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ETHICS, INTEGRITY AND APTITUDE

For G.S.-IV MAINS
Part-1: Topics 1 to 5
INDEX
1. Ethics and Human Interface 2-22

2. Attitude 23-36
3. Aptitude and Foundational Values 37-46
4. Emotional Intelligence 47-63
5. Indian and Western Philosophy 64-85

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1. ETHICS AND HUMAN INTERFACE
INTRODUCTION
 Ethics or moral philosophy is a branch of philosophy that involves systematizing, defending, and
recommending concepts of right and wrong conduct. The term ethics derives from Ancient
Greek word (ethikos),meaning ‘habit, custom’.
 Ethics is a set of standards that a society places on itself and which helps guide behaviour,
choices and actions. Ethics may be defined as the systematic study of human actions from the
point of view of their rightfulness or wrongfulness, as means for the attainment of the ultimate
happiness.
 It is the reflective study of what is good or bad in that part of human conduct for which human
has some personal responsibility. Ethics can be understood much better by understanding that
WHAT IT IS NOT.
What Ethics is not?

 Ethics is not morality, Morality can be an individual set of commitments even when they are
rejected by others. But one cannot be ethical alone. Ethics brings other people for the realization
of the self. Morality does not demand acquiescence from others the way ethics does. A moralist
can say do not believe in war, so what if everyone else does.
 Ethics is not religion. Many people are not religious, but ethics applies to everyone. Most
religions do advocate high ethical standards but sometimes do not address all the types of
problems we face.
 Ethics is not following the law. In law, a man is guilty when he violates the rights of another. In
ethics, he is guilty if he thinks of doing so (Immanuel Kant). Law may have a difficult time
designing or enforcing standards in some important areas, and may be slow to address new
problems.
 Ethics is not following culturally accepted norms. Some cultures are quite ethical, but others
become corrupt or blind to certain ethical concerns (United States was to slavery before the Civil
War; caste system in India). “When in Rome, do as the Romans do” is not a satisfactory ethical
standard.
Concept of Ethics in Indian tradition

 In Indian culture, the phrase morality and ethics is ‘dharma’. Dharma originates from “dhr”,
which means to hold together. And thus, the function of dharma is to hold the human society
together for its stability and growth.
o Precise conduct is indispensable for the existence of the human society. The dharma in
Hinduism is co-extensive with morality. Dharma in the Vedas refers to the highest truth and
power.
o People can understand the meaning of morality or through performance of Vedic sacrifices
and other rituals in the Vedas and Dharmasastras. So Dharma is understood in Vedas as duty
par-excellence.
o Dharma is also generally understood as the duties of humans according to one’s own caste
and stage of life (Varnasrama Dharma).

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o And thus, many Hindu philosophers stated that if a person does his duty; he will achieve
either heaven or a better birth in the next life or even prosperity here and now.
 Thus, the Hindu concept of dharma has been recognized by its association with ritualistic and
caste-oriented duties. And the purely moral sense of duty is outshined.
o Basically, the Hindu theorists supported and recommended the practice of moral virtues and
moral norms, which make a man as man. These moral virtues are called Sadharana Dharma
or universal duties.
o Hence, the term dharma in Hinduism has two connotations that include performance of
ritual sacrifices and duties according to one’s own caste and the second is the practice of
moral virtues and norms.
o So when discussing dharma as morality, it includes all the duties one ought to perform and
all the virtues he ought to practice to attain moksa or liberation.
ETHICS AND MORALITY

 Morality and ethics are two closely interrelated words, but they are not the same. But, as they
are closely interrelated, it is common for people to make incorrect usage of the two terms.
Hence, it is better to understand the meanings of two words before highlighting their difference.
o Ethics can be defined as a code of behavior in reference to a group, whether it is a family,
community or a nation.
o Morality or else Morals, on the other hand, are more personal in nature. The connection
and the difference between the two can be interpreted in the following manner.
 When concentrating on morality, it is more or less a personalized form of these ethics as
different people set different sets of morals for themselves. Morality refers to a set of beliefs
that people believe in and practice accordingly.
 Morals help a person in choosing a course of action whenever he is in a dilemma. They become a
guiding force in life and help in leading a decent, disciplined life. Let us take an example to
understand what is meant by morality.
o In the past, abortion was considered as both morally as well as ethically wrong since it
results in the killing of a living being.
o Whatever the circumstances, most people believe that this is a manner of taking away the
right to live in another human being.
o But nowadays in most countries it has been legalized, making it ethically correct. However
despite the fact that it has been legalized, most people believe that this is morally incorrect.
o This highlights that it is more of an opinion or set of guidelines for an individual, rather than
an agreed upon set of rules.
 The connection between the two can be understood through another example.
o The difference between ethics and morality gets highlighted when a person works in an
organization where ethics is not in conformity with his morals.
o If the ethics of the company or the codes of conduct are not in synch with the morality of
the person, he may be torn between his morality and these ethics.
o In life in general, you may have your views on homosexuality and consider it as immoral but
you would be ethically wrong to discriminate against a person if you know he is homosexual.
What is the Difference Between Ethics and Morality?

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 Ethics is codes of conduct that pertain to a community, family, company or a nation. On the
other hand, morality refers to personal sets of beliefs about what is right and wrong.
 Ethics is accepted by the entity of the community but morals are not. People have their morals
that may or may not be in sync with society’s ethics.
 In every human person, there is a deep desire for good. Human being by nature tend to good -
summumbonum. Each man/woman desires what is best for himself/herself.
 The ethical principles and moral practices help one to attain what is best, It helps a person to
perfect himself/herself as a moral being, Moraiity has to do more with one’s interior self than
the practice of some customs or set rules.
What is Ethics?
 Ethics is a very broad term that applies to a variety of contexts. You can have family ethics,
company ethics, social ethics or even national ethics. These are socially accepted codes of
behavior that are applicable in the immediate surroundings.
o For example, there are do’s and don’ts in a company that makes up its ethics, and when you
are on the premises of a company, you behave accordingly.
o In a family setting, also there are certain ethics. However, unlike in a corporate setting you
are much more relaxed, when you are in your family in spite of the fact that there might be
another set of ethics.
o Ethics is principles when it comes to politics and social laws. These ethical standards set
parameters for human behavior and help in preventing misconduct and misdeeds such as
theft, rape, violence, fraud, and slander.
o On the other hand, these ethics help in spreading feelings of compassion, loyalty and
honesty. Ethics is vital for a society because a society has ways of praising such behavior
while at the same time reprimanding
What is Morality?
 The ethical principles and moral practices help one to attain what is best, it helps a person to
perfect himself/herself as a moral being. Morality has to do more with one’s interior self than
the practice of some customs or set rules.
 Viewed from this point, morality is a deep down desire in human person and is something to do
with the very nature of human person. The rational nature of human person makes him/her
aware of certain fundamental principles of logical and moral reasoning.
 We also find that for the functioning of any society we need certain rules and regulations. The
conditions of a satisfactory human life for people living in groups could hardly obtain otherwise
(neither a “state of nature” nor a “totalitarian state”).
 The institutions which are designed to make life easier and better for humankind, cannot
function without certain moral principles. However, here the question of individual freedom can
also come in.
 Morality is a lot like nutrition. Most of us have never had a course in nutrition or even read
much about it. Yet many of us do have some general knowledge of the field, of what we need to
eat and what not.

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o However, we also make mistakes about these things, Often thinking of the good, a particular
diet can do in the long run for our health, we may go for it although it may bring no
immediate satisfaction. So too is our moral life.
o While nutrition focuses or our physical health, morality is concerned about our moral health,
it seeks to help us determine what will nourish our moral life and what will poison it It seeks
to enhance our lives, to help us to live better lives.
o Morality aims to provide us with a common point of view from which we can come to
agreement about what all of us ought to do. It tries to discover a more objective standpoint
of evaluation than that of purely personal preference.
ETHICS AND VALUES

 Values refer to the important and enduring beliefs or principles, based on which an individual
makes judgements in life. It is at the centre of our lives which act as a standard of behaviour.
 They severely affect the emotional state of mind of an individual. They can be personal values,
cultural values or corporate values. Values are forces that cause an individual to behave in a
particular manner. It sets our priorities in life, i.e. what we consider in the first place.
 It is a reason behind the choices we make. It reflects what is more important for us. So, if we are
true to our values and make our choices accordingly, then the way we live to express our core
values. Moreover, if you understand an individual’s values, you can easily identify what is
important for them.
Key Differences between Ethics and Values

Ethics refers to the guidelines for conduct, that Value is defined as the principles and ideals,
address question about morality which helps them in making the judgement of
what is more important.
Ethics is a system of moral principles Values are the stimuli of our thinking
Ethics compels to follow a particular course of Values strongly influence the emotional state of
action. mind acting as a motivator.
Ethics helps us in deciding what is morally correct Values tell us what we want to do or achieve in
or incorrect, in the given situation. our life.
Ethics determines, to what extent our options are As opposed to values, which defines our priorities
right or wrong. for life.
Intrinsic Values and Extrinsic Values

 Values can be viewed from the standpoint of their importance. Values are experiences of
different degrees of importance in the development of individuality. So we classify values on the
basis of importance these values have.
 An intrinsic value is one which has worth in its own right. It is an End-in-itself. Truth, Beauty,
Goodness, Temperance, Courage, etc. are considered as intrinsic values.
o They are good not because of their consequences but because they are good in themselves.
o These values retain even if they were to exist completely alone. Intrinsic values are said to
be Absolute values.

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 An Extrinsic value is one which is a means direct relationship.It is of instrumental worth only. A
pair of spectacles is good only if there are eyes behind spectacles to see through them. The
spectacles have instrumental value.
o Extrinsic or Instrumental values are the part of larger whole. They are means to an End.
o Wealth, fame, physical fitness, etc. borrow their worth from something extraneous to them.
 The terms Extrinsic and Intrinsic are used relatively. They are not always mutually exclusive or
fixed. What is valued by one person for its own sake may be valued by another person as a
means to an end.
 Values can be graded as Positive Values and Negative Values, Productive Values and
Unproductive values; Permanent Values and Transient Values. In general, Intrinsic Values are
rated higher than Extrinsic Values.
 Positive Values are preferred to Negative Values. The locus of values is human mind, It is a
special sort of reaction to the environment. Human mind has three psychical functions (aspects)
— thinking, feeling and willing. The values corresponding to these functions are:
o Intellectual Values (Truth),
o Aesthetic Values (Beauty) and
o Moral Values (Goodness).
o Truth, Beauty and Good are Universal Values.
ETHICS AND RELIGION

 All religion is a means of providing an ethical compass for the common man. Hinduism (at a later
date), or any other religion for that matter, by creating a fear for a vindictive God, and a
prosperous after life, instilled fear in the minds of the uneducated masses.
 Without that fear, like an ignorant child, man may not have an incentive to follow ethical values.
However, religion is not a necessary condition for ethics as can be seen from the fact that even
the atheists are among the most ethical individuals in the society.
 Also, religious practices may also become obsolete with time and do not suit the present society.
Following such practices may be termed as unethical. What is ethical may not be religious on the
other hand what is religious may not be ethical.
BRANCHES OF ETHICS
1. Descriptive Ethics
i. Descriptive ethics deals with what people actually believe (or made to believe) to be right
or wrong, and accordingly holds up the human actions acceptable or not acceptable or
punishable under a custom or law.
ii. It involves empirical investigation. It gives us a general pattern or a way of life of people in
different types of communities. However, customs and laws keep changing from time to
time and from society to society.
iii. The societies have structured their moral principles as per changing time and have expected
people to behave accordingly.
iv. Due to this, descriptive ethics is also called comparative ethics because it compares the
ethics of past and present; ethics of one society and other.
v. It also takes inputs from other disciplines such as anthropology, psychology, sociology and
history to explain the moral right or wrong.

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2. Normative Ethics
i. Normative Ethics deals with “norms” or set of considerations how one should act. Thus, it’s a
study of “ethical action” and sets out the rightness or wrongness of the actions.
ii. It is also called prescriptive ethics because it rests on the principles which determine
whether an action is right or wrong. The Golden rule of normative ethics is “doing to other
as we want them to do to us“.
iii. Since we don’t want our neighbours to throw stones through our glass window, then it will
not be wise to first throw stone through a neighbour’s window.
iv. Based on this reasoning, anything such as harassing, victimising, abusing or assaulting
someone is wrong. Normative ethics also provides justification for punishing a person who
disturbs social and moral order.
v. Aristotle’s virtue ethics, Kant’s deontological ethics, Mill’s consequentialism (Utilitarianism)
and the Bhagwad Gita’s Nishkam Karmayoga are some of the theories in Normative Ethics.
3. Virtue ethics
i. Virtue ethics focuses on one’s character and the virtues for determining or evaluating ethical
behaviour. Plato, Aristotle and Thomas Aquinas were major advocates of Virtue ethics.
ii. Plato gave a scheme of four cardinal virtues viz. prudence, justice, temperance and fortitude
(courage).
iii. His disciple Aristotle categorized the virtues as moral and intellectual. He identified some of
the moral virtues including “wisdom”.
4. Deontological ethics
i. Deontological ethics or duty ethics focuses on the rightness and wrongness of the actions
rather than the consequences of those actions. There are different deontological theories
such as categorical imperative, moral absolutism, divine command theory etc.
ii. First famous deontological theory is Immanuel Kant’s Categorical Imperative or Kantianism.
Kant said that the human beings occupy special place in creation and there is an ultimate
commandment from which all duties and obligations derive.
iii. The moral rules, as per Kant, should follow two principles viz. universality and principle of
reciprocity. By universality, he meant that a moral action must be possible to apply it to all
people.
iv. By principle of reciprocity, he meant said “do as you would be done by.” Such premise of
morality is found in all religious systems, including Hinduism, Islam, Christianity, Judaism,
Buddhism etc.
v. Second famous deontological theory is Moral absolutism. It believes that there are absolute
standards against which moral questions can be judged.
vi. Against these standards, certain actions are right while others are wrong regardless of the
context of the act. For example, theft is wrong, regardless of context in which theft was
carried out. It ignores that sometimes wrong act is done to reach out to right consequence.
vii. Third deontological theory is Divine command theory. It says that an action is right if God
has decreed it to be right.

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viii. As per this theory, the rightness of any action depends upon that action being performed
because it is a duty, not because of any good consequences arising from that action.
5. Consequentialism (Teleology)
i. Consequentialism or teleological ethics says that the morality of an action is contingent with
the outcome of that action. So, the morally right action would produce good outcome while
morally wrong action would produce bad outcome.
ii. Based on the outcome, there are several theories such as:
o Utilitarianism {right action leads to most happiness of greatest number of people},
o Hedonism {anything that maximizes pleasure is right},
o Egoism {anything that maximizes the good for self is right},
o Asceticism {abstinence from egoistic pleasures to achieve spiritual goals is right action},
o Altruism {to live for others and not caring for self is right action}.
iii. The core idea of consequentialism is that “the ends justify the means“. An action that might
not be right in the light of moral absolutism may be a right action under teleology.
6. Meta Ethics
i. Meta Ethics or “analytical ethics” deals with the origin of the ethical concepts themselves. It
does not consider whether an action is good or bad, right or wrong.
ii. Rather, it questions – what goodness or rightness or morality itself is? It is basically a highly
abstract way of thinking about ethics. The key theories in meta-ethics include naturalism,
non-naturalism, emotivism and prescriptivism.
iii. Meta ethics is the study of what ethical terms and theories actually refer to it determines
the validity of theories advanced in Normative Ethics.
iv. We use certain moral concepts such as right, wrong, good or bad to evaluate human actions.
These moral concepts are used as tools in passing moral judgments.
v. Meta ethics analyses ethical concepts, it studies the meaning of moral language and the
metaphysics of moral facts. Meta ethics seeks to understand the nature of ethical properties
and evaluations.
vi. Meta ethics deals with the questions such as ‘What is the meaning of moral terms or
judgments?’, ‘What is the nature of moral judgments?’, How may moral judgments be
supported or defended?”
7. Applied Ethics
i. Applied ethics deals with the philosophical examination, from a moral standpoint, of
particular issues in private and public life which are matters of moral judgment.
ii. This branch of ethics is most important for professionals in different walks of life including
doctors, teachers, administrators, rulers and so on. There are six key domains of applied
ethics viz:
o Decision ethics {ethical decision making process},
o Professional ethics {for good professionalism},
o Clinical Ethics {good clinical practices},
o Business Ethics {good business practices},
o Organizational ethics {ethics within and among organizations} and

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o Social ethics.
iii. It deals with the rightness or wrongness of social, economical, cultural, religious issues also.
For example, euthanasia, child labour, abortion etc.
DETERMINANTS OF ETHICS
 This is the factors in human behaviour that determine whether it is good or bad. There are three
such determinants of ethics, namely the object, the end, and the circumstances.
o Object means what the free will chooses to do in thought, word, or deed or chooses not to
do.
o The end is meant the purpose for which the act is willed, which may be the act itself (as one
of loving God) or some other purpose for which a person acts (as reading to learn). In either
case, the end is the motive or the reason why an action is performed.
o By circumstances are meant all the elements that surround a human action and affect its
morality without belonging to its essence. Some circumstances so affect the morals of an
action as to change its species. Other circumstances change the extent of kindness or
badness of an act. In bad acts they are called aggravating circumstances.
 To be ethically good, a human act must agree with the norm of morality on all three counts; in
its nature, its motive, and its circumstances. Departure from any of these makes the action
morally wrong.
CONSEQUENCES OF ETHICS IN HUMAN ACTIONS

 The consequences are the outcomes caused by an action and the quality of these consequences
depend on how much good they contain. Motives are the causes and the consequences are the
effect. The consequences are explained by various theories.
 One is utilitarianism approach. Utilitarianism appraised consequences by how much happiness
and suffering they contain. The consequence that mattered to every human is pleasure and
happiness in the absence of pain and suffering.
 The good consequences are defined in terms of happiness and suffering. The amount of pleasure
and pain created by an action is really good way of presenting that some consequences are
better or worse than others.
DIMENSIONS OF ETHICS
 The different dimensions to study the ethics help in arriving at ethical decisions during complex
situation. These varied approaches to ethics look into the question of how ethical action is
determined during a particular situation.
 Human beings are confronted with situations wherein their decisions about actions may lead to
opposed and perhaps equally unwelcome alternatives. There are many dimensions of ethics
which are as follows:
1. Utilitarian approach
i. Utilitarianism was conceived in 19th century by Jeremey Bentham and John Stuart Mill to
help legislators determine the law which were morally correct and better. According to
them, ethical actions are those that offers the greatest balance good over evil.

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ii. The ethical administrative action is the one that produces greatest goods and does the least
harm for all who are affected such as citizens, communities, employees, environment and
society at large.
iii. Ethical warfare balances the good achieved in ending terrorism with the harm done to all
parties through death, injuries and destruction.
iv. Utilitarian approach is one of the teleological approaches to ethics dealing with
consequences tries to increase the good and reduce the harm that is done. To scrutinise an
issue using the utilitarian approach, people first identify the various courses of action
available to us.
v. Secondly, they ask who will be affected by each action and what benefits or harms will be
derived from each.
vi. And they choose the action that will produce the greatest benefits and the least harm. The
ethical action is the one that provides the greatest good for the greatest number.
vii. It focuses on the consequences that actions or policies have on the well-being (“utility”) of
all persons reasonably foreseen to be directly or indirectly (but rather immediately) affected
by the action or policy.
viii. It must be established that different people often identify benefits and harms differently.
The principle states: “Of any two actions, the most ethical one will produce the greatest
balance of benefits over harms.”
2. The right approach

i. This approach is rooted in the philosophy of Immanuel Kant and others who focused on the
individual’s right to choose actions based on his or her free will.
ii. These philosopher stated that people have dignity based on their capability to choose freely
what they will do with their lives and they have fundamental moral right to have these
choices respected. The Rights Approach focuses on respect for human dignity.
iii. This approach holds that our dignity is based on our ability to choose freely how we live our
lives, and that we have a moral right to respect for our choices as free, equal, and rational
people, and a moral duty to respect others in the same way.
iv. People are not objects to be manipulated, it is violation of human dignity to use people in
way wherein they do not freely choose their own actions.
v. Other philosophers and ethicists suggested that ethical action is one of the best protects and
respects the moral rights of those affected. Right to truth, right to privacy, right to not to
be injured and right to what is agreed are some of the rights considered under this
approach to ethics.
3. Fairness or justice approach

i. Aristotle and Greek philosophers have contributed the idea that all equals should be treated
equally. In basic term, The Fairness Approach focuses on the fair and equitable distribution
of good and harm, and/or the social benefits and social costs, across the spectrum of
society.
ii. It starts with the principle that all equals should be treated similarly, and those who are
unequal due to relevant differences, should be treated differently in a manner that is fair
and proportionate to, or commensurate with, their difference.

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iii. Rawls suggested the idea of “original position”, a mental exercise whereby a group of
rational people must establish a principle of fairness (such as distribution of income) without
knowing beforehand where on the resulting pecking order they will end up themselves.
4. Common goods approach

i. Greek philosophers have contributed the notion life in community is a good in itself and that
our actions should contribute to that life.
ii. The common good concept was originated in ancient time by many philosophers like Plato,
Aristotle, Cicero. More recently, contemporary ethicists, John Rawls defined the common
good as certain general conditions those are equally applicable to everyone’s advantage.
iii. This approach to ethics assumes a society comprising individuals whose own good is
inextricably linked to the good of community.
iv. Rawls’s theory of justice revolves around the adaptation of two fundamental principles of
justice which would, in turn, guarantee a just and morally acceptable society.
v. The first principle guarantees the right of each person to have the most extensive basic
liberty compatible with the liberty of others.
vi. The second principle states that social and economic positions are to be to everyone’s
advantage and open to all. In this approach, the focus is on ensuring that the social policies,
social systems, institutions, and environments are beneficial to all.
vii. Examples of goods common to all include affordable health care, effective public safety,
peace among nations, a just legal system, and an unpolluted environment.
5. Virtue approach
i. This is very primitive approach to ethics in which ethical actions ought to be consistent with
certain ideal virtues that provide for the full development of our humanity.
ii. The virtual approach to ethics assumes that there are certain ideals toward which we should
strive which offer overall development of humans.
iii. These virtues are dispositions and habits that enables us to act according to the highest
potential of our character and on behalf of values like truth and beauty.
iv. Honesty, courage, compassion, generosity, tolerance, love fidelity, integrity, fairness, self-
control, and prudence are examples of virtue.
v. In dealing with an ethical problem using the virtue approach, people might ask, What kind of
person should I be? What will promote the development of character within myself or within
my community?.
vi. This approach focuses on attitudes, dispositions, or character traits that enable us to be and
to act in ways that develop our human potential.
vii. It is to be noted that different communities may identify differing virtues. The principle
states: “What is ethical is what develops moral virtues in ourselves and our communities.”
ETHICS IN PRIVATE AND PUBLIC RELATIONSHIPS

 Each individual plays various roles in society. The role played by them defines the relations with
others. Every day, we play different roles {father, mother, son, daughter, brother, sister,
husband, wife, teacher, student, doctor, leader, businessman, fried, foe, worker, employer,
colleagues and so on}.

