursuing favorite job of teaching – visionary,
simplistic, dedicated, determined, soft-spoken.
 Modi – courage, determined, leadership, public opinion mobilization, sensitive to cause of women, and vulnerable
sections, ecological ethics (ISA, Renewable energy), innovative actions like Man Ki Baat, Swachch Bharat Mission.
 Sardar Patel – Leadership, persuasion and threat of force to integrate princely state without shedding a drop of
blood.
 JL Nehru – Compassionate (Tribal Panchsheel), cosmopolitan outlook, peaceful coexistence (Panchsheel
principals), accommodative (made congress a rainbow collision).
 JP Narayan – voiced against ill administration of Indira Gandhi, called for total revolution.
 Vajyapayee – tallest of Indian statesman. Courage to lead India to nuclear power even in international
condemnation. Had dialogue on equal table even with opposition.
 MP Arjun Meghwal – MP using cycle to reach parliament. [setting example to nation].
 Dr Rajendra Prasad – took only 50% of his salary as President of India, later only 25%, arguing that only this much
is needed for normal living.

Leaders of Humanity

 Gandhi – nonviolence, end-means relation, truth in action, swaraj at individual level, mass psychology, ram-rajya,
village republic, trusteeship model.
 Teresa – leaving her homeland and serving selflessly in Kolkata
 Dalai Lama – peace, humanism, tolerance, spiritualism.
 Mandela – determination, 27 years in jail, peaceful means, pro-poor, anti-racism.
 Buddha, Mahavira
 Hindu mythology – Ram, Laxman, Arjun, Krishna, Ravan, Duryodhan, Parshuram, Parvati, Sita, Kali.

Celebrity in social change

 Amirab Bachchan – Darwaza Band Campaign, Polio Campaign,

 Madhuri Dixit for MAA campaign,
 Vidhiya Balan of women hygiene,
 Akshay Kumar’s Padman, Toilet.
 Deepika Padukone – my choice, against patriarchy, fought depression.

Sports personalities

 Deutee chand- Motivation, inspiration, never say die attitude, perseverance – fighting against all odds, won silver
in Asian games.
 Deepa Malik in 1999 was diagnosed with a spinal tumour that left her paralyzed. In 2016, Deepa Malik became
the first Indian woman to win Paralympics medal (Attitude).
 Marykom – 6 times world boxing champion and mother of 3.
 Rahul Dravid – humble behaviour.
 MS Dhoni – leadership and excellence.
 Virat Kohli – fought over depression, controlled and channelized anger properly.
 Yuvraj Singh – fighting cancer to return to Indian cricket team.

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  Phogat Sisters – killing stereotype.
 Rafael Nadal knowingly refused to take advantage on technical point in Wimbledon’s final match that was also
the longest in history running over 5 hours – integrity, sportsmanship.
 Maria Sharapova – caught for doping.
 Sanket Sagar, Mirabai Chanu – weightlifting players from India.
 At 40, TT player Sharath Kamal continues to win medals: age is not factor, passion, persistence. Others acing in
40s – Sachin Tendulkar, Leander Paes, Viswanathan Anand.
o Sreeja Akula – lost singles in TT, controlled emotions and won gold in mixed doubles with Sharath Kamal.
 Lawn bowl women – gold – middle age women from diverse backgrounds.
 Nitu Ghanghas - boxing - her father on 3 yr unpaid leave to look after his daughter's blooming career - sacrifice.

Examples from personal life:

 Being interested in white-collar hacking, I was asked by my brother to hack e-mail of a person. I refused to it was
unethical to use talent for wrong ends. – moral high standard
 I am against practice of mass bunks – it wastes resources and time, and demotivates students.
 I revealed a stealing done by my friend at college canteen, to save him from bigger crisis. Though it had short-
term problems in friendship, we finally became better friends. – integrity, friendship.
 Someone mistakenly lodges a false complaint of ragging against me in college. I handled the situation with
courage, honesty, patience, trust in procedure, calmness, giving my entire cooperation to authorities for solving
the case. I was soon allowed to go. [emotional intelligence]
 During my Teaching Assistantship, TAs where planning to resign to demand a raise in stipend. I was successful in
persuading other TAs not to resign, but put demands forward with other means.
 During my tenure as sports/mess/hostel secretary, I could unearth misappropriations in funds, that resulted in
deterrence of future administration, and students gaining higher resources.
 During my tenure as sports/mess/hostel secretary, I was at the centre of leadership during hard times, keep
team/colleagues motivated for good work, personally counselling poor performers.
 I opted out from cricket selection committee, even after being secretary in charge, to prevent conflict of interest
as my friends were competing for selection.
 I donated all my college course books to departmental library.
 I made sure to participate in blood donation camps in college.
 I had donated my old clothes to community sweeper last September – it not only made his Diwali happier, but
also helped with winters.
 Being involved in sports, I understand the importance of proper sports equipment. I donate sport equipment to
poor children to bring joy to their life.
 I contributed a part of my TA stipend to education of hostel fruit vendor’s daughter.
 I regularly contribute to religious charity and feasts, not only as a matter of faith, but humanity.
 My family gave a bonus to our house maid to end her endless cycle of indebtedness.
 I make sure to overpay cycle rickshaw, street vendor as a gesture for their hard work and honesty.
 I was part of NSS community service group that helped nearby villages during recent flood.
 I am associated with an NGO that provides education for under-privileged children of slums as matter of
humanitarian service / collection of recyclable waste / plantation drive / awareness.
 Once I found a wallet on road with ₹4,000 in it. Though tempted to keep it, I chose ethical path of returning. I
was rewarded ₹500 for my honesty, and immense appreciation for character – “a penny of honesty is larger than
a bag of crime”.