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 Each of these roles carries expected behaviour called “norms”. The roles define relationships
such as marriage, family, friendship, kinship in private sphere of life and teacher-student, doctor-
patient, leader-followers, author- reader, employee-employer etc. in public life.
Private Relationships
 Each private and personal relationship has its own irreplaceable value. Each of it has its own
unique history, character, and set of implicit and explicit understandings about what is to be
expected of the parties to it.
 The governing factors for ethics in private relationships include:
o individual virtues,
o universal human values,
o religion,
o social norms and law.
Ethics in Public Relationships

 Public relationship are more instrumental such as organizational colleagues, politicians,
strangers, and other outside of one’s relatively narrow circle of intimacy.
 It is a management function that engages monitoring and evaluating public attitudes and
maintaining mutual relations and understanding between an organization and its public. Public
could include shareholders, government, consumers, employees and the media.
 It is the action of getting along with people we constantly come in touch with. Public relation
officers guarantee internal unity in the company by maintaining a clear communications network
between the management and personnel.
 Its major objective is to improve channels of communication and to establish new ways of
setting up a two-way flow of information and understanding.
Conflict of Role for a Public Servant

 At times, Public servants play conflicting role due to conflict in private life and public life. The
private relationships demand individual’s responsibilities towards the role played in private life
such as father, mother, husband, etc.
 These are self-imposed and voluntary and are backed by sanctions of one’s obligations towards
self, family and society since ancient times. For example, in our country, the Dharmashshtras
provide moral codes to regulate the private relations.
 However, in public relationships, the public servant needs to cope with several roles altogether.
This includes – role in private life, role in personal and family sphere, role as a professional, role
for job, role towards his / her area of jurisdiction, role towards seniors and society / humanity at
large.
 The public service role invokes legal and constitutional obligations, which when violated invite
legal sanctions and penalties. Thus, a public servant needs to cope with these different roles
which many a times conflict with each other.
 The question is – how to survive while playing such conflicting roles? The key to this is “personal
integrity”. Personal integrity is simply taking a sincere and ethical stand. It also serves as a
building block of public confidence and to establish a trust in society.

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Ethical Claims and Managing Ethics in Public Service

 As per Dwight Waldo, there are 12 spheres of ethical claims {means, what they should or ought
to do} for a public servant viz. constitution; law; nation; people; democracy; bureaucratic norms;
professionalism; family & friends; personal groups; public interest and welfare and religion.
 Similarly, the OECD countries publish a set of core values to guide public servants. These core
values include impartiality, legality, integrity, transparency, efficiency, equality, responsibility
and justice.
 This apart, Nolan, in his famous report of Committee of standards of Public life in Britain gave
seven basic principles for public servants viz. Selflessness, Integrity, Objectivity, Accountability,
Openness; Honesty and Leadership.
Conflicts of Interest
 Conflict of Interest refers to a situation in which the concerns or aims of two different
individual/parties are incompatible. In other way, it is a situation in which a person is in a
position to derive personal benefit from actions or decisions made in their official capacity.
 There are two levels of arise of conflict of interest viz.
o Organisational conflicts of interest- When a person is not able to render impartial service
because of relationships or other activities; and
o Personal conflicts of interest- When a person is not able to render impartial service because
of his / her own private interests
 When one is confused between ethical issues in private and public relationships, the personal
conflict of interest is bound to arise. A public servant must also endeavour to avoid conflict of
interest by avoiding situations where he / she either benefits personally.
 Ideally, the private and public relationships—should be separate. However, practically it is not
possible. The public office holders do have private lives, which are driven by whole gamut of
emotions and other factors.
HUMAN VALUES
 The values according to or against which we act are the unavoidable and essential element of
all important decisions in the human arena. Values are the link that ties together personal
perceptions and judgements, motives and actions.
 The same applies in understanding social and political life. A make-or-break idea is that values
or precepts-- and their various practical consequences in life are at least as fundamental to
understanding man and society as are the much-vaunted physical necessities.
 They are also essential in improving man and society too. The great predominance of violence,
war, hate and crime in most societies and eras of history may seem to refute the universality of
human values.
 However, the values do go back to the earliest recorded human societies and religions and have
somehow persisted throughout all the eras and all cultures.
 In this sense, they are universal, added to which is the evolutionary nature of the human being
and civilisation, whereby the assertion of these values becomes eventually more and more
secure, and now on an interactive global scale through international laws and practices.
 Human values can be formulated or expressed in many ways: anything from practical examples
to moral principles at the highest levels of generality.

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 However, genuine human values are not abstract principles developed by academics or
preachers, but life-embedded ideas and precepts, along with their various justifications.
 Because they are human, values are not divinely ordained rules of behaviour - not
commandments set in stone. They are related to differing cultures, unique persons and
situations and are developed and expressed in human terms for the human aims they
collectively represent.
Basic Human Values

 Human Values which have wide common appeal - possibly even a universal relevance - are:
Truth
i. The truth in any matter does not depend upon the will or wish of the individual, but is
independent of desires and their related interests and opinions.
ii. Evidence that truth is an inherent value in the human psyche is found in the fact that no-one
likes to be called a liar, not even most liars.
iii. Further, it is much harder lo sustain a lie than to maintain the truth, because one tie leads to
another until the complexity is unmanageable.
Love and Care

i. The word ’love should be taken in the very wide sense of ‘care’ or ‘concern for’. This can be
taken as a basic category or general human value which relates to concern and respect for
others and the environment.
ii. The word love is here used in a broader sense than in common parlance where personal
and/ or erotic love is the common interpretation.
iii. Its essence can be characterised by the words “Love is unselfish care and concern for the
well-being of others and the world at large. The less selfish it is, the more it enriches life”.
iv. Being neither a sensation, an emotion nor a mere conception, but being identifiable only at
the heart or core of the human consciousness, love in this universal sense is the
characteristic par excellence of the human soul or psyche.
v. It is common to include altruism, understanding and forgiveness under the more
encompassing (but vague and ambiguous) word ‘love.
Peace
i. As a universally-accepted positive value, peace refers to the experience of harmony, a
balanced but nevertheless dynamic mental condition.
ii. Peacefulness in a person’s life,in society and in world terms, is a product of all positive
values working together sufficiently. Without truth, caring concern (or love’ ) and justice,
conflicts arise and peace is endangered or lost.
iii. White peace is the absence of disturbance, violence, war and wrongdoing generally, it is
tangible present when experienced individually as peace of mind, the mutual respect and
pleasure of friendliness and tolerance.
iv. Peace of mind is individual, but peace in society is the result of positive acts, which are not
violent or destructive but tolerant and constructive.

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Responsibility
i. The human value of doing one’s duty is related to non- violence. This is the reasonable
tendency to wish to avoid harm to creatures or their environment wherever avoidable.
ii. Respecting the integral nature of ecosystems or of a social-natural environment as against
the destructive influences of pollution, misuse and excessive exploitation exemplify the
spirit of non-violence (the Hindu concept of ‘Ahimsa’ as well-developed by Gandhi).
iii. It is the inherently-sensed value that prompts us to draw back from unethical meddling in
life processes. Knowledge of what is true combined with insight into what is good, are the
basis of duty, also conceived as ‘acting rightly’ .
iv. Behind any conscious act, lies the thought. If the thought is fed by the will towards the true
and the good - in contrast to purely selfish aims - the act is ‘right’ .
v. This is also found in the Eastern concept of ‘dharma’ or action in accordance with the
universal laws of nature (both physical and human nature).
Justice
i. The European tradition has long embraced justice as one the highest human values, even as
the highest (Socrates and Plato), The idea of justice is difficult to define satisfactorily. It is
based on fairness, where the equality of every individual before the law is fundamental.
ii. As such, it is a social value in that il aims to resolve and reduce conflict, guided by the
principles of care and non-violence (involving the minimum use of force required).
iii. The aim to achieve social justice for the perceived common good has certainly a long pre-
history as a central idea in all human societies.
iv. The Classical Greek idea of justice eventually gave rise to that of ‘human rights’, first
formalised in the Charter of the 1948 Geneva Convention, which is continually undergoing
further development and extension.
v. The human value justice also has wide- ranging political relevancy, such as in the strivings of
egalitarianism in political democracy and other systems of rule.
vi. As such, justice is a major human value that embraces most aspects of social life. This value
is to be understood in the deep Vedic sense of ‘Ahimsa’, being universal in implying respect
for all living beings.
LESSONS FROM LIVES OF GREAT LEADERS, ADMINISTRATORS AND REFORMERS

Similarities between administration and leadership
 Administration is defined as a process of working with and through others to accomplish the
agreed goals efficiently. An administrator then is one who is responsible for carrying out this
process.
 Administrative theorists describe the essential roles and tasks of administration as planning,
organizing, leading and controlling.
 Management is also concerned with tasks such as planning, coordinating, directing, defining
objectives, supporting the work of others, and evaluating performance. Thus a similarity exists
between administration and management.

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Difference between administration and leadership

 However, leadership is the exercise of high-level conceptual skills and decisiveness. It is
envisioning mission, developing strategy, inspiring people, and changing culture. Administrators
are appointed. They have a legitimate power base and can reward and punish.
 Their ability to influence is founded upon the formal authority inherent in their positions. In
contrast, leaders may either be appointed or emerge from within a group. Leaders can influence
others to perform beyond the actions dictated by formal authority.
 In this sense, managers/administrators get other people to do, but leaders get other people to
want to do.
 Another distinguishing factor between leaders and administrators is that leaders initiate new
structures or procedures to achieve organizational goals or objectives, whereas administrators
utilize existing structures or procedures for this purpose.
 In other words, administrators are concerned with shaping existing structures and processes of
the organization to produce desired results, whereas leaders have a commitment or vision and
shape people around their commitment or vision.
 An administrator is concerned with carrying out policies, while a leader formulates policies. An
administrator does the thing right, while a leader does the right thing.
Reformer
 A reformer is a person who wants to improve the prevailing conditions in society by bringing
about reforms in any area of human activity e.g,, politics, social customs and religion.
 A social reformer is a disputant who advocates for reforms to discard the social evils like child
marriage, untouchability, female-foeticide, etc.
o Examples of social reformers include Dr. B.R, Ambedkar, Raja Rammohan Roy and Ishwar
Chandra Vidyasagar.
o These people have been able to make an impact on the people with their philosophy and
great work for the society.
 A political reformer is one who promises voters that he will address poor practices or
questionable activities in government.
 Some of the main issues addressed to by the political reformers are like corruption in
government offices, right of equality to all, transparency and accountability in government
activities.
 A religious reformer is someone who feels that a certain religion has overstepped its bounds or
has lost its original message, purpose or goal, and who attempts to bring it back to its pure state.
Leader, Administrator and Reformer: Common Values

 Though they may require different attitudes, skills and traits, but all great leaders,
administrators and reformers share certain values which they adhered to even in their toughest
rime. These all became the hallmark of their personality and character.
o An attitude to serve the people,
o uplifting the downtrodden,
o Impartiality and integrity,
o benevolence and compassion.

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Human Values- Lessons from the Lives of Great Leaders

 There have been many great leaders over the world like Mahatma Gandhi, Abraham
Lincoln,Martin Luther King Jr, Nielson Mandela, Vaclav Havel, Aung San 5u Ki and Mother
Teresa, who lived and did all the things on the basis of basic human values.
 Some of these human values which manifested from their works and lives are as follows-
o Love for Justice
o Selflessness
o Respect for Humanity Dignity for all
o Loving and caring behaviour
o Peace loving (non-violence)
o Benevolence
o Compassion
 Mahatma Gandhi- Here are top 10 lessons to be learned from Mahatma Gandhi’s life,
i. We become what we think.
ii. Never give up and be consistent.
iii. Actions speaks the priority
iv. Route to goal is as divine as goal itself.
v. An honest ‘NO’ is better than a dishonest ‘YES’.
vi. Peace is within and not affected by outside circumstances.
vii. Happiness is anything done with harmony.
viii. Forgiveness is the component of the strong and not of the weak.
ix. Mental strength is more important than physical.
x. Change yourself before you wish to see the change in the world.
 Dalai Lama- Following are the lessons to be learned from Dalai Lama’s life.
i. Be compassionate
ii. Be kind and help others
iii. Find happiness
iv. Don’t argue and fight, just negotiate
Human Values- Lessons from the Lives of Great Administrators

 Our generation has been fortunate enough to have some of the best administrators in the world.
Some of them are as follows Verghese Kurien, M S. Swaminathan, Sam Pitroda, E. Sreedharan,
CD. Deshmukh, I.C. Patel, V.P, Menon and CVG Krishnamurthy.
 From the work of these administrators, it is evident that they have been guided by various
professional and human values throughout their lives. Here we mention some of the
professional and human values which have been the source of their guidance in the field of
administration-
o Integrity
o Non-discrimination
o Discipline
o Citizenly-duty
o Social Equality

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o Lawfulness
o Sense of ethical accountability
o Loyalty
o Courage
o Solidarity and respect
VP Menon
 Menon was the political advisor of the last Viceroy of India, Lord Louis Mountbatten. After the
independence of India, Menon became the secretary of the Ministry of the States, headed by
Sardar Vallabhbhai Patel, with whom he had developed a bond of trust.
i. Patel respected Menon’s political genius and work ethic, while Menon obtained the respect
for his work that a civil servant needs from his political superior.
ii. Menon worked closely with Patel over the integration of over 565 princely states into the
union of India, managing the diplomacy between the States Ministry and the various Indian
princes, acting as Patel’s envoy and striking deals with reluctant princes and rulers.
iii. Patel respected Menon’s ingenuity in diplomacy, and often did not question if Menon
exceeded any instructions.
iv. Menon also worked with Patel over the military action against the hostile states of Junagadh
and Hyderabad, as well as advising Nehru and Patel on relations with Pakistan and the
Kashmir conflict.
v. The Cabinet had dispatched Menon to obtain the accession of Kashmir into India in 1947.
E Shreedharan
 Elattuvalapil Sreedharan is an Indian civil engineer and a retired Indian Engineering Service (IES)
officer popularly known as the “Metro Man”. He is credited for changing the face of public
transport in India with his leadership in building the Konkan Railway and the Delhi Metro.
 This he did while he served as the managing director of Delhi Metro between 1995 and 2012. In
1970, as the deputy chief engineer, he was put in charge of the implementation, planning and
design of the Calcutta metro, the first ever metro in India.
 Sreedharan not only completed this much heralded project but also laid down the foundation of
modern infrastructure engineering in India. He was also appointed as chief advisor to Kochi and
Lucknow metro.
 Kochi metro was built in four years whereas Lucknow Metro will be completed in a period of two
years and nine months, and that would be the fastest in India and the world till now.
Human Values- Lessons from the lives of Great Reformers In India

 There have been many social reformers like Kabir, Guru Narak Dev,Raja Rammohan Roy,
Ishwar Chandra Vidyasagar, Swami Vivekananda, etc. who challenged the prevailing evil
customs and enlightened the society on various social and religious matters.
 We observe that their lives exhibit following values:
o Respect for Humanity
o Dignity for all
o Humanism
o Reason and Inquiry for seeking the truth

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o Kindness and compassion

o Contentment
Social Equality
 Raja Ram Mohan set up Atmiya Sabha in 1815 in Kolkata. Atmiya Sabha was the forum for free
discussion among the members on fundamental religious issues.
i. He made it a major platform for agitation against social evils like the practice of Sati, caste
system, widow remarriage and right of Hindu women in the property of their fathers and
husbands.
ii. He fought alone against the barbaric custom of Sati, practiced by the then Hindu society.
iii. He convinced the British ruler Lord William Bentinck to put a legal ban on sate custom
practised by the then Hindu society which was prohibited by law on 4th December, 1829.
 Savitribai Phule dedicated her life with Mahatma Jyotiba Phule for the upliftment of socially
backward people.
i. To replace the monopoly of Alpajan Samaj (Society of few) she wanted an active
participation of Sarvajan Samaj (Society for all) for building up a powerful, united nation in
India.
ii. She established “Balahalya Pratibandhak Gruha” (Anti- Abortion Centre) in Poona.
 Ishwar Chandra Vidyasagar planned a methodical drive and published his booklets on widow
remarriage in 1855 to prepare the public mind for radical reform he had in view.
i. He dug out evidence of widow’s remarriage from shastras Parasar Samhita which permits
remarriage for women under certain conditions.
ii. To his great joy, he found that the list included the case of widows. Die to his efforts widow
remarriage came into being.
 Dr. Ambedkar declared that no country was good enough to rule another, and it was equally
true that no class was good enough to rule over another. He saw a vast difference between a
revolution and real social change.
i. A revolution transferred political power from one party to another or one nation to another.
ii. The transfer of power must be accompanied by such distribution of power that the result
would be real social change in the relative strength of the forces operating in that society.
iii. He started his social movement in 1924 through an organization called Bahishkrit Hitakar
Sabha.
Role of family in teaching values

 Bulk of literature have shown that the family and society plays a significant role in shaping moral
values of child. There is a strong bonding between the parents and children, which determines
the personality of child. Family is the basis on which values are built.
 Moral values such as truthfulness, happiness, peace, justice are inculcated in children’s
thoughts, feelings and actions and they function as ideals and standards that govern their
actions in their life.

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 The value system practised in the family becomes automatic to the young family members if
they are taught moral values thoroughly. The family has a great responsibility to pass on to the
children many truths and values, and competencies to accomplish their place in life, whatever
the society, whatever the culture or times.
 The eternal values of Truth, Right Conduct, Peace, Love and Harmlessness (Non-Violence) are
transmitted on first through the family. Mothers are the first teachers.
o Mother is foundational, central, life-bringer and life-shaper.
o From their mothers, children acquire self-knowledge, self-confidence, learn self-satisfaction,
self-worth, the capacity for self-sacrifice.
 The family, forms the child’s viewpoint towards people and society, and helps in mental
development in the child and supports his desires and values. Delightful and joyful atmosphere
in the family will develop the love, affection, tolerance, and generosity.
o A child learns his behaviour by demonstrating what he sees around him. Family also
contribute significantly in helping a child socialize and has great influence and bearing on the
progress of the child.
o In joint family system, the presence of elders in the family plays an effective role in social
and moral development of the children.
o It will also aid young generation of the family to develop human values and eliminate their
negative mental tendencies when they are among elders.
o Children recognize themselves with their parents, other family elders and espouse them as
their personal models for emulation and imitation.
o The behavioural problems are set correct only by the involvement of family in the child’s life
as they spend most of their time in adolescence with the parents.
o Family is the first social organisation that provides the immediate closeness from which the
child can learn his behaviour.
 Social standards and customs demarcated by a family provide the emotional and physical basis
for a child. Values developed by a family are the groundwork for how children learn, grow and
function in the world.
 These principles, transmits the way of life a child lives and changes into an individual in a culture.
These values and morals guides the individual every time in his actions. Children turn out to be a
good person because of the value taught and given by his family members.
 Philosophies passed down from generation to generation make up a family values. Customs and
traditions followed and taught by the family leads a disciplined and organized life.
 Families values helps the child to stand strong on his views regardless of others efforts to break
through with opposing views. A child has a strong sense of what is right and wrong and are less
likely to become sufferers of deviant influences.
Role of society in teaching values

 It both liberates and limits our potentialies as individuals and shapes our attitudes, beliefs,
morals and ideals. Thus, society fulfills not only our physical needs but also determines our
mental conditions.
i. A society thrives best when it is composed of men and women who are intelligent, hard
working, honest and dutiful. An ideal society is one which gives opportunity to every
individual to grow physically, intellectually and morally.

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ii. We are passing through a crisis of values in our social and political life which gives special
urgency to the question of values in education.
iii. Lack of social cohesion, national disintegration has become patently manifest and our
democratic social order is under severe stress.
iv. Social tensions, unrest, prejudices have transmitted through the social environment vitiating
the quality of life. Narrow casteist, regional, linguistic and communal platforms divide the
people as never before.
Role of educational institutions in inculcating values

 Value education is important to help everyone in improving the value system that he/she holds
and puts it to use. Once, one has understood his/ her values in life he/she can examine and
control the various choices he/she makes in his/ her life.
 Many reports signify that the aim of educational institutions should not only be to teach
education alone but should also be to inculcate values and improving skills of children and teens.
 In school, children are affiliates of a small society that exerts a great influence on their moral
development. Teachers serve as role model to students in school. They play a major role in
inculcating their ethical behaviour (Satya Pal Ruhela, 1996).
 Peers at school diffuse confidence about cheating, lying, stealing, and consideration for others.
Though there are rules and regulations, the educational institutions pervade the value education
to the children in an informal way. They play a key role in developing ethical behaviour in
children.
 General Steps are as under:
1. Accountability:
i. The children should be exhilarated to be accountable for their own actions and should learn
to respect and treat others kindly.
2. Role model:
i. The teachers are the first role model to the children outside their family.
ii. When the children see the model showing concern for others, motivating them for their
good deeds and cooperating and helpful with their academic issues, the children learn them
by observing and imitate it with fellow peers.
3. Helping:
i. The children are taught basic morals and values in school.
ii. They should be taught by emphasizing the idea through many activities, stories and tales,
which will encourage them to engage in more helping behaviours.
4. Appreciation:
i. The teacher should appreciate the children for developing pro-social behaviour, especially
for any specific action they have done to help others.
ii. It is appraised that human values enhances person’s life but in present scenario, these
values are deteriorated in several countries.
iii. This trend of weakening in human values does not only pose serious threat to the future
course of development of the nation but even for its survival, respect and authority itself.

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iv. However, change in social/human values in younger group is unavoidable with time but the
decline in Indian youth group is at disturbing rate as compared to other country around the
globe.
v. It devolves on the parents, teachers and society to imbibe the desired human values in
young age group (Gandhi K. K., 1993).
 To summarize, values are bridge between individual and social. Individual holds value but
others influence the formation of those values (Kenneth Fleischmann, 2013).
 In philosophical frameworks, values are those standards or code for conduct conditioned by
one’s cultural doctrines and guided by conscience, according to which human being is supposed
to conduct himself and shape his life patterns by integrating his beliefs, ideas and attitudes to
realize cherished ideas and aims of life (Gupta, 1986).
 Families, groups and societies tend to share common values (Kenneth Fleischmann, 2013).
Family has been regarded as cornerstone of society. It forms a basic unit of social organisation
(Goel, 2008).
*****
2. ATTITUDE
DEFINITION
 Attitude is a psychological construct, a mental and emotional entity that inheres in, or
characterizes a person. They are complex and an acquired state through experiences.
o It is an individual’s predisposed state of mind regarding a value and it is precipitated through
a responsive expression towards a person, place, thing, or event which in turn influences the
individual’s thought and action.

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o Most contemporary perspectives on attitudes also permit that people can also be conflicted
or ambivalent towards an object by simultaneously holding both positive and negative
attitudes towards the same object.
o This has led to some discussion of whether individual can hold multiple attitudes towards
the same object. It could be concrete, abstract or just about anything in your environment,
but there is a debate about precise definitions.
 Eagly and Chaiken, for example, define an attitude as “a psychological tendency that is
expressed by evaluating a particular entity with some degree of favor or disfavor.”
 Though it is sometimes common to define an attitude as affection towards an object, affect
(i.e., discrete emotions or overall arousal) is generally understood as an evaluative structure
used to form attitude object.
o Attitude may influence the attention to attitude objects, the use of categories for encoding
information and the interpretation, judgement and recall of attitude-relevant information.
o These influences tend to be more powerful for strong attitudes which are accessible and
based on elaborate supportive knowledge structure.
o The durability and impactfulness of influence depend upon the strength formed from
consistency of heuristics. Attitudes can guide encoding information, attention and
behaviors, even if the individual is pursuing unrelated goals.
FACTORS AFFECTING ATTITUDE

Psychological Factors
 The attitude of a person is determined by psychological factors like ideas, values, beliefs,
perception, etc. All these have a complex role in determining a person’s attitude.
 Values are ideals, guiding principles in one’s life, or overarching goals that people strive to
obtain.
 Beliefs are cognitions about the world—subjective probabilities that an object has a particular
attribute or that an action will lead to a particular outcome. Beliefs can be patently and
unequivocally false.
o For example, surveys show that a third of U.S. adults think that vaccines cause autism,
despite the preponderance of scientific research to the contrary (Dixon et al., 2015).
o It was found that beliefs like these are tenaciously held and highly resistant to change.
 Another important factor that affects attitude is symbolic interactionism, these are rife with
powerful symbols and charged with affect which can lead to a selective perception.
 Persuasion theories says that in politics, successful persuaders convince its message recipients
into a selective perception or attitude polarization.
o They do so for turning against the opposite candidate through a repetitive process that they
are in a non-committal state and it is unacceptable.
o It doesn’t have any moral basis for it and for this they only require to chain the persuading
message into a realm of plausibility.
Family
 Family plays a significant role in the primary stage of attitudes held by individuals. Initially, a
person develops certain attitudes from his parents, brothers, sister, and elders in the family.
 There is a high degree of relationship between parent and children in attitudes found in them.

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Society
 Societies play an important role in formatting the attitudes of an individual. The culture, the
tradition, the language, etc., influence a person’s attitudes.
 Society, tradition, and the culture teach individuals what is and what is not acceptable.
Economic
 A person’s attitude also depends on issues such as his salary, status, work environment, work as
such, etc.
STRUCTURE
 The classic, tripartite view offered by Rosenberg and Hovland is that an attitude contains:
o cognitive,
o affective, and
o behavioral components.
 Empirical research, however, fails to support clear distinctions between thoughts, emotions, and
behavioral intentions associated with a particular attitude.
 A criticism of the tripartite view of attitudes is that it requires cognitive, affective, and behavioral
associations of an attitude to be consistent, but this may be implausible.
 Thus, some views of attitude structure see the cognitive and behavioral components as
derivative of affect or affect and behavior as derivative of underlying beliefs.
 There is also a considerable interest in intra-attitudinal and inter-attitudinal structure, which is
how an attitude is made (expectancy and value) and how different attitudes relate to one
another.
 Which connects different attitudes to one another and to more underlying psychological
structures, such as values or ideology.
Attitude component models

 An influential model of attitude is the multicomponent model, where attitudes are evaluations
of an object that have affective, behavioural, and cognitive components (the ABC model):
1. Affective component
i. The affective component of attitudes refer to your feelings or emotions linked to an attitude
object. Affective responses influence attitudes in a number of ways.
ii. For example, many people are afraid/scared of spiders. So this negative affective response is
likely to cause you to have a negative attitude towards spiders.
2. Behavioural component
i. The behavioural component of attitudes refers to past behaviours or experiences regarding
an attitude object.
ii. The idea that people might infer their attitudes from their previous actions.
3. Cognitive component
i. The cognitive component of attitudes refer to the beliefs, thoughts, and attributes that we
would associate with an object.

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ii. Many times a person’s attitude might be based on the negative and positive attributes they
associate with an object.
Categories of Attitudes
 Explicit and Implicit Attitudes are divided into two categories as given below. The basic
difference between these two types of attitudes is conscious and unconscious cognition.
o Explicit attitudes- Result of Conscious Cognition
o Implicit attitudes- Result of Unconscious Cognition
1. Explicit Attitudes
i. They are characterized as the attitudes which are the result of conscious cognition, which
means person is aware of his or her attitude. Explicit attitudes are mostly affected by recent
or more accessible events.
ii. These types of attitudes represent cognitive and motivational factors behind the assigning of
attitude, more deliberate thinking is involved in it.
iii. Since self is involved more consciously in it so sometimes it is known as ‘self reported
attitude’.
2. Implicit Attitudes
i. Implicit attitudes are derived from past memories, which are rooted in unconscious
cognition. Sometimes unknowingly we attribute something for object that is implicit attitude
which are governed by our past memories (sometimes forgotten memories).
ii. We do not deliberately think over it. It just comes out from our self without an intention.
Since, cognitive part is absent in these attitudes so these are largely influenced by affective
experiences.
iii. Because of these experiences, priming affects implicit attitudes than explicit altitudes, which
means implicit altitudes are more easily accessible if there is influence of contextual factors.
iv. Since implicit attitudes are more closely related to affective experiences and the ‘culture’ is
a collection of certain feelings and emotions, therefore, cultural biases have appreciable
impact on implicit attitudes.
FORMATION OF ATTITUDE
 Right from our birth onwards, we are exposed to a wide variety of stimuli, both directly and
indirectly, which lead to our acquiring particular attitudes towards the altitudinal object.
 It is believed that attitudes are by and large acquired as a result of various life experiences,
although a small but growing body of evidence indicates that attitudes may be influenced by
genetic factors, too.
 A number of theories have been used to identify what lead to formation and maintenance of
attitudes-
o Classical or Pavlovian Conditioning
o Instrumental Conditioning
o Observational Learning
o Genetic Factors

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1. Classical or Pavlovian Conditioning

i. Classical Conditioning is a process of behaviour modification by which a subject comes to
respond in a desired manner to a previously neutral stimulus that has been repeatedly
presented along with an unconditioned stimulus that elicits the desired response.
ii. A stimulus is a factor that causes a response in an organism. Conditioning is usually done by
pairing the two stimuli, as in Pavlov’s classic experiments. Pavlov presented dogs with a
ringing bell followed by food.
iii. The food elicited salivation (unconditioned stimulus), and after repeated bell- food pairings
the bell also caused the dogs to salivate. In this experiment, the unconditioned stimulus is
the dog food as it produces an unconditioned response, saliva.
iv. Classical conditioning could play a role in establishing some of the emotional components of
attitudes and prejudice.
v. Further, through classical conditioning, people may come to have powerful attitudinal
reactions to social objects even in the absence of firsthand experience.
vi. Hence, children who hear repeated pairings of words in their parents’ conversations (such as
say, Muslims’ Aggressive, Muslims-Fundamentalists) throughout their early years of
development may come to adopt such negative attitudes themselves— without even
meeting them.
2. Instrumental Conditioning
i. According to this, behaviours that are followed by positive outcomes tend to be
strengthened, while those that are followed by negative outcomes are suppressed.
ii. The degree to which attitudes are verbally or non-verbally reinforced by others will affect
the acquiring and maintenance of attitudes.
iii. For example, early in your life, if your parents and teachers praised you for doing well in
studies, you may have doubled your efforts and developed a positive attitude towards
studies.
iv. However, if your friend’s parents did not acknowledge her achievements in studies, she
would have probably developed a negative attitude toward studies.
3. Observational Learning
i. The phenomenon by which a person acquires new forms of behaviour or thought.
ii. Simply by observing the rewards and punishments that others get is called observational
learning.
4. Genetic Factors
i. Genetic factors also play a role in shaping attitudes of an individual. However, they play
stronger role in shaping some attitudes than others.
ii. For example, attitudes involving gut-level preferences (say a preference for a certain kind of
food) may be more strongly influenced by genetic factors than attitudes that are more
cognitive in nature (say attitudes towards environment conservation}.
iii. According to Doob (1947), learning can account for most of the attitudes we hold. The study
of attitude formation is the study of how people form evaluations of persons, places or
things.

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CONCLUSION
 Theories of classical conditioning, instrumental conditioning and social learning are mainly
responsible for formation of attitude. Unlike personality, attitudes are expected to change as a
function of experience. In addition, exposure to the ‘attitude’ objects may have an effect on
how a person forms his or her attitude.
 This concept was seen as the “Mere-Exposure Effect”. Robert Zajonc showed that people were
more likely to have a positive attitude on ‘attitude objects’ when they were exposed to it
frequently than if they were not.
 Mere repeated exposure of the individual to a stimulus is a sufficient condition for the
enhancement of his attitude toward it. Tesser (1993) has argued that hereditary variables may
affect attitudes - but believes that they may do so indirectly.
 For example, consistency theories, which imply that we must be consistent in our beliefs and
values. As with any type of heritability, to determine if a particular trait has a basis in our genes,
twin studies are used.[28]
 The most famous example of such a theory is Dissonance-reduction theory, associated with
Leon Festinger, which explains that when the components of an attitude (including belief and
behavior) are at odds an individual may adjust one to match the other (for example, adjusting a
belief to match a behavior).
 Other theories include balance theory, originally proposed by Heider (1958), and the self-
perception theory, originally proposed by Daryl Bem.
FUNCTIONS OF ATTITUDE
 Another classic view of attitudes is that attitudes serve particular functions for individuals. That
is, researchers have tried to understand why individuals hold particular attitudes or why they
hold attitudes in general by considering how attitudes affect the individuals who hold them.
 Daniel Katz, for example, writes that attitudes can serve “instrumental, adjustive or utilitarian,”
“ego-defensive,” , “value-expressive,” or “knowledge” functions. This functional attitude theory
suggests that in order for attitudes to change (e.g., via persuasion), appeals must be made to the
function(s) that a particular attitude serves for the individual.
 As an example, the “ego-defensive” function might be used to influence the racially prejudicial
attitudes of an individual who sees themselves as open-minded and tolerant.
 By appealing to that individual’s image of themselves as tolerant and open-minded, it may be
possible to change their prejudicial attitudes to be more consistent with their self-concept.
Similarly, a persuasive message that threatens self- image is much more likely to be rejected.
 Daniel Katz classified attitudes into four different groups based on their functions
i. Utilitarian: provides us with general approach or avoidance tendencies
ii. Knowledge: help people organize and interpret new information
iii. Ego-defensive: attitudes can help people protect their self-esteem
iv. Value-expressive: used to express central values or beliefs
Social Identity Function

 Social identity function refers to the informativeness of attitudes for person’s impressions, or
how much attitudes appear to convey about the people who hold them.

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 For example, the purchase of an Indian flag on the Republic Day may be driven primarily by
social identity goals.
1. Utilitarian People
i. They adopt attitudes that are rewarding and that help them avoid punishment. In other
words, any attitude that is adopted in a person’s own self- interest is considered to serve a
utilitarian function.
ii. Consider you have a condo, people with condos pay property taxes, and as a result you don’t
want to pay more taxes.
iii. If those factors lead to your attitude that “increases in property taxes are bad” your attitude
is serving a utilitarian function.
2. Knowledge People
i. They need to maintain an organized, meaningful, and stable view of the world. That being
said important values and general principles can provide a framework for our knowledge.
ii. Attitudes achieve this goal by making things fit together and make sense. Example:
o I believe that I am a good person.
o I believe that good things happen to good people.
o Something bad happens to Bob.
o So I believe Bob must not be a good person.
3. Ego-Defensive
i. This function involves psychoanalytic principles where people use defense mechanisms to
protect themselves from psychological harm. Mechanisms include:
o Denial
o Repression
o Projection
o Rationalization
ii. The ego-defensive notion correlates nicely with Downward Comparison Theory which holds
the view that derogating a less fortunate other increases our own subjective well-being.
iii. We are more likely to use the ego-defensive function when we suffer a frustration or
misfortune.
4. Value-Expressive
i. Serves to express one’s central values and self-concept. Central values tend to establish our
identity and gain us social approval thereby showing us who we are, and what we stand for.
ii. An example would concern attitudes toward a controversial political issue.
ATTITUDE CHANGE: PERSUASION AND SOCIAL INFLUENCE

 Attitudes can be changed through persuasion and an important domain of research on attitude
change focuses on responses to communication. Experimental research into the factors that can
affect the persuasiveness of a message include:

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Target characteristics
i. These are characteristics that refer to the person who receives and processes a message.
One such trait is intelligence: it seems that more intelligent people are less easily persuaded
by one-sided messages.
ii. Another variable that has been studied in this category is self-esteem. Although it is
sometimes thought that those higher in self-esteem are less easily persuaded.
iii. There is some evidence that the relationship between self-esteem and persuasibility is
actually curvilinear, with people of moderate self-esteem being more easily persuaded than
both those of high and low self-esteem levels.
iv. The mind frame and mood of the target also plays a role in this process.
Source characteristics
i. The major source characteristics are expertise, trustworthiness and interpersonal attraction
or attractiveness.
ii. The credibility of a perceived message has been found to be a key variable here; if one reads
a report about health and believes it came from a professional medical journal, one may be
more easily persuaded than if one believes it is from a popular newspaper.
iii. Some psychologists have debated whether this is a long-lasting effect and Hovland and
Weiss (1951) found the effect of telling people that a message came from a credible source
disappeared after several weeks (the so-called “sleeper effect”).
iv. Whether there is a sleeper effect is controversial. Perceived wisdom is that if people are
informed of the source of a message before hearing it, there is less likelihood of a sleeper
effect than if they are told a message and then told its source.
Message Characteristics
i. The nature of the message plays a role in persuasion. Sometimes presenting both sides of a
story is useful to help change attitudes.
ii. When people are not motivated to process the message, simply the number of arguments
presented in a persuasive message will influence attitude change, such that a greater
number of arguments will produce greater attitude change.
iii. Cognitive routes: A message can appeal to an individual’s cognitive evaluation to help
change an attitude. In the central route to persuasion the individual is presented with the
data and motivated to evaluate the data and arrive at an attitude changing conclusion.
iv. In the peripheral route to attitude change, the individual is encouraged to not look at the
content but at the source. This is commonly seen in modern advertisements that feature
celebrities.
v. In some cases, physician, doctors or experts are used. In other cases film stars are used for
their attractiveness.
SOCIAL INFLUENCE
 Social influence is a major topic in social psychology and looks at how individual thoughts,
actions and feelings are influenced by social groups. The studies related to social influence focus
on ways in which behaviour is influenced by outside factors.

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 This influenced behaviour could be behaviour of a whole group or of discrete individuals, A

variety of scholars have defined ways in which individuals respond to social influences. The
individual in an influential situation could comply, identify, or internalize, as defined by
Professor Herbert Kelmen, a well-known scholar in this subject.
 ‘Compliance’ might look like agreement with others in a social setting, but below the surface,
the person has by no means been fully convinced. For instance, if in a conversation between two
people, one person makes a racist comment and the other is offended and says nothing, this
could be viewed as complying so that the appearance of agreement is maintained.
 Other people may identify’ with an influential person whom they either idolize from a distance
or know intimately, A person whose wardrobe choice is solely influenced by the fashion advice
of a super model would be expressing identification.
 Alternately, people may internalize’ belief systems of others. If the two conversing people In the
previous example both express racist statements, they are showing they have a belief system in
common, however repugnant it may be, and they have moved far past the point of compliance.
 Another way of viewing these influences is to discuss the types of things that may affect the
behaviour of an average person. These include the person’s family, family beliefs, and family
structure. Other factors, particularly as people progress to adulthood, become involved. What
other people are doing in peer groups is a powerful influence.
Types of Social Influence

 Social influence in general refers to how one can be influenced or affected by others. Baumeister
and Bushman (2010) divided types of social influence into two major forms;
1. Normative influence-Normative influence is related to the act of going along with the crowd in
the effort to be liked and to be accepted. This is related to a human s fundamental need to
belong to a social group thus increasing their chances to survive, By agreeing on common beliefs,
values, attitudes and behaviour, there wifi be a higher level of acceptance and survival
possibilities.
2. Informative Influence- In informative influence, we go along with ihe crowd because we think
the crowd knows more than we do. This is especially during ambiguous situations when we do
not have a dear idea of what to do.
i. Two types of situations produce informational influence:
o Ambiguous situations: When people do not know what to do.
o Crisis situations: When people do not have Lime to think what to do.
ii. In these situations, people follow others because they think others know what they are
doing.
Principles of Social Influence

 Principles of Social Influence play on fundamental human instincts and can be exploited both
intentionally and unintentionally by professional influence agents. Many of these may seem like
obvious tactics that advertisers and influence agents will utilize to sway our opinion.
 However, when we are not prepared to scrutinize and resist them, these principles will often
work subliminally and quite powerfully.

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 Thus, an important part of resisting these common influence tactics is awareness of their
fundamental operating principles, contexts in which they are most easily provoked, and the best
methods to avoid falling prey to them. Following are the six principles of social influence-
1. Reciprocity
i. This principle is based on the fact that people give back what another has given to them. It
might seem obvious, and it is indeed one of the main rules of our society.
ii. Test for example yourself: smile to the people you meet, how many do reply with a smile?
2. Consistency
i. This principle is based on the desire from people to be consistent with their previous actions,
opinions and assertions.
ii. Combined with the idea of commitment, we can notice that people when having decided
upon something, they will do whatever they can to remain to that point of view.
3. Social Proof
i. This principle illustrates that people often decided what to do by looking at what similar
others have done.
ii. This principle functions even better as people are in a condition of uncertainty. Uncertain
people can be influenced easily.
4. Liking
i. Liking is based on the principle that people are more easily influenced by those they like.
ii. It consists of several elements: physical attractiveness, similarity, praise, contact and
association.
5. Authority
i. The influential power of authority is underable. The first form is parental authority.
ii. Authority is reflected in different forms such as clothes, titles and - as it seems -
automobiles.
6. Scarcity
i. The rule of scarcity depicts that items and opportunities become more desirable as they are
less accessible.
ii. The level of being unique or the fact they represent elsewhere unattainable advantages, are
strong influential elements. Another example that speaks out for itself is censorship.
iii. The censored subjects or things are always the more interesting ones and do gain
automatically in importance. “Limited editions” or “last week for sale” are slogans that
have an immediate effect.
Emotions and attitude change

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 Emotion is a common component in persuasion, social influence, and attitude change. Much of
attitude research emphasized the importance of affective or emotion components. Emotion
works hand-in-hand with the cognitive process, or the way we think, about an issue or situation.
 Emotional appeals are commonly found in advertising, health campaigns and political messages.
Recent examples include no-smoking health campaigns and political campaign advertising
emphasizing the fear of terrorism.
 Attitudes and attitude objects are functions of cognitive, affective and conative components.
Attitudes are part of the brain’s associative networks, the spider-like structures residing in long
term memory that consist of affective and cognitive nodes.
 By activating an affective or emotion mode, attitude change may be possible, though affective
and cognitive components tend to be intertwined. In primarily affective networks, it is more
difficult to produce cognitive counterarguments in the resistance to persuasion and attitude
change.
 Affective forecasting, otherwise known as intuition or the prediction of emotion, also impacts
attitude change. Research suggests that predicting emotions is an important component of
decision making, in addition to the cognitive processes.
 How we feel about an outcome may override purely cognitive rationales. In terms of research
methodology, the challenge for researchers is measuring emotion and subsequent impacts on
attitude.
 Since we cannot see into the brain, various models and measurement tools have been
constructed to obtain emotion and attitude information.
 Measures may include the use of physiological cues like facial expressions, vocal changes, and
other body rate measures. For instance, fear is associated with raised eyebrows, increased heart
rate and increase body tension. Other methods include concept or network mapping, and using
primes or word cues in the era.
Components of Emotion Appeals

 Any discrete emotion can be used in a persuasive appeal; this may include jealousy, disgust,
indignation, fear, disturbed, haunted, and anger. Fear is one of the most studied emotional
appeals in communication and social influence research.
 Important consequences of fear appeals and other emotion appeals include the possibility of
reactance which may lead to either message rejections or source rejection and the absence of
attitude change. As the EPPM suggests, there is an optimal emotion level in motivating attitude
change.
 If there is not enough motivation, an attitude will not change; if the emotional appeal is
overdone, the motivation can be paralyzed thereby preventing attitude change.
 Emotions perceived as negative or containing threat are often studied more than perceived
positive emotions like humor. Though the inner-workings of humor are not agreed upon, humor
appeals may work by creating incongruities in the mind.
 Recent research has looked at the impact of humor on the processing of political messages.
While evidence is inconclusive, there appears to be potential for targeted attitude change is
receivers with low political message involvement.
 Important factors that influence the impact of emotion appeals include self efficacy, attitude
accessibility, issue involvement, and message/source features.