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  Me and my friends gave a stranger ₹300 as help, for he claimed to be pick-pocketed. Though apprehensive of
fraud, I contributed believing in Gandhi’s teaching – “humanity is a big ocean and half bad elements should not
be allowed to ruin it”.
 My group of 4 friends shared their stipend with a friend who was unable to secure stipend, as matter of
friendship, team-spirit.
 Contributed to create a system of course and assignment resources for juniors. Soon the system became an
important mechanism for juniors’ study, and is still carried on as a legacy. [innovative]
 Initiated a practice of pooled saving of ₹5-10 per day in a group of 6 friends. The corpus collected in 6 months
was used to support education of nearby village children. [innovative]
 I have acted as good Samaritan by assisting road-accident victim, without worrying about legal complexities. The
victim and I became good friends thereafter.
 I follow constitutional ideals/Talisman not only in my professional life, but personal life too.
 My mother taught me religion from an ethical prospective, making me a useful part of society.
 My father though me teaching of great leaders, enlightening me on path and importance of high moral character.
 My grandfather shared innumerable life experiences with me, filling in me with ethical values of integrity,
fraternity, fortitude, and diligence.
 I plant a tree on each of my birthday since my 10th birthday. (ecological ethics)
 Me and my friends took care of a puppy, for its mother seems to have lost it.
 I once saved life of a pigeon stuck in kite thread.
 I once assisted a blind person cross road, realising the satisfaction of giving.

Other Examples:

 2020 Padma Sri Awardee Jagdish Lal Ahuja, also known as 'Langar Baba', for "selflessly organizing langars for 500
plus poor patients daily for over two decades". He is a self-made billionaire who came to India empty-handed
during the partition. He sold off properties worth crores to fuel his mission
 Harekala Hojabba – fruit seller who set apart his earning to start a primary school in locality, awarded Padma Sri.
 Government of India efficiency – 100Cr Covid-19 vaccines within 9 months, fasted globally.
 Special CBI Court convicts former Union Minister Dilip Roy in 1999 Coal Scam.
 Lack of compassion – a 100 years old women in Odisha dragged on cot to bank branch for physical verification
for withdrawal of money, manager couldn’t visit her house due to work load and single assistant manager.
 Intelligence without ethics – Raju Ramalingam (Satyam Computer scam).
 Compassionate Corporate – Mahindra logistics launched ‘Queer Inclusion Policy’ – a 5-year plan for inclusion of
LGBTQ+ with provisions life 12-week adoption leave, medical insurance expanded to same sex partner,
compassionate leave (4-days on death of near family member) etc.
 Gurudwaras in Gurugram provide space for offering Namaz Friday prayers after administration withdrew
permission from 8 previously agreed sites. – Religious Tolerance.
 Bipin Devi and her husband feed poor families of Sonbhadra District, UP using most of their earnings, as
starvation gripping these villages – selflessness, compassion.
 Dr Ravi Kannan, Padma Sri, visited patients on makeshift boats to ensured treatment doesn’t stop in floods -
highlights value of dedication, compassion, duty towards public service.
 TN Environmentalist D Saravanan turned 40 hectares of barren land into a lush, indigenous forest called Aranya
Forests.
 DCP Gautam Buddha Nagar, Vrinda Shukla, directed police and other resources available to her in aid of children
of household suffering from covid – provides meals to children, psychological help, secure academics and even
possible adoption. Raised 35 volunteer team.