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1. Self efficacy
i. It is a perception of one’s own human agency; in other words, it is the perception of our
own ability to deal with a situation.
ii. It is an important variable in emotion appeal messages because it dictates a person’s ability
to deal with both the emotion and the situation.
iii. For example, if a person is not self-efficacious about their ability to impact the global
environment, they are not likely to change their attitude or behavior about global warming.
2. Message features
i. Dillard (1994) suggests that message features such as source non-verbal communication,
message content, and receiver differences can impact the emotion impact of fear appeals.
ii. The characteristics of a message are important because one message can elicit different
levels of emotion for different people. Thus, in terms of emotion appeals messages, one size
does not fit all.
3. Attitude accessibility
i. It refers to the activation of an attitude from memory in other words, how readily available
is an attitude about an object, issue, or situation.
ii. Issue involvement is the relevance and salience of an issue or situation to an individual.
4. Issue involvement
i. It has been correlated with both attitude access and attitude strength.
ii. Past studies conclude accessible attitudes are more resistant to change.
MORAL ATTITUDE
 All humans hold and express moral attitudes. Moral attitudes include moral judgments such as
“right or wrong” and “blameworthy or praiseworthy”.
 Moral attitudes are also present when states of the world are described in terms of “good” or
“bad” and “better or worse” as this tells us something about the values and worldview of the
speaker. Big differences exist in what people describe as good or right.
 These differences in attitudes are found when comparing cultures or groups (cultural level) but
also when comparing individuals within the same group of people (individual level) and when
comparing the attitudes the same person expresses under different circumstances (situational
level).
 Moral values are the highest among all natural values. Goodness, purity, truthfulness, humility of
man rank higher than genius, brilliancy, exuberant vitality, than the beauty of nature or of art,
than the stability and power of a state.
 What is realized and what shines forth in an act of real forgiveness, in a noble and generous
renunciation; in a burning and selfless love, is more significant and more noble, more important
and more eternal than all cultural values.

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 The moral values were also recognized by the great minds, such as Socrates, or Plato, who
continually repeated that it is better to suffer injustice than to commit it. This pre-eminence of
the moral sphere is, above all, a basic proposition of the Indian cultural ethos.
POLITICAL ATTITUDE
 An attitude is a predisposition to respond to a particular stimulus (i.e., object) in a particular
manner. Political attitudes are those directed toward political objects, such as political
candidates, political issues, political parties, and political institutions.
Political Attitude and Personality Traits

 Scholars have acknowledged that certain personality traits influence our political leanings and
orientation. In this regard, following five traits are usually mentioned.
i. Extraversion- It implies an energetic approach to the social and material world and includes
traits such as sociability, activity, assertiveness, and positive emotionality.
ii. Agreeableness- Agreeableness contrasts a pro-social and communal orientation toward
others with antagonism and includes traits such as altruism, tender- mindedness, trust, and
modesty,
iii. Conscientiousness- It describes socially prescribed impulse control that facilitates task and
goal directed behaviour, such as thinking before acting, delaying gratification, following
norms and rules, and planning, organizing, and prioritizing tasks.
iv. Emotional Stability- Emotional Stability describes even temperedness and contrasts with
negative emotionality, such as feeling anxious, nervous, sad and tense.
v. Openness to Experience- Openness to Experience (versus closed-mindedness) describes the
breadth, depth, originality, and complexity of an individual’s mental and experiential life.
 Each trait may have different effects on our economic ideology ( free market vs interventionist)
as well as on our social ideology (pro-choice/pro-equality vs pro- life/pro-tradition).
 Four of these five traits are expected to influence our ideology. The only exception is
extroversion, which is expected to influence political participation bul not ideology.
INFLUENCE AND RELATION OF ATTITUDE WITH THOUGHT AND BEHAVIOUR

 Behaviour is clearer concept than attitude as behaviour is described as a change in the physical
state of an individual as he responds physically and emotionally to any perceived situation.
 It is classified into two broad categories, namely:
1. Overt Behaviour
i. It is a response which is usually observed by another person. Social psychologists often
observe social behaviour in groups and individuals.
2. Covert Behaviour
i. It is an implicit response which cannot be observed directly without proper apparatus or
instruments which can measure heart rate, brain waves, eye blink rate, rate of sweating,
saliva flow etc.

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ii. It also includes inner speech or even sub-vocal response by vocal organs which accompany
thoughts which bring changes to attitudes.
iii. Individuals usually have a typical way of behaving which is irrespective of situations and are
stable over time.
When attitudes determine behaviour?

 It is a common assumption that public behaviour is determined by teaching, counselling and the
basic bringing up of a child. All these have profound effect on the feelings and private beliefs of a
child.
 However, observations suggest that expressed attitudes of people does not aid in predicting
their behaviour. Thus, behaviours emanate from external social influences and are often played
down by internal factors like attitudes and personality.
 The reliability of attitude- behaviour relationship is to get better adjusted between attitude
measures and reported behaviour as can be observed by the following results from various
researches:
1. Ensure situational sameness for the attitude and behaviour measure
i. As per Wicker, as one encounters more similar situations in which verbal and behavioural
responses are obtained, a stronger attitude-behaviour relationship develops.
2. Measure attitudes and behaviour at the same level of generality or specificity
i. As per Liska hypothesis, the attitude- behaviour relationship is affected by the extent to
which attitudes and behaviour are measured at approximately same level of generality or
specificity.
ii. Thus, by limiting the number of factors in the study of attitudes nearly perfect predictions
can be made in the behavioural patterns.
3. Examining primary attitudes and beliefs which involve ego
i. In all issues which are primarily concerned with the belief system of an individual there are
obvious pressures and inclinations towards consistency between attitudes and behaviour.
Also, taking action on one’s beliefs enhances self view.
ii. There are significant correlations between attitudes and behaviour when there is something
big involved e.g an emotional commitment or ego-involvement. In such situations individuals
show a high-level of attitude- behaviour consistency.
4. Investigate an attitude behaviour relationship which has group support
i. Group support can be an effective factor in determining the consistency of attitude-
behaviour relationship.
ii. Social pressure is potent source which compels people to act in a particular way.
5. Homogenous behavioural group
i. A homogenous behavioural group is a great way to assure fit between attitudes and
behaviours.
ii. They provide apt platform to determine consistencies and relevant attitudes.
6. Concentrate on a sample of ‘the right’ type of people
i. Some people are more consistent than others and have greater probability to show
consistency between attitudes and behaviour.
7. Assured measure of behaviour

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i. Remembering and believing in high fear and short recommendations have proved highly
effective in changing reported behaviour.
ii. Positive attitudes towards some kinds of appeals have been successfully correlated with
actual behaviour.
8. Examining more than one attitude or belief
i. A prevailing attitude often acts as a hindrance for individuals to behave.
ii. Thus, in order to improve the attitude-behaviour relationship more than one attitude has to
be examined.
9. Minimizing social influences
i. Psychologists usually measure expressed attitudes which like behaviour vary with outside
influences. Psychologists have many methods at their disposal to measure attitudes subtly.
ii. One is to measure facial muscle responses to various statements, measuring reaction times
to various stimuli, etc.
10. Making Attitudes Potent
i. In many situations when we act automatically our attitudes are seen lying in dormant state.
We act in routine manner without any specific reflections on our actions.
ii. However, in novel situations our behaviour becomes less predictable as there is no
predefined script and we are tempted to think before we act.
iii. It is still arguable that if people are tempted to think about their attitudes before they act,
will they be true to their feelings.
iv. People who generally review their past behaviour express attitudes which help in better
prediction of future attitudes.
v. Self-conscious people are usually aware of their attitudes and this helps people to focus on
their inner convictions. Also, when attitudes are acquired through experience they are more
likely to stay and guide actions.
*****
3. APTITUDE AND FOUNDATIONAL VALUES FOR CIVIL SERVICES
APTITUDE
 An aptitude is a constituent of a capability to perform certain task at a certain level. Aptitudes
may be physical or mental. Aptitude is not knowledge, understanding, learned or acquired
abilities (skills) or attitude. The innate nature of aptitude is in contrast to achievement, which
signifies knowledge or ability that is expanded.

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 Aptitude is considered as natural capability for doing a particular work or solving a particular
problem or facing a particular problem or facing a particular situation. Also to be very specific
one requires a different skill for law and order, for investigation of a case or for working in an
intelligence agency.
 Though to some extent skill is inherent, but it can be learned and upgraded through training and
capacity building. At the written examination stage, it is a fact that applicants do not have
working experience, yet they are expected to take decisions and justify them.
 Experience can be successfully gained through discussing good number of case studies.
Attitude and Aptitude

 Attitude is the manner, disposition, feeling, position, etc,, with regard to a person or thing. It is
the way you think about any particular person or thing. ‘Aptitude’ is a capability or talent innate
or acquired for performing some particular task.
 If you have an aptitude for languages, for instance, you can learn them faster than other people.
Altitude has to do with the character and aptitude has to do with competence. Character is
relatively permanent whereas aptitude can be changed and developed.
 In public administration, the difference may be understood by the following example:
o An administrator may be very good in problem solving (aptitude part) but may have the
tendency to procrastinate the decisions (attitude part).
o Also, an administrator may have a good aptitude in resolving the communal issues (aptitude
part) but may have a negative attitude towards a particular minority (attitude part) which
will naturally influence his overall decisions.
Baswan committee
 Over the years, government has setup many committees to reform UPSC examination process so
that candidates with right ‘aptitude‘ can be selected.
 Latest is, DoPT’s committee under B S Baswan (Ex-IAS) to revisit patten of UPSC civil service
examination. It’ll look into following:
1. For IAS, IPS and other jobs, each requires separate set of skills, so...
a. Whether to make changes in the present exam pattern?
b. Whether to have separate papers for IAS/IPS candidates?
c. How to ensure inclusiveness in the selection process I.e. candidates from different academic
disciplines and different walks of life are selected?
2. How to use ICT technology to reduce the time for completing one cycle of UPSC exam?
3. Update the eligibility criteria for UPSC candidates- age and attempt limit?
4. Review the eligibility of toppers re- appearing in the exam to improve their rank (I.e. IAS/IFS
can’t re-appear without resigning from job, should same rule be applied to toppers allotted in
other jobs?)
FOUNDATIONAL VALUES FOR PUBLIC SERVICES

 Civil services are an integral part of Indian democracy. They play a great role in societal
development as they have the responsibilities of both decision making and policy
implementation. They are vital as they have to maintain same standards of professionalism,
responsiveness and impartiality in serving successive governments.

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 The civil servants have to abide by a common set of values which can cater to larger interests of
society at large. There are some foundational principles which help instil public confidence in
government machinery.
 Public servants in India develop and implement public policy within a framework of public
service values. All these have a marked influence on their attitudes and actions. Civil Service in
India has gradually evolved over years of tradition.
 The current norms are enforceable rules of conduct as typified by the Central Civil Services
(Conduct) Rules. Analogous rules are also applicable to members of All India Services or
employees of various state governments.
 However, these do not stand for any code of ethics in India although such codes do exist in other
countries. Draft Public Services Bill, 2007 was constituted which proposed necessary steps to
evolve code of ethics in India.
Code of Ethics for Civil Servants

 The inculcation of values facilitating the subordination of the self to a larger, societal good, and
engendering a spirit of empathy for those in need of ameliorative state interventions are not
skills which could be easily imbibed after joining the civil services.
 Such attitudes need nurturing over not merely individual life- times, but through successive
generations - the ‘right’ ethos takes long to evolve. Nevertheless, it must be accepted that our
civil service system has a tradition of attitudes and achievements which sets examples to be
emulated by current and prospective civil servants.
 It must also be accepted that the existing framework for maintaining and promoting the norms
of ‘right conduct’ cannot be enforced through a rigid mindless enforcement of laws and rules. It
is all a question of striking the right balance.
 Within the civil services there are formal, enforceable codes setting out norms of expected
behaviour with ‘sanctions’ prescribed for unacceptable departures from such norms. There are
also inchoate conventions of propriety and acceptable behaviour without formal sanctions but
with non-observance of such practices and conventions attracting social disapproval and stigma.
 The current set of ‘enforceable norms’ are ‘Conduct Rules’, typified by the Central Civil Services
(Conduct) Rules - 1964 and analogous rules applicable to members of the All India Services or
employees of various State Governments.
 The norms prescribed in such rules are much older than the Rules themselves. Thus specific acts
were proscribed from time to time through notifications under the Fundamental Rules and the
Civil Service Regulations. Some examples are:
o the disapproval of habitual lending and indiscriminate borrowing (1869), and
o the banning of various actions – accepting gifts (1876),
o buying and selling property (1881),
o making commercial investments (1885),
o promoting companies (1885) and
o accepting commercial employment after retirement (1920).
 The breach of such prohibitions entailed punitive actions like removal from service. There were,
of course, provisions like:
o ‘illegal gratification’ or bribery - Sections 161 to 165 of the IPC - or

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o ‘criminal breach of trust by a public servant’ - Section 409 IPC - which provide for terms of
imprisonment.
 In 1947, with the enactment of the Prevention of Corruption Act, a new set of offences was also
created. In the 1930s, a compendium of instructions containing ‘do’s and don’ts’ was issued and
collectively called ‘Conduct Rules’.
 The compendium was converted in the form of distinct rules in 1955. The Santhanam Committee
recommended considerable enlargement of such rules resulting in the 1964 version. These rules
have subsequently been updated to include additional norms of behaviour.
 Some of the additions are:
o the requirement of observing courtesy,
o prohibiting demanding and accepting dowry,
o prohibiting sexual harassment of women employees, and,
o recently, prohibition to employ children below 14 years of age as domestic help.
 This is understandably a continuing process, and reflects the changing, often increasing
expectations of society, from the civil services. The code of behaviour as enunciated in the
Conduct Rules, while containing some general norms like:
o ‘maintaining integrity and absolute devotion to duty’ and
o not indulging in ‘conduct unbecoming of a government servant’, is generally directed
towards cataloguing specific activities deemed undesirable for government servants.
 There is no Code of Ethics prescribed for civil servants in India although such codes exist in other
countries. What we have in India are several Conduct Rules, which prohibit a set of common
activities.
 These Conduct Rules do serve a purpose, but they do not constitute a Code of Ethics. There is, of
late, a concern that more ‘generic norms’ need to be added to the list of accepted conduct.
 In this context, conflict of interest is an important area which should be adequately addressed in
these codes.
 It is necessary to build safeguards to prevent conflict of interest. A draft ‘Public Service Bill’ now
under consideration of the Ministry of Personnel, Public Grievances and Pensions seeks to lay
down a number of generic expectations from civil servants, which are referred to as “values”.
The salient ‘values’ envisaged in the Bill are:
o Allegiance to the various ideals enshrined in the preamble to the Constitution
o Apolitical functioning
o Good governance for betterment of the people to be the primary goal of civil service
o Duty to act objectively and impartially
o Accountability and transparency in decision-making
o Maintenance of highest ethical standards
o Merit to be the criteria in selection of civil servants consistent, however, with the cultural,
ethnic and other diversities of the nation
o Ensuring economy and avoidance of wastage in expenditure
o Provision of healthy and congenial work environment
o Communication, consultation and cooperation in performance of functions i.e. participation
of all levels of personnel in management.

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 The draft Bill also envisages a Public Service Code and a Public Service Management Code laying
down more specific duties and responsibilities. Violation of the Code would invite punishments
akin to the current major and minor penalties by the heads of institutions/ organizations.
 A ‘Public Service Authority’ is also envisaged to oversee implementation of the Code and values
indicated above and to render advice in the matter of the values and the Code. The various
issues discussed above are not significant only for the civil services.
 After the 73rd and the 74th Amendments of the Constitution, the local bodies now have an
important role to play in the nation’s development and have major executive powers. It is
essential that the need for relevant codes for these bodies and their employees, and for any
public authority, is recognized.
 In 1999, the Government of Australia enacted the Australian Public Service Act, which
prescribes a set of Public Service Values. These are not merely aspirational statements of intent,
but all employees are expected to uphold these values and comply with the Code, even as senior
executives are expected to promote these values.
 Interestingly, the Public Service Commissioner is authorized to evaluate the extent to which
agencies incorporate and uphold the values, and the adequacy of the systems and procedures
required to ensure compliance with the Code.
 He has both statutory powers and policy responsibilities. These include an annual report to
Parliament on the state of the service, including an evaluation of the extent to which various
agencies of Government have incorporated the values.
 There should be a set of Public Service Values which should be stipulated by law. As in the case
of Australia, there should be a mechanism to ensure that civil servants constantly aspire towards
these values. The values prescribed in the draft Public Services Bill, 2006 is a step in the right
direction.
 It has been noticed that normally codes of conduct are prescribed for a ‘service’. Along with this,
it would be desirable that organizations also prescribe codes of conduct. This is particularly true
of organizations having public interface.
 The prevailing practice of nominating serving officers on the boards of public sector bodies may
compromise with the desired objectivity and independence necessary for decision making in
these bodies.
 Also, the government is both the owner and the sovereign authority controlling the public
undertaking. It would be unrealistic and imprudent for an official to sit in judgement of a
decision taken by a Board of which he is a Member.
 There is a case for not nominating nor permitting serving officers to be nominated on boards of
public sector bodies since there could be a conflict of interest. The Seven Principles of Public Life
given by Nolan Committee U.K.:
i. Selflessness – Holders of public office should act solely in terms of the public interest.
ii. Integrity – They must avoid placing themselves under any obligation to people or
organisations that might try inappropriately to influence them in their work. They should not
act or take decisions to gain material benefits for themselves, their family, or their friends.
They must declare and resolve any interests and relationships.
iii. Objectivity – Holders of public office must act and take decisions impartially, fairly and on
merit, using the best evidence and without discrimination or bias.

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iv. Accountability – Holders of public office are accountable to the public for their decisions and
actions and must submit themselves to the scrutiny necessary to ensure this.
v. Openness – Holders of public office should act and take decisions in an open and
transparent manner. Information should not be withheld from the public unless there are
clear and lawful reasons for so doing.
vi. Honesty – Holders of public office should be truthful
vii. Leadership – Holders of public office should exhibit these principles in their own behaviour.
They should actively promote and robustly support the principles and be willing to challenge
poor behaviour wherever it occurs.
VALUES FORMING BASIS OF CIVIL SERVICE ETHICS

INTEGRITY
 Integrity is doing the right thing when no one is seeing you. Integrity is a personal choice, an
uncompromising and consistent commitment to honour moral, ethical, spiritual and artistic
values and principles.
o Integrity compels us to be socially conscious and to welcome both personal and professional
responsibility. Its values encourage us to be honest in all our dealings and committed to a
lifelong search for truth and justice.
o Integrity requires a self discipline and will power capable of resisting the temptation. Its
priceless reward is peace of mind and true dignity.
o There’s one provison, no one can guarantee that his or her particular version of integrity is
actually sound and true, and not misguided.
o It is a fact that we are not born with integrity. How well it is ingrained into our character
depends upon the healthy development of certain key personality traits, especially during
the critical stags of early childhood.
o How well we maintain personal integrity depends thereafter on the strength of our values
and the moral choice we make.
 Public service is a ‘vocation’ and only on this foundation upon which a moral and responsible
government can be based. The civil servants need to be people of absolute integrity because
only then they can take the civil service as a ’vocation’.
o It strengthens the sense of mission which a civil servant is supposed to undertake to serve
the public; perform duties and fulfill obligations.
o A similar doetrine of vocation was enunciated several thousand years ago by Lord Krishna in
Bhagwad Gita (chapter III, verse 20).
o It has been mentioned there, that ‘’Securing universal welfare by one’s action is the
ultimate measure of a human being but more so of those who hold the public office”.
 Civil servants have to set out highest standards of integrity and morality. This requires self-
sacrifice, a concept that rises above individualism and ‘hedonism’ to create an environment of
public duty among the civil servants.
o An exemplary civil servant is not simply one who obeys the laws and behaves within the
confines of law but is also one who strives for a moral government.
o Integrity requires in a civil servant to incorporate the values of honesty, sympathy empathy,
compassion, fairness, self control and duty so that a civil servant will be able to uphold high
personal and professional standards in all circumstances.

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o ‘Honesty’ requires ‘truthfulness’, freedom from deception and fraud, fair and straight
forward conduct. Sympathy enables a person to be deeply affected and concerned about
the well beings of others, to imagine their suffering.
o To be moved by their experience of others especially people who need assistance
compassion is a form of spirituality, a way of living and walking through life.
 ‘Civil Service Conduct Rules’ recommends ‘absolute integrity’ for civil servants, whether they
are IAS, IPS, IFS, IRS etc. Also every civil servant is supposed to take all possible steps to ensure
the integrity of all government servants for the time being under his control.
o Integrity has been considerably widened by declaring that a civil servant must keep himself
within bounds of administrative decency.
o Breach of trust is termed as lack of integrity and the apex court has ruled that in such matter
the civil servant should be removed from service.
o Possession of disproportionate assets, even temporary defalcation of public money is
termed as lack of integrity.
o Honesty and faithful discharge of duty, promptness and courtesy, observance of government
policies, general good conduct strengthen ‘integrity’ in civil services.
IMPARTIALITY AND NON PARTISIONSHIP

 Impartiality and Non-partisanship both form essential foundational values for civil services.
While impartiality ensures equality without any bias and prejudices in the general, non-
partisanship ensures a neutral approach in politics and a solid commitment to the government.
 Impartiality denotes that all the responsibilities of a person are carried out in a fair and just
manner. It is a commitment to equality and diversity. Likewise, in politics, impartiality means
acting in the general interest of the nation without any personal views coming in way of
discharging duty.
 There are two factors which determine the foundation of a non- partisan public service. These
are:
o Recruitment, promotions or even terminations should be completely free of any kind of
political influence and done purely on merit basis.
o All public officials should perform their duties in an impartial manner.
 Kenneth Kernaghan has put forth a model of political neutrality which suggests the following:
i. Politics and policy are completely separate from administration. While politicians take policy
decisions, it is the public officials which put them in execution.
ii. All public officials are recruited purely on merit basis and not depending on any political
inclination or affiliation.
iii. Public officials do not engage in any partisan politics.
iv. Public officials do not express their personal views on government policies and
administration.
v. Public officials give correct and objective advice to their political masters.
vi. All policies are implemented with full zeal and enthusiasm keeping all personal biases at a
side.
 Despite the model, it has been rarely put to practice in its true form. Non- partisanship is an
essential element of both a professional public service and responsible democratic government.

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 A non-partisan public service is one where appointments are based on merit and free of political
influence and where public servants perform their duties, and are seen to perform their duties,
in a politically impartial manner.
OBJECTIVITY
 ‘Objectivity’ is basing your advice and decisions on rigorous analysis of the evidence. It entails
that a truth remains true universally, independently of human thought or approaches. It is
established that objective decisions are not impacted by personal feelings or opinions in
considering and representing facts.
 Taking an objective approach to an issue means having due regard for the known valid evidence
(relevant facts, logical implications and viewpoints and human purposes) pertaining to that
issue. If significant valid evidence is denied or counterfeit, an objective approach is incredible.
 An objective approach is particularly important in science, and in decision-making processes
which affect large numbers of people (e.g. politics, beurocracy).
 In some circumstances, an objective approach is unmanageable because people will naturally
take a biased, self-interested approach. That is, they will select out those views and facts which
agree with their own.
 You must
i. provide information and advice, including advice to ministers, on the basis of the evidence,
and accurately present the options and facts
ii. take decisions on the merits of the case
iii. take due account of expert and professional advice
 You must not
i. ignore inconvenient facts or relevant considerations when providing advice or making
decisions
ii. frustrate the implementation of policies once decisions are taken by declining to take, or
abstaining from, action which flows from those decisions
DEDICATION
 Dedication means quality of involving oneself completely or applying one’s attention, time to a
particular activity, cause or a person.
 Dedication in public service is required as civil servants in India, a developing country need to
perform the regular administrative work and also play an important role in socio- economic
development of the nation.
 In carrying out these activities, he may be faced with several obstructions like social opposition
against any programme which is against their deep rooted belief, lack of support from political
executive.
o Schemes for promoting family planning are generally opposed in rural areas as they consider
contraceptives as taboos here dedication is required to fulfil the goal of healthy society.
o One’s employees and superiors may be involved in corruption. These obstacles can only be
overcome when one has perseverance and dedication.
 Public service is not a goal but journey which may be non-exciting and unwanted at times, only a
dedicated civil servant can remain motivated in such situations. Dedication would make sense of
duty an end in itself, which will be independent of assignment.

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EMPATHY
 Empathy is about being able to accurately hear out and understand ihe thoughts, feeling ; and
concerns of others, even when these are not made explicit. The ability to empathize is directly
dependent on your ability to feel your own feelings and identify them.
 It means in order to empathize with others, we need to become aware of what we are actually
feeling to acknowledge, identify, and accept our feelings. Only then we may empathize with
others. To become empathetic to others, one need to:
o Demonstrate active listening skills (such as asking probing questions, not interrupting)
o Recognise body language, facial expression, and/or tone of voice to understand the
unspoken message.
o Recognise unexpressed or poorly expressed thoughts, concerns, and feelings.
o Pick up signals when others are not feeling comfortable and display consideration.
Significance of Empathy
 Empathy is widely recognized as a universal virtue, closely related to many other virtues, such as
love, compassion, kindness, tolerance, respect, and acceptance. It is promoted as the empathy is
the cornerstone for moral and character development.
 It is also essential for working towards inclusiveness in society. As an individual, we need
empathy to survive and succeed in this complex world.
Sympathy and Empathy

Sympathy and empathy are separate terms with some
differences, Sympathy and empathy are both acts of feeling,
but with sympathy you feel for the person; you are sorry for
them or pity them, but you don’t specifically understand what
they are feeling.
However, in empathy,to an extent you are placing yourself in
that person’s place, have a good sense of what he feels and
understand his feelings to a degree.
TOLERANCE
 Tolerance or toleration is a fair, objective, and permissive attitude toward those whose opinions,
practices, race, religion, nationality, etc,. differ from one’s own; freedom from bigotry.
 In other words, tolerance is respect, acceptance and appreciation of the rich diversity of our
world’s cultures, our forms of expression and ways of being human.
 It is fostered by knowledge, openness, communication, and freedom of thought, conscience and
belief. Tolerance is harmony in difference.
Significance of Tolerance
 Tolerance is the responsibility that upholds human rights, pluralism, democracy, harmony and
the rule of faw. It involves the rejection of dogmatism and absolutism and affirms the standards
set out in international human rights instruments.
 Consistent with respect for human rights, the practice of tolerance does not mean toleration of
social injustice or the abandonment or weakening of one’s convictions. It means that one is free
to adhere to one’s own convictions and accepts that others adhere to theirs.

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 It means accepting the fact that human beings, naturally diverse in their appearance, situation,
speech,behaviour and values, have the right to five in peace and to be as they are. it also means
that one’s views are not to be imposed on others.
COMPASSION
 Compassion is the understanding or empathy for the suffering of others. More involved than
simple empathy, compassion commonly gives rise to an active desire to alleviate another’s
suffering’, Compassion involves a sense of empathy.
 It does not end with pity. It invokes sensibilities to understand and even feel the pair of others
and motivates one to be truly helpful in overcoming this pain.
 The English noun compassion, meaning to suffer together with, comes from Latin. Ranked as a
great virtue in numerous philosophies, compassion is considered in almost all the major religious
traditions as among the greatest of virtues.
 Characteristics of ‘compassion’ can be understood by noticing that someone who is
compassionate:
o Has an active desire to alleviate another’s suffering.
o Helps others because he wants to, not because he has to,
o Understands the feelings of others
o Shows empathy towards another person,
o Shows kindness without expecting anything in return.
o Recognizes and helps others that are less fortunate than himself.
Empathy and Compassion

Empathy is a form of compassion and it is important because otherwise
you could care less about what others are going through.
When you can directly relate to something someone is going through, it
will sometimes give you a drive and motivation to help that person
especially if what you went through was also a traumatic event for you.
You cannot just sit back and watch someone else go through it and
possibly have the same outcome as you had. Thus, empathy is closely
related to compassion, but empathy precedes compassion and is a pre-
requisite for compassion.
Significance of Compassion in Civil Services

 Feeling compassion is one thing; acting on it is another. Compassion is deeply rooted in human
nature; it has a biological basis in the brain and body.
 Humans can communicate compassion through facial gesture and touch, and these displays of
compassion can serve vital social functions, strongly suggesting an evolutionary basis of
compassion.And when experienced, compassion overwhelms selfish concerns and motivates
altruistic behavior.
 The attribute of being compassionate is of immense value for a civil servant. Since a
compassionate civil servant is able to deliver the services efficiently and address the concerns of
weaker sections, it is considered as one of the most important attribute.
 A compassionate civil servant:

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a. Understands the needs of the marginalised and disadvantaged, along with the needs of the
wider public.
b. Strives to respond quickly to meet their needs in a respectful, helpful and responsive
manner.
c. Reports issues that affect service delivery, where necessary.
d. Addresses all the issues of the citizens in an unbiased manner.
e. Ensures that levels of service are maintained - highlights risks or concerns in order to meet
community requirements.
f. Understands the value of an affirmative action towards the marginalised and disadvantaged.
g. Actively seeks information from ail sections of community to understand their needs and
expectations. Is accessible to all citizens and seeks their feedback to develop a clear
understanding of their needs and outcomes.
h. Establishes mechanisms to address feedback from the community about the service
provided.
i. Involves diverse range of staff members, stakeholders, and delivery partners while
developing implementation approaches in order to provide clarity on the benefits to the
disadvantaged and to improve the quality of service provided to the citizens.
j. Understands issues from others’ perspective, particularly the disadvantaged
*****
4. EMOTIONAL INTELLIGENCE
Emotions
 Emotion is an affective state of consciousness in which joy, sorrow, fear, hate, or the like, is
experienced, as distinguished from cognitive and volitional states of consciousness.
 Whereas, the term ‘affective’ is defined as something pertaining to feeling or emotions,
especially pleasurable or unpleasurable aspects of a mental process.
Intelligence

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 Intelligence is a set of cognitive abilities which allow us to acquire knowledge, to learn and to
solve problems.
Emotional Intelligence
 Emotional intelligence is the ability to perceive emotions, to assess and generate emotions so as
to assist thought, to understand emotions and emotional knowledge, and to reflectively regulate
emotions so as to promote emotional and intellectual growth.
 “Emotional intelligence” refers to the capacity for recognizing our own feelings and those of
others, for motivating ourselves, and for managing emotions, well in ourselves and in our
relationships.
 In simple words, emotional intelligence refers to attributes such as understanding one’s feeling,
empathy for others, and the regulation of emotions to enhance one’ s life.
Background of Emotional Intelligence

 Aristotle wrote about emotional intelligence in 350 BC, centuries before the term became
popular. Although the term Emotional Intelligence’ was first coined by two colleagues from Yale
University, Peter Salovey and John Mayer.
 Danie E. Goleman is responsible for the current popularity of the subject with his
groundbreaking bestseller in 1995, Emotional Intelligence - Why it an matter more than IQ ( IQ
here means Intelligence Quotient).
Why Emotional Intelligence?

 EQ can lead one to healthy relationships and to have the ability to respond to the challenges of
one’s life and career in a positive manner
Emotional Intelligence Is the Other Kind of Smart

 When emotional intelligence first appeared to the masses in 1995, it served as the missing link in
a peculiar finding: people with average IQs outperform those with the highest IQs 70% of the
time.
o This anomaly threw a massive wrench into what many people had always assumed was the
sole source of success—IQ.
o Decades of research now point to emotional intelligence as the critical factor that sets star
performers apart from the rest of the pack.
 Emotional intelligence is the “something” in each of us that is a bit intangible. It affects how we
manage behavior, navigate social complexities, and make personal decisions that achieve
positive results.
 Emotional intelligence is made up of four core skills that pair up under two primary
competencies: personal competence and social competence.
1. Personal competence is made up of your self-awareness and self-management skills, which

focus more on you individually than on your interactions with other people. Personal
competence is your ability to stay aware of your emotions and manage your behavior and
tendencies.

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i. Self-Awareness is your ability to accurately perceive your emotions and stay aware of them
as they happen.
ii. Self-Management is your ability to use awareness of your emotions to stay flexible and
positively direct your behavior.
2. Social competence is made up of your social awareness and relationship management skills;
social competence is your ability to understand other people’s moods, behavior, and motives in
order to improve the quality of your relationships.
i. Social-Awareness is your ability to accurately pick up on emotions in other people and
understand what is really going on.
ii. Relationship Management is your ability to use awareness of your emotions and the others’
emotions to manage interactions successfully.
Emotional Intelligence, IQ, and Personality Are Different.

 Emotional intelligence taps into a fundamental element of human behavior that is distinct from
your intellect.
o There is no known connection between IQ and emotional intelligence; you simply can’t
predict emotional intelligence based on how smart someone is.
o Intelligence is your ability to learn, and it’s the same at age 15 as it is at age 50. Emotional
intelligence, on the other hand, is a flexible set of skills that can be acquired and improved
with practice.
o Although some people are naturally more emotionally intelligent than others, you can
develop high emotional intelligence even if you aren’t born with it.
 Personality is the final piece of the puzzle. It’s the stable “style” that defines each of us.
Personality is the result of hard- wired preferences, such as the inclination toward introversion
or extroversion. However, like IQ, personality can’t be used to predict emotional intelligence.
 Also like IQ, personality is stable over a lifetime and doesn’t change. IQ, emotional intelligence,
and personality each cover unique ground and help to explain what makes a person tick.
Emotional Intelligence Is Linked to Performance

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 How much of an impact does emotional intelligence have on your professional success? The short
answer is: a lot! It’s a powerful way to focus your energy in one direction with a tremendous
result.
 Tested emotional intelligence alongside 33 other important workplace skills, and found that
emotional intelligence is the strongest predictor of performance, explaining a full 58% of success
in all types of jobs.
o Your emotional intelligence is the foundation for a host of critical skills—it impacts most
everything you say and do each day. Of all the people studied at work, it has been found that
90% of top performers are also high in emotional intelligence.
o On the flip side, just 20% of bottom performers are high in emotional intelligence. You can
be a top performer without emotional intelligence, but the chances are slim.
o Naturally, people with a high degree of emotional intelligence make more money— an
average of $29,000 more per year than people with a low degree of emotional intelligence.
o The link between emotional intelligence and earnings is so direct that every point increase in
emotional intelligence adds $1,300 to an annual salary.
 These findings hold true for people in all industries, at all levels, in every region of the world. We
haven’t yet been able to find a job in which performance and pay aren’t tied closely to
emotional intelligence.
Emotional Intelligence Can Be Developed.

 The communication between your emotional and rational “brains” is the physical source of
emotional intelligence. The pathway for emotional intelligence starts in the brain, at the spinal
cord.
o Your primary senses enter here and must travel to the front of your brain before you can
think rationally about your experience.
o However, first they travel through the limbic system, the place where emotions are
generated. So, we have an emotional reaction to events before our rational mind is able to
engage.
o Emotional intelligence requires effective communication between the rational and
emotional centers of the brain.

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 “Plasticity” is the term neurologists use to describe the brain’s ability to change. Your brain
grows new connections as you learn new skills. The change is gradual, as your brain cells develop
new connections to speed the efficiency of new skills acquired.
o Using strategies to increase your emotional intelligence allows the billions of microscopic
neurons lining the road between the rational and emotional centers of your brain to branch
off small “arms” (much like a tree) to reach out to the other cells.
o A single cell can grow 15,000 connections with its neighbors. This chain reaction of growth
ensures it’s easier to kick this new behavior into action in the future.
o Once you train your brain by repeatedly using new emotional intelligence strategies,
emotionally intelligent behaviors become habits.
5 Ways To Develop Your Emotional Intelligence

 Emotional intelligence (EQ or EI) is one of the strongest indicators of success in business. Why?
EQ is not only the ability to identify and manage your own emotions, but it’s also the ability to
recognize the emotions of others.
 This study by Johnson & Johnson showed that the highest performers in the workforce were also
those that displayed a higher emotional intelligence. And according to Talent Smart, 90% of high
performers in the work place possess high EQ, while 80% of low performers have low EQ.
 Simply put, your emotional intelligence matters. Here are five ways to develop your emotional
intelligence.
1. Manage your negative emotions

i. When you’re able to manage and reduce your negative emotions, you’re less likely to get
overwhelmed. Easier said than done, right? Try this: If someone is upsetting you, don’t jump
to conclusions.
ii. Instead, allow yourself to look at the situation in a variety of ways. Try to look at things
objectively so you don’t get riled up as easily.
iii. Practice mindfulness at work, and notice how your perspective changes.
2. Be mindful of your vocabulary

i. Focus on becoming a stronger communicator in the workplace. Emotionally intelligent
people tend to use more specific words that can help communicate deficiencies, and then
theyimmediately work to address them.
ii. Had a bad meeting with your boss? What made it so bad, and what can you do to fix it next
time? When you can pinpoint what’s going on, you have a higher likelihood of addressing
the problem, instead of just stewing on it.
3. Practice empathy
i. Centering on verbal and non-verbal cues can give you invaluable insight into the feelings of
your colleagues or clients.
ii. Practice focusing on others and walking in their shoes, even if just for a moment.
iii. Empathetic statements do not excuse unacceptable behavior, but they help remind you that
everyone has their own issues.

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4. Know your stressors

i. Take stock of what stresses you out, and be proactive to have less of it in your life.
ii. If you know that checking your work email before bed will send you into a tailspin, leave it
for the morning. Better yet, leave it for when you arrive to the office.
5. Bounce back from adversity

i. Everyone encounters challenges. It’s how you react to these challenges that either sets you
up for success or puts you on the track to full on meltdown mode.
ii. You already know that positive thinking will take you far. To help you bounce back from
adversity, practice optimism instead of complaining.
iii. What can you learn from this situation? Ask constructive questions to see what you can take
away from the challenge at hand. Emotional intelligence can evolve over time, as long as you
have the desire to increase it.
iv. Every person, challenge, or situation faced is a prime learning opportunity to test your EQ. It
takes practice, but you can start reaping the benefits immediately.
v. Having a high level of emotional intelligence will serve you well in your relationships in the
workplace and in all areas of your life. Who wouldn’t want that?
El and EQ in the Work Place

 The workplace is about people and relationships, and an employee with a high EQ as opposed to
only a high IQ should be seen as a valuable asset.
 Coleman made strong claims about the contribution of emotional intelligence to individual
success, and specifically to success in the workplace.
 He identified intellectual intelligence as contributing 20 per cent towards life success and
intimated that the remaining 80 per cent may be attributable to emotional Inteliigence.
Examples of using Emotional Quotient (EQ) at work place include the following:
1. Recruitment- EQ measurement is valuable in selecting and recruiting desirable and high-
performance workers.

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2. Predicting Performance- Some organisations are blending IQ testing with scientific

measurement of EQ to predict job performance and direct workers to jobs where they are most
likely to succeed.
3. Negotiation- Whether you’re dealing with a trading partner, competitor, customer or colleague,
being able to empathize and be creative finding win-win solutions will consistently pay off.
4. Performance Management- 36CKiegree feedback is a common tool for assessing EQ. Knowing
how your self-perception compares with others’ views about your performance provides focus
for career development and positive behavioural changes.
5. Peer Relationships- Good networking skills are a staple of job effectiveness for the average
worker. Networking has too often been associated with “using” other people, but a heightened
EQ ensures a mutually beneficial approach to others.
 A balanced EQ among employees build conducive work relationship with colleagues and
managers. Employees tend to perceive challenges optimistically, as an opportunity for
betterment rather than a threat of impediment.
o For example, an employee with higher EQ understands that her/his manager’s decision is
not only her/his own opinion rather a reflection of the shared view of the entire
organization. Managers understand the non verbal cues of the subordinate.
o Their feelings are combination of reason, logic and reality, in this environment employee
intrinsically motivated to their work, they assume accountability of their mistakes, instead of
“finger-pointing” or “passing the buck” or others.
 There are three intrapersonal and two interpersonal Els that matter most in the domain of
Organizational Behavior. These are:
i. Intrapersonal Self-Awareness: The ability to recognize and understand ones moods,
emotions and drives, as well as their effect on others.
ii. Self-Regulation: The ability to control or re-direct disruptive impulses and moods and the
propensity to suspend judgment and think before acting.
iii. Motivation: A passion to work for reasons and a propensity to pursue goals with energy and
persistence
Interpersonal EQ
1. Social Skills– A proficiency in managing relationships and building networks to move people in
(he desired direction.
2. Empathy - The ability to understand the emotional make up of other people and considering
other’s feelings especially when making decisions.
i. Example: How EQ Can Facilitate Change Management. Change often involves a departure
from the safety of the comfort zone.
ii. As humans, we enjoy routine, but can be thrown when this routine is challenged and change
is inevitable. This holds true for both work and personal lives.
Emotional Intelligence and Work Attitude

 In the workplace and in our personal lives, being emotional intelligent is an essential component
to building resilience for mental health and successfully managing change. Emotionally
intelligent leaders and managers are also able to help others to manage difficult change.

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i. By developing emotional maturity

ii. By increasing social intelligence
iii. As a tool to avoid or manage relationship problems
iv. By improving Interpersonal communication
v. By helping manage emotions
vi. As a method of coping with stress
vii. By influencing leadership styles
viii. By helping leaders make business decisions about change
ix. By supporting managers, supervisors and staff in the workplace
x. By effectively managing resistance to change
 There are certain important behavioural attitudes, behaviour and outcomes that are essential
for evaluating whether one can be viewed as an effective manager and leader. Emotional
Intelligence is related with following work attitude and work behaviours-
i. Job Satisfaction- Individuals with high emotional intelligence experience continuous positive
moods and feelings that generate higher levels of satisfaction and well-being.
ii. Organizational Commitment- Emotionally intelligent individuals are “optimistic”, a trait that
enables them to focus on the resolution, rather than the reasoning (who is at fault). It is
expected to augment a higher level of commitment to the organizations.
iii. Work-Family Conflict- A high emotional intelligence would help the managers balance family
interference with work. In fact, they may be more capable of preventing work-family conflict
from the beginning because they have emotional insight as to how these emotions should
be managed.
iv. Job Performance- Through various studies, it has been showed how the aspects of
emotional intelligence- appraisal and expression of emotions, use of emotion to enhance
cognitive processing and decision making, knowledge about emotions and management of
emotions - contribute to effective leadership.
Emotional Intelligence and Effective Leadership

 Increasingly, it is noted that basic management and leadership skills are no longer enough to
lead organizations successfully. Emotional intelligence is recognised as having an important role
to play in management and leadership positions where differences in technical skills are of
negligible importance.
 Consequently,emotional intelligence is becoming a sought after quality. Some authors on
emotional intelligence are of the view that emotional competencies are twice more likely to
contribute to organizational success and excellence than pure intellect and/or technical
expertise alone.
 Accordingly, being aware of our emotions and how to manage them in ways that are appropriate
and effective is an important skill for leadership, the organization, the team and the individual.
The 10 Qualities of an Emotionally Intelligent Person

 There are many different kinds of intelligence, and it’s our job to discover what they are and
how to integrate them into our lives. Sources of intelligence can be measured in quotients.
 Most of us are familiar with IQ, or the intelligence quotient, which is primarily associated with
our ability to memorize, retrieve items from our memory and our logical reasoning.