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  Stone pelting by at Dalit wedding in Jaipur for riding mare, in presence of police.
 Dalit Family killed in Paryagraj on grazing land dispute, girl raped; upper caste people named.
 Ironers in Bengaluru ditch coal irons for LPG alternatives to beat harmful fumes
 Harika Dronavalli played Chess Olympiad while being 9-Months pregnant, won bronze.
 Kuvempu as Vice Chancellor of Mysore University re-evaluated the answer script his son Poornachandra Tejaswi
and instructed the professor to award to even lesser marks. (This anecdote is the best examples for avoiding
conflict of interest)
 Redefining gender roles: Gurugram-based Udit Saini left his job to take care of his baby. Many other husbands
are happily giving up their professional careers to take care of household work and kids.
 Disability is not a barrier: Zainika Jagasia from Mumbai was born with down syndrome and has fought many
battles to become a model and professional baker.
o If treated properly, disabilities are not a barrier to personal as well as societal growth.
o Given special care and support, they also become a valuable member of society and have the feeling of
self-dignity.
 ‘Cycle IAS’ Sandeep GR, the current collector of Chhatarpur MP prefers riding a bicycle everywhere to understand
what the citizens go through.
 Age No Bar – 82-year-old ex-MLA MJ Jacob from Kerala won bronze for India in World Masters Athletics
Championship 2022.
 Bhil community opened up schools called “Jeevan Shala” for their children. The students attending the schools
are educated not just in regular subjects but also about water, forests and land. They are introduced to all the
herbs found in the forest as well as edible tubers. They are informed about their uses and consumption.
 Sarjubai Meena named as one of the 41 UNDP “Women Water Champions” working for conservation in India.
She undertook water conservation measures and spread awareness among people on the judicious use of water
in Bhilwara village.
 Seedmother Pope-re from Ahmednagar, gets Padma Sri – Landraces – naturally variety
 Google Maps to include feature of ‘greenest route’ with lowest carbon foot print.
 RTI abuse – RTI for details on PM’s foreign visit, including SPG personnel and IAF details – IAF such info exempted
under Sec8, Sec24 (RTI not applicable to intelligence forces, except for corruption and HR violation cases).

Random quotes

 “Our deeds determine us, as much as we determine our deeds.”

 “repetition is mother of learning, the father of action, which makes it the architect of accomplishment.” – Zig
Ziglar.
 “We are what we repeatedly do. Excellence, then, is not an act, but a habit.” – Will Durant
 “Strength does not come from physical capacity. It comes from and indomitable will.”
 “To be beautiful lotus, one has to rise about the surrounding mud.” (use for integrity)
 “What is crucial in dealing with loss is not to lose the lesson.” – Dayanand Saraswati.
 “Truth can be stated in a thousand different ways, yet each one can be true.” – Swami Vivekananda. E.g. Chemical
may be poison or medicine at the same time.
 “Arise, awake, and stop not till the goal is reached” – Vivekananda
 “Greed is like a pot with hole at bottom, it can never be filled” – Buddha
 “Life should be great rather than long.” – Ambedkar
 “The value of life is not in its duration but in its quality” [use for vulnerable groups like poor, women, diseased]
 “The ultimate value of life depends upon awareness rather than mere survival” – Aristotle [education]
 “World is armed today, while peace is underfunded.”

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 “No state becomes great by dwarfing its own citizens” – JS Mill.
 “State commands because it serves” – MacIver.
 “Role of state is to hinder the hindrances” – TH Green.
 “Liberty is capacity of doing something worth doing” – TH Green.
 “Failure comes only when we forget our ideals.” – Jawaharlal Nehru
 “In civilized life, law floats in a sea of ethics”, implies that there is a foundation of ethical values for the law.
 “Journey of a thousand miles begins with a single step.” – Lau Tzu
 “All good thoughts and ideas mean nothing without action”.
 “Do not impose on others what you do not desire upon yourself.” – Confucius
 “We can’t solve problems by using the same kind of thinking we used when we created them.” – Albert Einstein.
 “We suffer more in imagination than in reality.”
 “Sometimes good things fall apart so that better things can fall together”.
 “Hate cannot drive out hate” – Martin Luther King Jr
 “An appeaser is one who feeds a crocodile, hoping it will eat him last” – Winston Churchill
 “Tough times never last; only tough people, tough institutions do” – RBI Governor Das
 “Greif is destroyed by knowledge” – Geeta
 “Wisdom lies in anticipating danger, minimising it and managing it.”
 “It is not power that corrupts, but fear” – Aung Sang Suu Ki
 “The three people who can make a difference are the mother, the father, and the teacher” – APJ Kalam
 “A lie gets halfway around the world before the truth has a chance to get its pants on.” – Churchill

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