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 There’s also a CQ, or curiosity quotient, which refers to one’s ability to have a powerful
motivation to learn a particular subject. What I spend much of my time in both research, and in
working with clients and organizations on, is focusing on emotional intelligence.
 The definition of emotional intelligence (as first advanced by researchers Peter Salavoy and
John Mayer, but popularized by author Daniel Goleman in his seminal, eponymous book) is the
ability to:
i. “Recognize, understand and manage our own emotions. In practical terms, this means being
aware that emotions can drive our behavior and impact people (positively and negatively),
and learning how to manage those emotions—both our own and others—especially when we
are under pressure.”
ii. We are emotional creatures who often make decisions and respond to stimuli based on our
emotions.
iii. As a result, our ability to grow in EQ has an enormous impact in all of our relationships, how
we make decisions and identify opportunities. EQ is enormously important.
1. Empathy
i. “Empathy is the capacity to understand or feel what another person is experiencing from
within their frame of reference, i.e., the capacity to place oneself in another’s position.”
ii. There are two different types of empathy. This piece from the Greater Good Science Center
at UC Berkeley beautifully depicts what they are:
o “Affective empathy” refers to the sensations and feelings we get in response to others’
emotions; this can include mirroring what that person is feeling, or just feeling stressed
when we detect another’s fear or anxiety.
o “Cognitive empathy,” sometimes called “perspective taking,” refers to our ability to
identify and understand other peoples’ emotions.’
iii. We empathize based on the reaction to others. Empathy can be cultivated and learned
through experiences.
iv. Store away in your memory those feelings that you feel both in reaction, and as you put
things in perspective. Write these thoughts out, analyze them and determine how you want
to treat others in the same way you’d want to be treated.
2. Self-Awareness
i. Self-awareness is the art of understanding yourself, recognizing what stimuli you’re facing
and then preparing for how to manage yourself both in a proactive and reactive manner.
ii. Self-awareness is how we see ourselves, and also how we perceive others to see us. The
second, external aspect, is always the most difficult to properly assess.
iii. Dr. Tasha Eurich puts forth: “Leaders who focus on building both internal and external self-
awareness, who seek honest feedback from loving critics, and who ask what instead of why
can learn to see themselves more clearly—and reap the many rewards that increased self-
knowledge delivers.”
iv. For yourself, ask the introspective questions, yearn for knowledge and be curious. And for
others, seek feedback in an honest, caring environment.
3. Curiosity

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i. “I have no special talents. I am only passionately curious.”—Albert Einstein. Show me a

curious person who’s willing to learn and improve, and I’ll show you a success story waiting
to happen.
ii. When you’re curious, you’re passionate, and when you’re passionate you are driven to want
to be your best.
iii. Your “antennae” are up to things you love, to wanting to grow and learn more. This learning
mindset positively affects other areas of your life like relationships.
iv. Tomas Chamorro-Premusic writes:
o “First, individuals with higher CQ are generally more tolerant of ambiguity. This nuanced,
sophisticated, subtle thinking style defines the very essence of complexity.
o Second, CQ leads to higher levels of intellectual investment and knowledge acquisition
over time, especially in formal domains of education, such as science and art.”
4. Analytical Mind
i. The most emotionally intelligent and resolute people are deep-thinkers that analyze and
process all new information that comes their way.
ii. They continue to analyze old information, habits and ways of doing things to see if they can
extract ways to improve. We’re all “analysts” in the sense that we consciously think about
all new information that comes our way.
iii. Savvy EQ individuals are problem-solvers and everyday philosophers who contemplate the
“Why” of existence, the “Why” of why we do what we do, and who care passionately about
living a virtuous life.
iv. Having an analytical mind means having a healthy appetite for a continuously improving
mindset geared at bettering yourself and always remaining open to new ideas.
5. Belief
i. A major component of maintaining emotional self-control is using the power of faith to
believe in yourself both in the present and in the future. It’s believing that the people and
things in your life are there for a reason, and that everything will ultimately work out for
good.
ii. Faith alone will not help you. It takes action, of course. But when you combine faith with
powerful values like hard work, perseverance and a positive attitude, you have formed the
foundation of a champion.
iii. Every great leader and thinking uses faith, either in a practical context, emotionally and
certainly spiritually. Spend time in meditation. Think about the way you believe in yourself.
iv. Engender a greater faith toward the person you are and who you want to become. And trust
and believe that the pieces in your life will come together in a way that will help you live
boldly and joyfully.
6. Needs and Wants

i. The emotionally intelligent mind is able to discern between things that they need versus
things that would be “nice to have” that classify more aptly as wants.

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ii. A need, particularly in the context of Abraham Maslow’s “Hierarchy of Needs” is the basic
level stuff like safety, survival and sustenance. Once those things are met, then we can
progress to other needs and of course, wants.
iii. A “want” is a big house, nice car, and even the brand new iPhone. We do not need those
things to survive, but rather we want them based on our own personal desires or what we
perceive to matter to society.
iv. Become well-versed in knowing what you truly need to to live, to accomplish goals and to
support yourself and loved ones. Make sure you draw a very clear distinction between what
it is you need, and what it is you want.
v. Emotionally intelligent people know the difference between these two things, and always
establish needs prior to fulfilling wants.
Abraham Maslow’s Hierarchy of Needs
7. Passionate
i. Inspired leadership and love for what you do is born from having a passion for a subject or
people. People with a high EQ use their passion and purpose to ignite the engine that drives
them to do what they do.
ii. This passionate is infectious and contagious—it permeates all areas of their lives and rubs
off on the people around them.
iii. Passion is sort of that je ne sais quoi that when you feel it, or even when you see it in others,
you simply know. Passion is the natural desire, instinct, drive, ambition and motivated love
for a subject or someone.
iv. Passion brings positive energy that helps sustain us and inspire us to want to keep going.
And there’s no secret that emotionally intelligent people who are passionate are also willing
to persevere and power forward no matter their circumstances.
8. Optimistic

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i. If you want to increase your opportunities, improve your relationships and think clearly and
constructively, you’re best positioned to maintain a positive attitude.
ii. Of all the things that we try to control and influence, our attitude is the primary thing that is
always within our control. We can choose to live each day by being positive. It’s that simple.
iii. “When we are happy—when our mindset and mood are positive—we are smarter, more
motivated, and thus more successful. Happiness is the center, and success revolves around
it.”—Shawn Achor
9. Adaptability
i. “Adaptability is not imitation. It means power of resistance and assimilation.” Mahatma
Gandhi Emotionally intelligent people recognize when to continue their course, and when
it’s time for a change.
ii. This vitally import recognition and ability to make crisp, swift decisions in your best interest
is called adaptability.
iii. You must determine when to stay the course, or when to keep moving forward in another
direction. Similarly, when one strategy is not working, try evaluating and determining if
something else will work.
iv. From the way you treat yourself, to how you treat others, to your daily routine, always stay
open-minded and be willing to adapt and introduce new elements to how you think and
what you do.
v. Throughout your life, you’ll need to change course and make assessments on whether you’ll
be happy and successful if you choose one path or another. Recognize that you CAN always
change.
vi. You can always start over. It may not always be the most prudent or wise decision, but only
you will truly know in your heart what is or what isn’t. Start with leaving the option on the
table.
10. Desire to Help Others Succeed and Succeed for Yourself

i. Last but not least, an emotionally intelligent person is interested in overall success and
achievement—not just for themselves, but for their peers. Their inspired leadership and
passion, combined with their optimism, drives them to want to do best for themselves and
others.
ii. Too often, we get so self-absorbed and concerned only with “WIIFM,” or—What’s in it for
me? We have to be concerned about this. It’s a must, so don’t let anyone ever convince you
otherwise.
iii. But in the same way that we should be focused on our self-interest, we should also maintain
a spirit of desire and hope for wanting to see the people around us succeed.
iv. Not only is this a brilliant safeguard against envy and greed, it also revitalizes our passion
and drives us toward achieving our next goal. It helps us gain allies and builds powerful
relationships that come back to help us in reciprocal fashion.
Attributes of an Emotionally Intelligent Administrator

 An emotionally intelligent administrator will possess the ability to-
o Handle conflicts constructively

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o De-personalize from the angers of others

o Deal with uncertainty and change
o Identify and abide by core values and beliefs that shape the choices you make
o Understand and empathize with positions different from others
o To enroll people into his/ her vision
o Manage difficult/ unreasonable persons in all situations
Relevance of Emotional Intelligence in the Current Environment of Civil Services

 Civil services today work in an environment that is beset with numerous problems, challenges,
and even contradictions such as-
o Fast changing social structure and values.
o Increasing regional, economic and digital divide, rising population and unemployment,
o Inadequacy of basic necessities like housing and drinking water and infrastructure and so on.
o Increased awareness of the masses as well as existence of significant number of voiceless
and marginalized poor.
o Widespread application of information technology which has helped the government on one
hand, but has also put pressure on the government to appear to be performing and in
control of things.
o The 73rd and 74th Constitutional Amendments have led to decentralization of decision
making and created a new class of politicians over the civil services. There is an all pervasive
demand for improved governance.
 A paradigm shift has occurred in the idea of governance, of what governments should do and
also how they should govern. On one hand, governments are expected to move out of many
areas, and on the other hand they are expected to perform multiple roles.
 There is, however,a consensus that government shouid perform better, be more responsive and
transparent, and enhance scope for participation of people and civil society.
 Issues get politicized easily and quickly.There is an all pervasive and increased cynicism and
contempt of politics and administration. Inner dissent and conflicts over policies, programmes
and implementation thereof are more open and sharper.
 There is an increased tendency on part of the people to resort to agitation and aggression. The
common man is no longer satisfied easily. Even a small instance can provoke people to indulge in
harmful and destructive activities.
 Increase in the number of frustrated and disgruntled people has only added fuel to the fire. The
administration itself is beset with many problems:
o political pressures,
o rampant corruption,
o obsolete and outdated methods,
o procedures and laws,
o lack of avenues for growth,
o overcentralizaiton,
o self aggrandizement and so on.
 Thus, the work environment of the civil services is much more complex, demanding and even
hostile at times. And given its present state, it is in no position to handle and tackle the problems
in the old ways.

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 Even the well intending civil servants cannot do much because all their energies are exhausted in
sheer survival. Herein lies the role of Emotional Intelligence. The emotionally intelligent civil
services can achieve a lot if they are professionally competent and positive in their approach.
How can Emotional Intelligence Help Civil Services?

 Emotional Intelligence (El) car help in three ways at the workplace-
o To achieve amicable work environment
o Improvement in the behavior and performance of individual workers
o Improvement performance in organizational
 Numerous organizations in public and private sectors have used El and reported positive results.
To name a few- US Air Force, US Navy, Johnson and Johnson, Motorola and so on.
o In India, HPCL has used El to create an environment that fosters emotionally intelligent
leadership.
o As an initial measure, it has trained frontline leaders and provided them with opportunities
to put El into practice.
 Specifically, the awareness and the application of El helps in the following manner-
o Greater interpersonal skills (crucial for good citizen centric administration)
o Increased capacity to bandle
o Changes in work Pressures and stress Conflicts
o Ability to see the Jong term effects of one’s actions/ attitudes
o Increased levels of commitment, trustworthiness and conscientiousness
o Being able to see things in a holistic manner and to bounce back from setbacks and maintain
optimism
o Finding healthy ways to handle negative/ extreme feelings
o Having greater motivation- achievement drive, initiative, persistence, motivating others as
well
o Better ability to communicate and Enhanced group dynamics in terms of cooperation,
collaboration and building bonds
o Enhanced leadership traits, including the knowledge about when and how to lead, when to
follow
o Ability to use win-win model for negotiations, to appreciate diversity and value for others, to
perform multiple tasks due to better time and information management
o Greater focus
o Aware of but minimally concerned with and affected by office politics
o Not prone to aggression
o Ability to be a change catalyst
Eleven signs that you lack emotional intelligence

 When emotional intelligence (EQ) first appeared to the masses, it served as the missing link in a
peculiar finding: people with average IQs outperform those with the highest IQs 70 percent of
the time. This anomaly threw a massive wrench into the broadly held assumption that IQ was
the sole source of success.

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 Decades of research now point to emotional intelligence as being the critical factor that sets star
performers apart from the rest of the pack. The connection is so strong that 90 percent of top
performers have high emotional intelligence.
 Emotional intelligence is the “something” in each of us that is a bit intangible. It affects how we
manage behavior, navigate social complexities, and make personal decisions to achieve positive
results.
 Despite the significance of EQ, its intangible nature makes it very difficult to know how much
you have and what you can do to improve if you’re lacking. You can always take a scientifically
validated test.
 Unfortunately, quality (scientifically valid) EQ tests aren’t free. These are the behaviors that you
want to eliminate from your repertoire.
1. You get stressed easily.
i. When you stuff your feelings, they quickly build into the uncomfortable sensations of
tension, stress and anxiety. Unaddressed emotions strain the mind and body.
ii. Your emotional intelligence skills help make stress more manageable by enabling you to spot
and tackle tough situations before things escalate.
iii. People who fail to use their emotional intelligence skills are more likely to turn to other, less
effective means of managing their mood.
iv. They are twice as likely to experience anxiety, depression, substance abuse and even
thoughts of suicide.
2. You have difficulty asserting yourself.

i. People with high EQs balance good manners, empathy and kindness with the ability to assert
themselves and establish boundaries. This tactful combination is ideal for handling conflict.
ii. When most people are crossed, they default to passive or aggressive behavior. Emotionally
intelligent people remain balanced and assertive by steering themselves away from
unfiltered emotional reactions.
iii. This enables them to neutralize difficult and toxic people without creating enemies.
3. You have a limited emotional vocabulary.

i. All people experience emotions, but it is a select few who can accurately identify them as
they occur. Our research shows that only 36 percent of people can do this.
ii. This is problematic because unlabeled emotions often go misunderstood, which leads to
irrational choices and counterproductive actions.
iii. People with high EQs master their emotions because they understand them, and they use an
extensive vocabulary of feelings to do so.
iv. While many people might describe themselves as simply feeling “bad,” emotionally
intelligent people can pinpoint whether they feel “irritable,” “frustrated,” “downtrodden”
or “anxious.”
v. The more specific your word choice, the better insight you have into exactly how you are
feeling, what caused it and what you should do about it.
4. You make assumptions quickly and defend them vehemently.

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i. People who lack EQ form an opinion quickly and then succumb to confirmation bias,
meaning they gather evidence that supports their opinion and ignore any evidence to the
contrary.
ii. More often than not, they argue, ad nauseam, to support it. This is especially dangerous for
leaders, as their under-thought-out ideas become the entire team’s strategy.
iii. Emotionally intelligent people let their thoughts marinate, because they know that initial
reactions are driven by emotions.
iv. They give their thoughts time to develop and consider the possible consequences and
counter-arguments. Then, they communicate their developed idea in the most effective way
possible, taking into account the needs and opinions of their audience.
5. You hold grudges.

i. The negative emotions that come with holding on to a grudge are actually a stress response.
Just thinking about the event sends your body into fight-or-flight mode, a survival
mechanism that forces you to stand up and fight or run for the hills when faced with a
threat.
ii. When a threat is imminent, this reaction is essential to your survival, but when a threat is
ancient history, holding on to that stress wreaks havoc on your body and can have
devastating health consequences over time.
iii. In fact, researchers at Emory University have shown that holding on to stress contributes to
high blood pressure and heart disease.
iv. Holding on to a grudge means you’re holding on to stress, and emotionally intelligent people
know to avoid this at all costs. Letting go of a grudge not only makes you feel better now but
can also improve your health.
6. You don’t let go of mistakes.

i. Emotionally intelligent people distance themselves from their mistakes, but they do so
without forgetting them. By keeping their mistakes at a safe distance, yet still handy enough
to refer to, they are able to adapt and adjust for future success.
ii. It takes refined self-awareness to walk this tightrope between dwelling and remembering.
Dwelling too long on your mistakes makes you anxious and gun shy, while forgetting about
them completely makes you bound to repeat them.
iii. The key to balance lies in your ability to transform failures into nuggets of improvement.
This creates the tendency to get right back up every time you fall down.
7. You often feel misunderstood.

i. When you lack emotional intelligence, it’s hard to understand how you come across to
others. You feel misunderstood because you don’t deliver your message in a way that
people can understand.
ii. Even with practice, emotionally intelligent people know that they don’t communicate every
idea perfectly.
iii. They catch on when people don’t understand what they are saying, adjust their approach
and re- communicate their idea in a way that can be understood.

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8. You don’t know your triggers.

i. Everyone has triggers- situations and people that push their buttons and cause them to act
impulsively.
ii. Emotionally intelligent people study their triggers and use this knowledge to sidestep
situations and people before they get the best of them.
9. You don’t get angry.

i. Emotional intelligence is not about being nice; it’s about managing your emotions to achieve
the best possible outcomes.
ii. Sometimes this means showing people that you’re upset, sad or frustrated. Constantly
masking your emotions with happiness and positivity isn’t genuine or productive.
iii. Emotionally intelligent people employ negative and positive emotions intentionally in the
appropriate situations.
10. You blame other people for how they make you feel.
i. Emotions come from within. It’s tempting to attribute how you feel to the actions of others,
but you must take responsibility for your emotions.
ii. No one can make you feel anything that you don’t want to. Thinking otherwise only holds
you back.
11. You’re easily offended.

i. If you have a firm grasp of who you are, it’s difficult for someone to say or do something that
gets your goat.
ii. Emotionally intelligent people are self-confident and open-minded, which create a pretty
thick skin.
iii. You may even poke fun at yourself or let other people make jokes about you because you
are able to mentally draw the line between humor and degradation.
Bringing It All Together

 Unlike your IQ, your EQ is highly malleable. As you train your brain by repeatedly practicing new
emotionally intelligent behaviors, it builds the pathways needed to make them into habits.
 As your brain reinforces the use of these new behaviors, the connections supporting old,
destructive behaviors die off. Before long, you begin responding to your surroundings with
emotional intelligence without even having to think about it.
The Future of Emotional Intelligence in Bureaucracies

 As bureaucratic processes moved more and more away from the historical concepts of
dehumanization and impersonality, the notion that emotional skills are essential to job
performance and customer service has gained foothold in the public administration sector.
 Based on the concepts of self-awareness, self- management, social awareness, and relationship
management, emotional intelligence has become key to:
o the internal organization of public agencies (e g. leadership, co-worker collaboration) and

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o for the external exchange with citizen customers (e.g. as a basis for relational work/
emotional labour).
 Despite some deficiencies (e.g, difficulties in assessment and costs), emotional intelligence skills
will continue to be important for bureaucratic processes since social skills in general are
expected to decline due to the increased dependency on technological forms of communication.
*****
5. INDIAN AND WESTERN PHILOSOPHY
ETHICS IN INDIAN SYSTEM OF PHILOSOPHY

INTRODUCTION
 Moral consciousness is an undeniable fact of human experience. The moral sensibility is
something essential for the peaceful society and the work. Even gods are believed to incarnate
to restore righteousness and peace in the society.
 Down through the centuries, many religious teachers, and philosophers were interested in the
rational ground of morality. The caste duties of the Hindus prescribed in the Dharmasastras are
well articulated commands, which are meant to regulate the life of the community.
 Ethics as a speculative science is based on the foundations of the moral behavior of man, but a
substantial portion of the moral codes are based on religious beliefs, social customs and
traditions. When we take the Indian ethics too, the morality is very much based on certain
beliefs, customs and traditions of Indian religions.

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o It is true that the foundations of Indian ethics can be sought in the metaphysical and the
theological beliefs in the form of worship, prayers and in the form of ideals and principles
that directed man’s life in the society.
o When we speak of Indian ethics, we cannot deny the intimate relationship that prevails
between ethics and Hindu or any other religion.
o Ethics and religion are so closely related and whatever may be the religion, it contains within
itself some system of morality for the guidance of its followers.
o And thus, Indian ethics is the indispensable part of Hindu religion and other religions of
Indian origin. Indian ethical ideals and principles are very much found in the Vedas and in
other Indian literatures and in other teachings of the Indian religions.
 Like religion and art, morality also is an institution of life for anyone to adopt in his life. By this
institution of morality, one’s actions from the moral point of view might be branded as good or
bad, right or wrong, praiseworthy or blameful etc.
 And again by morality, one may be entitled to judge others’ action as good or bad, right or
wrong. In this sense, morality can be regarded as a particular way of looking at issues of
character and conduct.
 It is in this sense of morality, that we talk of human beings as moral agents but not of animals,
we also talk of moral concepts, laws and principles etc for a morally good or morally right life.
Morality means conscious living within the frame of certain principles of conduct laid down by
those regarded as authorities.
 So in general, morality as an institution of life consists in the awareness of an important
distinction between what is and what ought to be. So men should live not merely in the light of
what is but also what ought to be.
 Specifically speaking morality is the awareness of a living based on a distinction between our
animal demands and the demands of the higher faculties of human life, which make the human
distinct from the animals.
 Since the ancestors of Hindus in India were spiritual in nature, they fixed their attention on a life
beyond death. They regarded the human soul (inner being) as an eternal entity co-existing with
the Supreme Being.
 They believed that every human soul goes to the round of births, rebirths and reaps the fruits of
actions. When a soul comes to be associated with the gross material body, it is bound to
perform certain deeds and in conformity with laws divine, reaps the fruits thereof.
 The belief is that, if good deeds are performed, happiness results and if evil deeds are
performed, misery falls to the lot of the doer. The human soul never dies; it can never remain
without doing ‘actions’ and can never claim exemptions from reaping the fruits of its deeds.
 It reaps as it sows. Any man ultimately looks for happiness which is the fruit of Karma and so he
should necessarily know what is good and what is bad.
 Every law giver and every thinker of India in ancient period felt, the supreme necessity of
framing certain rules of conduct and of presenting the ultimate end to which all the life of a
human being is to be directed in this lesson on Indian ethics we will be dealing with the Hindu
ethics, some ethical notions of Buddhism and Jainism.
SOURCES OF MORAL IDEALS IN INDIA

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 Any human being in the society is called to live and lead a moral life. To lead a moral life, he
needs certain guidelines and principles of morality to do certain deeds and to abstain from
certain deeds.
 What is the primary source of morality in India? The answer could be the authority of the
Scriptures especially that of the Vedas, after the Vedas, the authority of the Smrtis is accepted.
So Vedas (Srutis) and the Smrtis (Dharmasastras of Manu) taken together, have been regarded
as the source of morality.
o Of these two (Vedas and Smrtis), the Vedas are regarded as superior. In the event of a
conflict between the two, the verdict of the Vedas prevails.
o Besides Srutis, Smrtis and practices of good people conscience and reason also play a role in
the matters of morality.
 The inner conscience alsois the source and test of morality. This means that even the desire
arising out of right will or determination may serve as a source or guide to morality. Right will is
to be identified and decided.
o In recent times, especially; in the thoughts of Gandhi, and Aurobindo, conscience has been
accorded a very important place.
o It gives giving the final verdict regarding questions of morality and immorality. The very
concept of Indian morality is both authority based and social reasoning.
 Both in Buddhism and Jainism, reason has been given a prestigious place. In Jainism right faith is
given the first place among the three jewels.
o One is advised to use his reason in ascertaining the validity and worth of the precepts before
following them. In Buddhism too, the use of personal reason is neither disallowed nor
despised.
o The four noble truths are to be followed but even then Buddha says wherever there is
disagreement, questions can be asked for removing doubts.
 In modern Hindu thought, reason is given better place, especially in the ideas of Vivekananda
and Gandhi. For them reason is not the source of moral ideas, but yet they believe in the role of
reason in the matters of morality.
 Hence, the primary role is given to Vedas and Smrtis as the fundamental source of morality in
Indian tradition, but besides them, all the above mentioned sources also played their roles in
deciding the question of morality and immorality in Indian tradition.
ETHICS: ITS MEANING IN INDIAN TRADITION
 The Indian term for morality and ethics is ‘dharma’. Dharma comes from the root ‘dhr’, which
means to hold together. And thus the function of dharma is to hold the human society together
for its stability and growth.
 Right conduct is essential if the human society is to survive. The dharma in Hinduism is
coextensive with morality.
o Dharma in the Vedas refers to the highest truth and power and it is very much understood
as the performance of Vedic sacrifices and other rituals in the Vedas and Dharmasastras.
o So, Dharma is understood in Vedas as duty par excellence. Dharma is also generally
understood as the duties of humans according to one’s own caste and stage of life
(Varnasrama Dharma).
o And thus many Hindu thinkers say if one does his duty; he will achieve either heaven or a
better birth in the next life or even prosperity here and now.

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o Thus, the Hindu concept of dharma has been recognized by its very close association with
ritualistic and caste-oriented duties. And the purely moral sense of duty is overshadowed.
 But yet, the Hindu thinkers advocate and recommend the practice of moral virtues and moral
norms, which make a man as man.
 These moral virtues are called Sadharana Dharma or universal duties. Hence, the term dharma
in Hinduism has two connotations
o performance of ritual sacrifices and duties according to one’s own caste and
o the practice of moral virtues and norms.
 So when we speak of dharma as morality, it includes all the duties one ought to perform and all
the virtues he ought to practice to attain moksa or liberation.
ETHICS IN VEDIC PERIOD

 When we speak of Indian ethics, its early beginnings have to be traced from the Vedas,
particularly the Rig Veda. One of the central ethical concepts of the Rig Veda is ‘rta’, a
conception of unifying order or moral law, pervading all things.
 The concept ‘rta’ has given rise to two other important concepts, the concept of Dharma and the
concept of Karma.
o The concept Dharma has got so different and divergent meanings, but generally it is known
as duty.
o The concept Karma signifies that there is a uniform moral law, governing the actions of man
and the rewards and the punishments appropriate to their actions.
o ‘Rta’ is the foundation of these two concepts. The more important and essential element in
the Vedic ethics is that of love and worship offered to the gods in complete submission.
 Moral order or law is reflected in the right performance of sacrifices and so one who performs
these sacrifices and the ceremonial duties laid down in the scriptures, would achieve the goal of
eternal happiness in heaven. So the ethics of the Vedic Hindus is primarily a god-oriented ethics.
 The highest goal of life for the Upanishads is no longer happiness as in the Rig Veda, but
liberation from bondage to the transitory existence and the re-attainment of the inner essence
of the soul. The Upanishadic ethics is primarily atmancentric and intellectualistic.
 The Upanishads declare that the Vedic sacrifices are totally irrelevant for the realization of
moksa. And so man is constantly exhorted to seek his individual liberation and not worry about
other social, moral obligation.
 This kind of philosophical individualism definitely undermines the values of social morality. For
the Upanishads, the identification and the realization of the self with Brahman is very important.
In this metaphysical realm, only we can speak of Upanishadic ethics.
 The oldest Upanishads say that the perfect sage is a saint who burns evil away and he is free
from evil. So it is in the avoidance of evil, we can see the clear moral teaching in the Upanishads.
Katha Upanishad declares that he who is always impure is born again and again that he fails to
reach the highest goal.
 Good conduct is very much necessary for the attainment of man’s metaphysical good
(identification of the self with Brahman). So the Upanishads are clear in saying that the man who
has wisdom does not sin. He ceases to do evil and through his wisdom he annuls the evil of his
former life.

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ETHICS IN DHARMASASTRAS AND ITIHAAAS

 The institutes of Manu and other Dharmasastras are the main source books of both Hindu
ritualism and social morality. The Upanishads emphasized the liberation of the individual, but
the Manusmrti subordinated individuality to social structures.
 Though individual, one belongs to a family and a sub-caste and he is always taken care by the
family in which he is, and so the Hindu social morality is relativistic on several counts. Man’s
duties are accepted to be relative to time (Yuga) and place (Desa).
 The duties of a person are also strictly relative to his Varna (class) and the stage of Life (Asrama).
Manu has decreed certain virtues as universal. They are:
o contentment (dhairya),
o forgiveness (kshama),
o self-control (dhama),
o non- stealing (asteya),
o cleanliness (sauca),
o coercion of the senses (indriyanigraha),
o wisdom (dhi),
o knowledge of the Supreme Atman (vidhya),
o truthfulness (sathya) and
o abstention from anger (akrodha) (VI: 91-92).
 These virtues are common, universal dharma (Sadharana Dharma), which can be called morality.
Thus the Dharmasastras, Epics and the Puranas have their own specific goal but they seem to
share more or less a common ‘ethos’ from the point of ethics.
WAY OF RIGHTEOUSNESS IN THE GITA

Indian Philosophy
 The realization of the Supreme Reality through a life of righteous actions is the central well-knit
theme of all the eighteen chapters of the Gita. Actions are to be performed with the realization
of Brahmajnana.
o To attain the Brahmajnana, one is advised to make a diligent search through devotion,
renunciation and self-surrender.
o From attachment, desire springs from desire wrath arises, from wrath comes infatuation,
from infatuation loss of memory and mind and finally from loss of mind he perishes.
o So liberation from all kinds of bondages is possible only by the realization of the Brahman or
surrender unto the Lord and vice versa, the realization of the Brahman is only through the
liberation from all kinds of bondages.
o Actions are to be performed without any attachment to the fruit of the actions. This is one
of the means of attaining Brahmajnana.
 Thus Gita emphasizes both on Karma Yoga and Gnana Yoga for the attainment of the Supreme
Bliss, but yet Karma Yoga is superior to Gnana Yoga.
o Here Karma Yoga simply means a mode of realizing the Brahman through devotional
meditation on the name of God, and the practice of one’s own duties without any
attachment.
o One will be blessed with Brahmayoga, which will lead him not only to moral success but also
to the infinite spiritual joy and peace.

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o There is another way promoted by the Gita to attain the ultimate realization in life and
liberation from the cycle of births and deaths, which is known as Karma Yoga (Path of
activity). The Gita has described this way as the method of disinterested action (Nishkama
Karma).
o To attain moksa, one has to be freed from the bondage to one’s own actions. So the Gita
suggests the golden rule that actions should be done with the spirit of non-attachment to
their fruits.
 Both the epics, itihasas have a bundle of ethical and moral codes and injunctions. The practical
guidelines of the essential ethical ideals and thoughts of Hindu tradition.
ETHICAL CONCEPTS OF HINDU TRADITION

 Doctrine of Karma- The doctrine of Karma states that whatever a man suffers or enjoys is the
fruit of his own deed, a harvest sprung from his own actions, good or bad committed in his
previous life. Karma is of four categories:
i. Sanchita Karma, which means the accumulated past actions
ii. Prarabdha Karma, which means the part of Sanchita Karma, this results in the present birth
itself. This is also called predestination
iii. Kriyamana Karma, which means present willful actions or free will
iv. Agami Karma, which means the immediate results caused by our present actions.
 Karma simply means action. And this Karma must remind us that what is called the consequence
of an action is really not a separate thing but it is a part of the action and it cannot be divided
from it.
 The consequence is the part of the action, which belongs to the future but yet the part is done in
the present. Whatever a man sows he shall reap.
Transmigration of Soul
i. The doctrine of Karma and transmigration of soul are so closely bound up together. After the
death of the body the life of the individual is continued in another body and so on in
indefinite series.
ii. According to this theory, the soul though pure and blessed in itself, gets entangled in the
Samsara (cycle of birth and rebirth).
iii. It is because of the Karma it passes through innumerable births (transmigration) before it
regains its original state.
Supreme Goals (Purusharthas)
i. The dominant interest of the Indian thought is in the highest value of human life. There are
four values, which give meaning to human life. They are called Purusharthas.
ii. They are Dharma, Artha, Kama and Moksa. Dharma is usually distinguished into sadharana
dharma and varnashrama dharma. The former adharana dharma refers to the duties of the
universal scope and validity.
iii. There are ten cardinal virtues known as sadharana dharma according to Manu, endurance,
patience, self-control, integrity, purity, and restraint of senses, wisdom, learning, and truth,
absence of anger or non-violence.

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iv. The varnasrama dharma refers to the duties of persons according to the castes and the
stages of life. Thus ‘dharma’ is considered to be a means value for attaining personality
integration in the spiritual level or liberation.
v. The term ‘artha’ generally indicates the attainment of riches and worldly prosperity,
advantage, profit and wealth. Kama is a comprehensive term, which includes all desires:
desires ranging from the cravings of the flesh and the yearnings of the spirit.
vi. In Hindu thought there is always a clear emphasis on the enjoyment of secular pleasures
along with the emphasis on the realization of spiritual values.
vii. The uniqueness of the concept of kama and enjoyment in the Hindu ethics is that all of them
were to be related to the spiritual goal of human existence and so the Indian ethics insisted
on a regulated enjoyment.
viii. In every school of philosophy in India the first three Purusharthas are treated as the
instrumental values, which directly or indirectly promote the Parama Purusharthas - the
highest values of human life namely moksa.
ix. Moksa is also known as by other names such as mukti, apavarya, kaivalya and nirvana. This
liberation is intimately bound up with the Karma samsara, the doctrine of transmigration.
Svadharma
i. By this term we mean each individual has to grow to his best according to his own dharma,
that is to say the principle of individual growth is called Svadharma. Svadharma is in relation
to an individual’s temperament and stage and duties in life, based on varna and asrama.
ii. It is made in terms of three gunas, the sattva (purity), rajas (virility), and ‘tamas’
(darknesss).
iii. These three qualities are found in each individual in varying proportions and thus this
varying proportion of qualities is regarded as the basis of different types of actions and of
four castes.
iv. The concept of Svadharma is very much based on these three classifications and it is well
promoted by Indian ethical code that if the society is to function smoothly there should
certainly be a hierarchical arrangement of functions and duties in it.
Varnadharma
i. In Hindu ethics, we find varnasrama dharma as a social stratification, based on above said
gunas, profession and birth.
ii. Although theoretically it is justified to have such a classification of people in the name of
their propensity and quality they posses in terms of their attitude, caste system in Indian
ethics remains an issue.
iii. It has been very much practiced and all ethical principles and codes are based on it. By way
of profession, one’s caste is determined in some ways, both in theory and in practice.
iv. This looks somehow fine and rationally justified. Yet social mobility in the ladder of
categories of people is not very much practical and it is not ensured.
v. Even if a person develops sattvaguna and becomes a teacher of scriptures, he / she cannot
become a ‘Brahmin’ for the very reason that he was not born a Brahmin. Although
theoretically Hindu ethics preaches it, social mobility in such practice remains only an utopia.

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vi. One’s birth, jati determines everything in caste systems. A Sudra is denied of the right of
undertaking purificatory rite in the form of investiture of sacred thread (Upanayana), which
is supposed to give a man his second birth.
vii. He is not allowed to perform Vedic sacrifices or read or listen to the Vedas. Severest
punishments were prescribed and carried out, if a Sudra even dared to recite or had a
chance to hear the Vedas.
viii. A Brahmin unconditionally deserved the greatest honour and all kinds of gifts. He could not
be given any corporeal punishment. He was exempt from the state taxes.
ix. The severest punishments were prescribed for the offender of a Brahmin. Hence, Hindu
ethics regarding varnadharma is still a contested and controversial moral and social code.
Stages of Life (Ashrama Dharma)

i. According to Hindu thought the life was divided into four stages or Ashramas: that of the
Brahmacari (Studenthood), the student who is bound to celibacy.
ii. The second stage is Grihasthah (the householder), and the third is Vanaprastha (the forest
dweller) and the last is the Sannyasin (the mendicant).
iii. A man should pass through these stages regularly and no man should enter any stage
prematurely. A man after having studied the Vedas or two Vedas or even one Veda, in due
order, without breaking celibacy must enter into the householder order.
iv. And when the householder sees wrinkles in his skin and whiteness in his hair and sees his
grandson, only then he must retire to the forest.
v. After having passed the third portion of life in the forests and having abandoned
attachments, the man wanders as an ascetic, which is the fourth portion of life. This
succession is regarded as so important for the due development of the Jivatma, and the
proper ordering of the society.
Hindu Rites–Samskaras
i. Sacrifices form the central theme of the Brahmanical religion and philosophy. The sacrifices
not only please gods but also feed them. Through them the sins are also atoned.
ii. The important Vedic sacrifices are the Srauta sacrifices and the Grihya rituals. Besides all
these rituals there are many personal or family sacraments known as Samskaras.
iii. These Samskaras are religious acts of purification and they are the ceremonies for
sanctifying the body, mind and intellect of the individual, so that the person may become a
full-pledged member of the community.
iv. For the performance of these sacraments, “samkalpa” or the mental attitude is the most
important condition. The most important Samskaras are
o Garbhadhanam or conception,
o Pumsavanam: (Ensuring a male offspring),
o Simanthonnayanam (Parting of the hair),
o Jata-Karmam (Birth- Ceremony),
o Namakaranam or naming ceremony.
o Nishkramanam: taking the child out of the house so that it may see the sun,
o Annaprasnam: the first feeding of the child with solid food (rice) in the sixth month,
o Chudakaranam: the rite of tonsure ceremony,

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o Karnavedham: Piercing of earlobes.

o Vidhyarambam (beginning of knowledge),
o Upanayanam (Initiation by a teacher),
o Samavarthanam,
o Vivaha (Marriage),
o Antyesti or Funeral Rights.
ETHICS IN BUDDHISM
 The Buddha thought ten meritorious deeds for us to perform in order to gain a happy and
peaceful life as well as to develop knowledge and understanding. The ten meritorious deeds
are:
i. Charity
ii. Morality
iii. Mental Culture
iv. Reverence or respect
v. Service in helping others
vi. Sharing merits with others
vii. Rejoicing in the merits of others
viii. Preaching and teaching the Dhamma
ix. Listening to Dhamma
x. Straightening one’s views.
 Moral conduct benefits all Beings with whom one comes into contact. Mental culture brings
peace to others and inspires them to practice Dhamma. Reverence gives rise to harmony in
society. Service improves the lives of others.
 Sharing merits with others shows that one is concerned about others’ welfare. Rejoicing in
other’s merits encourages others to perform more merits.
 Teaching, listening to the Dhamma is important factor for happiness for both the teacher and
the listener. Straightening one’s views enables a person to show to others the beauty of
Dhamma.
 There are ten demeritorious deeds from which the Buddhist are advised to keep away. These
deeds are rooted in greed, hatred, and delusion and they will bring suffering to others. These ten
deeds are divided into three sets:
i. Actions of the Body- Bodily actions are killing of living beings, stealing, and unlawful sexual
intercourse.
ii. Verbal Actions- Four verbal actions are: Lying, Slander, Harsh Speech, and Meaningless Talk.
iii. Actions of the Mind- The other three actions of the mind are: Covetousness or being
desirous especially of things belonging to others, ill-will, wrong views.
 Buddhist morality judges an action good or bad basing on the intention or motivation from
which it originates. If a person performs an action out of greed, hatred, delusion, his action is
considered to be bad.
 On the other hand, if he performs an action out of love, charity and wisdom, his action is good.
Love, charity and wisdom are known as the “the three Good Roots.” Here the word ‘root’ refers
to the intention from which that action originates.

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 In Buddhism, a person’s first duty is to cleanse him of the mental defilements of greed, hatred
and ignorance. The reason for doing this cleansing is not because of fear or desire to please
some Divine beings. If this is so, that would mean that the person is still lacking in wisdom.
 He is only acting out of fear like the little child who is afraid of being punished for being naughty.
A Buddhist should act out of understanding and wisdom. He performs good actions because he
realizes that by so doing he develops his moral strength, which provides foundation for spiritual
growth, leading to liberation.
Five precepts
 Telling about ten meritorious and ten evil actions, the Buddhism invites the lay Buddhists to
adopt five precepts voluntarily to follow in order to live together in civilized communities with
mutual trust and respect.
 Following these five precepts helps the lay Buddhist to make a spiritual journey towards
liberation. These five precepts are purely voluntary ones. A good Buddhist should remind
himself to follow the five precepts daily, they are as follows:
i. I take the training rule to refrain from Killing living creatures,
ii. Taking which is not given,
iii. Sexual misconduct,
iv. False speech, and
v. Taking intoxicating drugs and liquor.
 The precepts are the basic practice in Buddhism. They are also an indispensable basis for people
who wish to cultivate their minds. Without some basic moral code, the power of meditation can
often be applied for some wrong and selfish motive. These five refrains is called as Pancasila.
Kindness and charity

 The Lord Buddha proposes Universal Love or “Metta”. By this, Lord Buddha invites one to
cultivate a boundless heart towards all beings. Speaking about charity Buddha says that the
essence of true charity is to give something without expecting anything in return for the gift.
 A charitable person should not make other people feel indebted to him or use charity as a way
of exercising controlover them. He should not even expect others to be grateful. The act of true
charity leaves both the giver and the recipient free.
 A real charity must proceed from the whole person as an act of his body, heart and mind. It
should not be an act of generosity but it should be a “Dana” when a person performs “Dana”, he
gives as a means of cultivating charity as a virtue. It reduces one’s craving and his selfishness.
Love for Animals

 The Buddhists are encouraged to extend love for all living beings without restricting only to
Human beings. Since every living being has a right to exist so it is not right for us to take away
the life of any living being.
 It is unfair for us to deprive their living rights. If we believe that animals were created by
someone for men, it would follow that men were also created for animals since some animals do
eat human flesh. Buddhism says the destruction of any creature represents a disturbance of the
universal order.

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 Man’s cruelty towards animals is another expression of his uncontrolled greed. Our own
existence on this earth may not be guaranteed if we do not take stern measures for the survival
of other creatures.
JAINA ETHICS
 Like Buddhism, Jainism also rejects Vedic ceremonialism and sacrificialism and also it takes
ahimsa to be the most important ethical virtue and consequently denounces the Vedic sacrifices.
In the observance of ahimsa, Jainism rather surpasses even Buddhism.
 In the observance of ascetic rituals also, Jainism goes further than Buddhism especially in the
case of monks. The pancamahavrtas and triratnas form the ethics of Jaina tradition. Right
knowledge, right faith and right conduct are known as Triratnas – or the three gems of Jainism.
i. Right knowledge is the detailed cognition of the real nature of ego and non-ego, which is
free from doubt, error uncertainty etc.
ii. It can be obtained only by studying carefully the teachings of the omniscient Tirthankaras or
teachers who have already obtained liberation and therefore are fit to lead others out of
bondage.
iii. Then that preliminary faith should be supported by right knowledge again for having right
faith based on general acquaintance (samyag- darsana) in support of right knowledge.
iv. Right faith does not imply that one must blindly follow the Tirthankaras. But one must have
the right attitude of respect towards truth.
v. Further by studying the teachings of the Tirthankaras one can strengthen his belief. But
these two are rendered useless unless they are followed by rigorous practice.
vi. Right conduct is the third indispensable (samyag-caritra) condition of liberation. It is this
that enables one to stop the influx of new karmas and also to eradicate old ones.
vii. It consists in the control of passions, senses, thought, speech etc. Right conduct is therefore
described as refraining from what is harmful and doing what is good. Right conduct enables
man to liberate himself from bondage.
 The Jaina prescription for right conduct: One must follow the five great vows namely the panca-
maha-vrata for the perfection of right conduct. They are Ahimsa, Sathyam, Asteyam,
Brahamacaryam and Aparigraha.
i. Ahimsa denotes abstinence from all injuries to life – either trasa or sthavara.
ii. Satyam is abstinence from falsehood. It is speaking what is true, good and pleasant.
iii. Asteyam refers to abstinence from stealing.
iv. Brahmacaryam pertains to abstinence from sensual and casual pleasures. One must refrain
himself from karma of any form altogethereither in speech talk or action.
v. Aparigraha: By this what is meant here is that abstinence from all kinds of attachments. It
lies in giving up attachment for the objects of five senses.
GANDHIAN ETHICS
 Gandhian philosophy is a double-edged weapon. Its objective is to transform the individual and
society simultaneously, in accordance with the principles of truth and non-violence.
 Gandhi, as leader of Indian national movement, and as prolific writer has commented on almost
every aspect of human life and society. His thoughts are multi-dimensional and cover political,
social,economic, religious and ethical aspects of human life.

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 He was influenced not only by Tolstoy, Carlyle and Thoreau but also by ethical principles
embedded in Buddhism, Jainism, Hinduism and Christianity. The twin cardinal principles of
Gandhi’s thought are truth and non-violence. His ideas are generally expressed in moral
categories or terminology.
 Ethical theories provide the underpinnings for Gandhian thought in any sphere. Evolution of
Gandhian ideas took place within a matrix of non-violent mass political struggle. In the process,
they went through some twists and turns.
 Gandhi is rot an academic thinker, he is a mass leader. Hence, his emphasis Is not on Idealism
but on practical idealism. Moreover, Gandhian philosophy is certainly considered as a universal
and timeless philosophy.
Gandhi on Moral Behaviour

i. According to Gandhi, an action is moral if it is volitional, intentional, universal, practical,
selfless, and free from fear and compulsion simultaneously.
ii. The cultivation of cafmness, wildness and tranquility of personality; fostering of good habits;
observance of chastity, altruism and righteousness, etc are the elements of moral life in
Gandhian ethics.
iii. Similarly, the moral law in Gandhian ethics is a pious, universal, eternal, immutable,
independent of space and time, objective, self-imposed dwells in the heart and deals with
the inner being of one’s personalities.
Gandhi and Non-violence

i. Non-violence in Gandhi’s thinking was a tool that anyone could (and should) use and it was
based on strongly religious thinking. Non violence, in its active sense, includes truth and
fearlessness, Gandhi insists that non- violence is not a creed of inaction.
ii. Nor is it for the weak or the timid. Non-violence does not signify meek acceptance of evil. It
is better to be violent than to be cowardly. Gandhi naturally feared that nonviolence may
become a convenient for avoiding confrontation with the British rulers.
iii. According to Gandhi, many prerequisites are necessary for persistent pursuit of ahimsa.
Foremost among these are truthfulness and fearlessness. Except God, men should not fear
anyone else, men obey God, they need not worry about any human agency.
iv. From this follows the doctrine of Satyagraha which denotes fearless pursuit of truth,
Satyagraha rs the name which Gandhi gave to the peaceful protests against British rule in
India. And the peaceful protesters are called as satyagrahis.
v. A close look at the instructions that Gandhi gave to followers of his satyagraha movement in
India clears his concept of non-violence, The instructions are as follow:
vi. A satyagrahi will harbour no anger. He will suffer the anger of the opponent. In so doing, he
will put up with assaults from the opponent, never retaliate; but he will not submit, out of
fear of punishment or the like, to any order given in anger.
vii. When any person in authority seeks to arrest a Civil resister, he will voluntarily submit to the
arrest, and he will not resist the attachment or removal of his own property, if any, when it
is sought to be confiscated by authorities.
viii. If a satyagrahi has any property In his possession as a trustee, he will refuse to surrender it,
even though in defending it he might lose his life. He will, however, never retaliate.

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ix. Non-retaliation excludes swearing and cursing. Therefore a satyagrahi will never insult his
opponent, and therefore also not take part in many of the newly coined cries which are
contrary to the spirit of ahimsa,
x. A civil resister will not salute the Union Jack, nor will he insult it or officials, English or Indian.
In the course of the struggle, if anyone insults an official or commits an assault upon him, a
civil resister will protect suchofficial or officials from the insult or attack even at the risk of
his life.
Gandhi’s Economic Ideas

i. Gandhian ethics cover economic sphere also. Gandhi says that everyone should earn his
bread with his own hands or through manual labour. He calls it bread labour, and it alone
gives man his right to ear. It is impossible for a few to amass wealth without exploiting the
rest.
ii. Exploitation is a form of violence. As men have a right to live, they are entitled to the means
of securing food, shelter and clothing. Gandhi does not propose drastic or violent means of
bringing about economic equality.
iii. Ideally, wealth should he distributed equally among all members of the society, As this is
impracticable, Gandhi proposes that wealth should be shared equitably.
iv. He urges that people should reduce their wants and live a simple life. This process will
release resources which can be used to help the poor.
Doctrine of Trusteeship
i. Gandhi has introduced a concept in which the rich are regarded as trustees of wealth.
Ultimately, as all property belongs to God, the excess or superfluous wealth which the rich
possess belongs to society and should be used for supporting the poor.
ii. Wealthy people have no moral right to what is more than their proportionate share in
national wealth. They simply become trustees for the disproportionate share of God’s
property they bold. They have to use it for helping the poor.
CONCLUSION
 Thus, the Indian religion, philosophy and morality are so integrally related and it is impossible
to understand morality without a proper understanding of the religious and philosophical
traditions in India.
 Ethics in India is a complex and multi-faceted one, being constituted of divergent and several
religious and philosophical traditions. This diversity of metaphysical beliefs and valuational
attitudes is reflected in Indian morality, which is diverse and multi-faceted as the rest of the
Indian culture.
 But, however, we must not have any impression that there is neither any specific world view or
ethos nor any definite moral code, which can be called Indian as such. Indian tradition has been
receptive to new ideas and values but yet it has been choosing certain ideas to be incorporated
in its religio-moral thought.
 Hinduism also accepted the fact that man’s dharma comprising of all his duties and virtues,
changes with the changing times. Hindu religio-culture is very composite.

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 We need to choose those aspects of Hindu-religio culture, which are most in harmony with our
modern values and we also need to frankly reject other ideals, which are not in harmony with
modern values.
 From all these that we saw above, we can conclude this lesson on Buddhists ethics basing our
concentration on the urgent call of Buddhism to the modern world today.
o Buddhism calls for tolerance in the world today so that peaceful coexistence among the
people can be possible.
o The Buddha’s advice is, “Let us live happily not hating those who hate us. Let us live free from
hatred among those who hate us. Let us live happily and be free from ailment. Let us live
happily and be freefrom greed among those who are greedy” (Dhammapada 197-200).
o Buddha says, “If a person foolishly does the wrong, I will return to him the protection of my
boundless love. The more evil that comes from him the more good will go from me. I will
always give of only the fragrance of goodness.”
ETHICS IN WESTERN SYSTEM OF PHILOSOPHY

OBJECTIVES
 As Sir David Ross points out, in a classical work: Foundations of Ethics, written over sixty years
ago, there are, broadly speaking, two approaches to ethics. This is better known as the
distinction between deontological and teleological ethics.
 The Greek word for an ‘end’, in the sense of a goal to be achieved, is telos. Hence, ‘teleological’
ethics comprises all those kinds of ethics which see the criterion of morality in terms of whether
an action fulfills the overall total end of human life in general and of moral activity in particular.
 The word ‘deontological’ was coined by the British moralist, Jeremy Bentham (1748- 1832),
from the Greek word, deon, literally, that which is binding. Deontological ethics views the
morally good in terms of doing ones duty.
 Deontology would be the science of moral duties. We shall see that these two approaches differ
more in emphasis than anything else; they are not mutually exclusive water-tight compartments.
INTRODUCTION
 Let us start with teleological approach. Ever since Aristotle, practically the entire Western
tradition of philosophizing has accepted his contention that the ultimate human end is
“happiness.” Now this could be understood as either exclusively, or with a strong stress on,
individual or private happiness.
 This, in turn, can be understood in two further ways:
o as pleasure (but not in the narrow, crude sense that the term usually implies), in which case
we have the school hedonistic ethics; or
o it can be seen as self-realization and this is the eudaimonic approach.
 The other alternative is to see happiness more from the standpoint of others, of the community.
Thus the utilitarian ethics may once again be looked at from a personalor a social dimension.
 Deontological approach comprises a rather heterogeneous group of people whose sole title in
common is that they look upon moral actions from the point of view of “duty” or “obligation”.
In other words, it is the morally “right”, rather than the morally “good” which is their concern.

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 The key question for them, then, is why the morally “right” should be so, in other words, what
makes “duty” a “duty”? Some of the prominent philosophers of deontology are Ockham,
Durkhiem, Kant and Aquinas.
EPICURUS (Circa IV CENTURY BCE)
 Epicurus sought to eliminate all unpleasant feelings like fear and anxiety from the contemporary
psyche and promote emotions of well being, harmony and pleasure. Not surprisingly, he
summoned his followers to meet in a beautiful garden and seek after pleasure.
 This was not the base ‘wine-women-and-song’ kind of thing that the English word ‘Epicurean’
now implies, but the appreciation of the nobler and higher refinements of life, such as
friendship, art, music, and the like.
 Moreover, he stressed the quest, not for the fleeting, transitory thing, but that pleasure which
might last for a lifetime. In other words, absence of pain and serenity of mind (Greek, atarxia),
rather than pleasure- gratification was his aim.
 Now atarxia was to be sought, first of all, by removal of all false fears, such as the fear of death
and the fear of the gods. Such fears, like all vices, were “not conducive” to atarxia.
 Indeed, he saw the highest virtue of all to be phronesis, discernment, the ability to size up and
estimate the quality and lastingness of pleasure and pain enshrined in various possible actions,
so as to maintain a life in the best possible state of atarxia. What is relevant for us is Epicurus’
insight is that the criterion of morality is conduciveness to our human final end.
Plato’s Concept of Virtues/Cardinal Virtues

PLATO (427 BC-347 BC)
 Plato was a great Greek philosopher. He is known as a true disciple of Socrates, Plato’s doctrine
of cardinal virtues is based on his concept of virtue. According to Plato, goodness consists of the
natural and proper functioning of human nature.
 Besides, man is social by nature; therefore, society is a normal background of moral life of
human beings. Socrates had said that virtue is knowledge. It means that insight into the nature
of moral virtues is essential for becoming virtuous.
 Of course mere knowledge of virtue is not enough. Man has to cultivate virtues through the
habit of doing obligatory and morally good actions. For Plato, good life is the life of virtues, Plato
has described four important virtues in his theory of Morality-
o Wisdom
o Courage
o Temperance
o Justice
 According to him, the cultivation of these four virtues constitutes a morally good life, Later on,
these four virtues came to be called ‘Cardinal virtues’. The term ‘cardinal’ is derived from the
word Cardo’ which means a hinge or a hook which supports the door, and on which the door
turns.
 The four virtues are cardinal because they support moral life of mar in society. They are
fundamental virtues. Other virtues depend upon them and are therefore subordinate to them.
According to Plato, the key to moral life is the proper integration of the three parts of the self.
 The three elements or parts of human beings are:
o Passionate or Appetitive Element (Passions)

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o Spirited or Dynamic and Executive Element (Will)

o Philosophical or Rational Element (Reason or Intellect)
 This integration can be achieved when the spirited element helps the reason to keep the
passions in check. According to Plato, the four cardinal virtues have both individual and social
significance. They are found both in the individual and in the society. Human beings are rational
and social animals.
 They have the natural tendency to live in communities. Morality of the society is the same as it is
for the individual. According to Plato, society is the individual ‘writ large’. For society is made up
of individuals.
ARISTOTLE (IV CENTURY BCE)

 Aristotle’s ethics begins with the observation that all beings seek their perfection. Humans are
no exception to this universal principle and, indeed, ‘happiness’ is really to be founded in the
attainment of human perfection or self realization.
 He then goes on to distinguish between two kinds of human actions that can help us attain
authentic happiness and these are the moral and intellectual virtues. Virtue is defined as a
habitual state or disposition of the soul.
 Aristotle is well known for his dictum that virtue is golden mean between two extremes: thus
courage is the mid-point between the “vice of excess” of fool hardiness and the “vice of the
minimal,” cowardice. He gives pride of place and space to the five intellectual virtues:
o practical knowledge (techne),
o prudence (phronesis)
o ratiocination or the ability to make arguments and proofs thanks to logic (episteme)
o intuitive insight (nous) and
o wisdom (sophia), the highest and noblest of them all.
 It is wisdom which enables us to attain the true happiness which is our last end. It is clear that
his is a teleological ethics par excellence: the guiding motive in it all is not law or obligation, but
what is conducive to one’s end.
 In other words, for Aristotle, moral rightness or wrongness is seen more in terms of the “good”
consciously intended by the human agent. Thus, moral badness is linked to ignorance in the
sense that no one seeks evil knowingly and willingly, as such.
THOMAS AQUINAS (1224-1274)

 Thomas Aquinas was arguably the greatest catholic luminary of the middle ages. This Dominican
monk, basing his moral philosophy on the teleological eudaimonia of Aristotle stressed God as
the ultimate end or “supreme good” of humans (as, indeed, of all beings).
 His Christian convictions, however, led him to aver that only with the help of God’s grace – a
free, supernatural gift – could we attain our fullest encounter with our last end, in the next life.
 God has a plan for all creation – not a kind of fatalistically predetermined one, but rather a vision
of creative development, enshrined in the dynamism of every being and directing it to its full
flowering.
 In other words, God’s eternal law for all beings is manifest in the natural law, inbuilt into their
own natures or essences. This “natural law” is accessible to humans partly through revelation
and partly through human reason.

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 The norm of morality for Aquinas, then, is ultimately God’s eternal law or “eternal reason”, but
more proximately it is “human reason” which can work out its implications by critically reflecting
on what the “natural law” entails.
 That which is in conformity with the demands of the natural law, as discovered partly by the
right use of human reason, is morally good; that which is not, is morally bad. Obviously, for
Aquinas, the norm of morality (“natural law”) is intrinsic to the human act and not an extrinsic
command or anything else outside of it.
 Aquinas, inspired by Aristotle, distinguished between “speculative” and “practical” reason:
o the former had to do with theoretical knowledge,
o the latter with issues of a more practical import (action, more precisely, moral conduct).
 Furthermore, each of these could be subdivided into a more discursive or argumentative part
(ratio, rationality) and a more intuitive aspect (intellectus).
 The intuitive part of speculative reason furnishes ratio with those basic “first principles” it calls
upon to carry out its reasoning process (e.g. the principle of identity and contradiction). These
“truths” are self-evident and do not require any “proof”: indeed, as first principles, they cannot
be proved but are the implicit propositions of all argumentation and proof used by ratio.
 In the same way, there are also some “self-evident” first principles of practical reason, called
synderesis, such as, “Do good and avoid evil”. Aquinas calls them the “first principles of the
natural law”.
 The above mentioned example is, of course, relevant to morals. But synderesis also has its
bearing in other spheres of activity. Aquinas adds some illustrations.
o For instance, there are those which we humans share with all beings: the principle of self-
preservation is one such.
o Then there are those we share with animals – procreation or reproduction is one of the most
important of these.
o Then there are those which are proper to humans alone: besides the moral one quoted
above, there are also similar obligations such as the need to live in society and to get to
know about God. These, as we shall see, should not be identified with what we call
“conscience”.
 From these “first principles” which, generally speaking are universal and unchanging, we derive
“secondary and more specific ones” which, though also of universal and unchanging import, at
least theoretically, are susceptible to change or adaptation in particular concrete cases.
 Thus, the secondary principle which directs one to always tell the truth and never utter
falsehood may be relaxed when an unjust aggressor asks one to tell him where his father is
hiding. This is, furthermore, how Aquinas explains how there appears to be variance among the
moral practices of people.
 It is due to wrong argumentation from the first principles: thus, unknown to certain people, they
accepted some perversions and corrupt practices as ethically sound.
 Finally, we cannot omit mention of Aquinas’ rather thorough treatment of the virtues, among
which we must draw attention to prudence, which safeguards Thomistic ethics from the pitfalls
of legalism and inflexibility.
WILLIAM OF OCKHAM (1290-1349)

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 This medieval Franciscan friar, an inveterate enemy of Thomism, is the person mainly
responsible for having established a deep rooted empirical trend into British philosophy, a
heritage that would be called upon and developed by Locke, Berkeley and Hume some five
hundred years later.
 As a counterblast to the intellectualism of Aquinas, he championed voluntarism: Ockham
appears to be concerned with upholding God’s freedom and omnipotence (as he understood it)
at all costs. Thus, he refused to recognize the wrongness of human acts as stemming from any
inherent quality in themselves.
 But wholly and entirely from the free decision of God, whose omnipotence was absolute, being
restricted only by what would be logically contradictory. But Ockham seems to confuse the
whole issue by giving a place to both God’s ordered power as well as right reason.
 The former refers to God’s free decision, whereby he has established the actual moral order,
opting to make certain actions right and other wrong. He would hardly make a general change in
this matter. All this seems to conflict with his other notion which says that a morally good act
should also be in conformity with the “right reason.”
 Indeed, he goes along with the common medieval assumption that a person is obliged to follow
what, according to his sincere conviction, is in conformity with it, even if he were in error. But
this last idea seems to do more credit to Ockham’s head than his heart.
 For if he thereby opened up the possibility for a person who does not accept divine revelation,
yet there seems to be a certain contradiction here: if “right reason” can somehow account for
moral rightness, then it is not quite dependent exclusively on God’s free choice.
IMMANUEL KANT (1724-1804)

 The “sage of Konigsberg” was to have a major impact on the development of contemporary
western thought. The second volume of his famous philosophical trilogy of the “critiques” was
devoted to new and revolutionary insights into ethics.
 Right at the onset of his critique of practical reason, he rejects all such system that is based on a
“heteronomous” source, that is, on some principle or norm outside the human person. Were we
to maintain such a point of view, he tells us, in effect, if a person had to reject that norm, and
then there would be no basis helping him or her to be a moral person.
 Thus, he begins by noting that in us there are not only some a-priory (hence universal and
necessary) principles of speculative knowledge in us, but similar principles of practical
knowledge. In as much as these are a-priori, they constitute an internal norm of morality in man:
“autonomous principles.”
 For Kant, the only thing that can be called “good” without qualification is a “good will” – all
other “goods,” such as health, wealth and long life can be used for bad ends: they are only
relatively “good”. Now, what precisely is a “good will”?
 A will which acts for the sake of duty alone (and no other motive) is a good will. This is perhaps
Kant’s way of telling us that a “good will” does not act out of self-interest. Be that as it may, the
kind of language he used has given his doctrine a very “rigorist” appearance.
 This “duty” is rooted in the moral law itself, which, in turn, is manifest moral consciousness (a-
prior synthetic practical judgments). Now, “universality” is the very form of the moral law – so,
once again, a certain rigidity is to be expected of its “categorical” demands: allowing the
possibility of exceptions would do violence to this “universal” form of the normal law.

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 The first general formulation of the basic categorical imperative is, for Kant, “I must act such that
my way of acting could become a universal procedure.” There are other formulations
popularized by Kant, especially “Never treat a person merely as a means,” but they always
enshrine some kind of universality as constitutive of its very form.
 He derived three “postulates” from the undeniable fact of the categorical imperative:
o human freedom,
o the immortality of the soul and
o the existence of God.
 This is no contradiction of what he had maintained in the earlier Critique: there he held that one
cannot prove these truths from pure reason, whereas in the second critique he says that
practical reason can and must postulate.
JOHN STUART MILL (1806-1873)

 Author of a treatise entitled, Utilitarianism, Mill was even more direct and explicit than Bentham
in holding that “utility” or “the greatest happiness principle” should be “the foundation of
morals.”
 However he seemed to widen his criterion to involve not just “the happiness of mankind, but
“rather, of all sentient beings”. But he went on to add further refinement and precision to
Bentham’s initial approach.
o First, he stressed that there is also a qualitative difference between pleasures, and not just a
quantitative one.
o Next, he suggested that what the individual seeks is not his personal or private happiness
but the common happiness of all.
o He even endeavors to give a rational basis to the pleasure principle by appealing to “the
conscientious feelings of mankind”, that is, the fact that everybody would say so.
EMILE DURKHEIM (1858-1917)

 A French positivist, whose thinking was affected by the rise of the natural sciences, he is also
hailed as the father of Sociology. One of his key writings is the Elementary Forms of Religious
Experience, in which he attempted to give a materialist (positivist) explanation even for religion.
 From his study of Totemism, which he held to be the originary form of all religions, he concluded
that “the gods” where nothing more than the tribal society conceived symbolically.
o From this, he concluded that religious rites, worship and dogma were nothing but various
ways and means to make people accept and submit themselves to the laws and customs of
their closed tribal group.
o This same approach he also employed to morality, too. Moral laws, then, are nothing but
positive laws enacted by a given society to ensure its stability and preservation.
o In other words, the norm of morality is plainly and simply concrete positive law.
 It would be more accurate to call it sociological positivism as it is grounded on human social,
rather than individual or private, law. Durkhiem has well brought out the link between human
social consciousness and moral development.
 However he is loath to admit – against the views of even some of his later disciples – that there
seems to be a common underlying structure, some kind of common principles at work
everywhere, that is, the basis of the admitted diversity of moral set-ups.

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 Again if morality is primarily a matter of “following the crowd,” how do we account for the
emergence of radical thinkers who openly and daringly rejected and challenged the existing
mores of a given society?
JOHN RAWLS: THEORY OF JUSTICE

 A Theory of Justice is a work of political philosophy and ethics by John Rawls, in which the author
attempts to solve the problem of distributive justice (the socially just distribution of goods in a
society) by utilising a variant of the familiar device of the social contract.
 The resultant theory is known as “Justice as Fairness”, from which Rawls derives his two
principles of justice.
o Together, they dictate that society should be structured so that the greatest possible
amount of liberty is given to its members, limited only by the notion that the liberty of any
one member shall not infringe upon that of any other member.
o Secondly, inequalities – either social or economic – are only to be allowed if the worst off
will be better off than they might be under an equal distribution.
o Finally, if there is such a beneficial inequality, this inequality should not make it harder for
those without resources to occupy positions of power – for instance, public office.
 Rawls belongs to the social contract tradition, although he takes a different view from that of
previous thinkers. Specifically, Rawls develops what he claims are principles of justice through
the use of an artificial device he calls the Original position; in which, everyone decides principles
of justice from behind a veil of ignorance.
 This “veil” is one that essentially blinds people to all facts about themselves so they cannot tailor
principles to their own advantage: “...no one knows his place in society, his class position or
social status, nor does anyone know his fortune in the distribution of natural assets and abilities,
his intelligence, strength, and the like. I shall even assume that the parties do not know their
conceptions of the good or their special psychological propensities. The principles of justice are
chosen behind a veil of ignorance.”
 According to Rawls, ignorance of these details about oneself will lead to principles that are fair
to all. If an individual does not know how he will end up in his own conceived society, he is likely
not going to privilege any one class of people, but rather develop a scheme of justice that treats
all fairly.
 In particular, Rawls claims that those in the Original Position would all adopt a maximin strategy
which would maximize the prospects of the least well- off.
LET US SUM UP
 It is quite common to find ethics defined, as Paul W. Taylor does, in an excellent introduction to
this discipline: “Ethics may be defined as philosophical inquiry into the nature and grounds of
morality”. We do not, however, find this approach very illuminating for, as we have seen,
“morals” is nothing but the Latin equivalent of the more Greek term, “Ethics”.
 If we try to avoid this “idem peridem” repetitive definition by saying it studies “the goodness or
badness” or “the rightness or wrongness” of human actions, this does not get us much further
because, as we have equally seen, terms like “good” or “bad”, “right” or “wrong” are susceptible
to many understandings and so possible confusions are not quite dispelled.

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 That is why we try to make clear in precisely what sense that they result in someone being
better personal all-round so our definition of ethics would run something as follows: Ethics is a
branch of philosophy which studies human actions from the point of view of their enabling a
person to become more fully human, more fully alive.
 We can therefore say that ethics is that branch of philosophy which studies what makes a
person truly liberated. Now, any worthwhile discussion of ethics, sooner or later, confronts us
with the phrase “human acts”.
 We should pause for a moment to underline the meaning and significance of what these words
imply. They are actually the legacy of old scholastic thought and still relevant today. We must
need to distinguish between what could be called “acts of humans” and “human acts” (the Latin
maintains the word play more neatly: actushumanus and actushominis).
 A human act is an act put forward by a person acting in full capacity as human, i.e. out of full
awareness and freedom – after all knowledge and free choice are what characterize humans as
humans. Only when someone does something knowingly and freely can he/ she be held
accountable for that act and accordingly, be praised or blamed for it.
 If someone were, unknowingly, to drink a cup of poisoned tea, no one could accuse him or her of
attempted suicide. One might say that what he or she had done was “objectively” a suicidal act
(i.e. of itself it would bring about the person’s death or serious illness, if medical intervention
were not sought immediately), but “subjectively” he or she could not be blamed for the act.
 This example should also make us realize that we cannot behave as if only “subjective morality”
were important, since that is the area where praise or blame (“moral accountability”) comes in.
if the action were “objectively wrong” in itself it would have some bad effects on the agent –
psychologically and physiologically – even if he or she did not do it “full knowledge and full
consent,” to use the time honoured formula.
 Ethics, then, is more concerned with actions done as a result of knowledge and free choice: only
such actions make us better or worse persons all-round. Acts of humans, that is, actions done
unintentionally, unknowingly (including doing an “objectively” wrong action while not knowing
such an act is wrong) would not affect one all-round as a person.
FEMINIST ETHICS
 Feminist Ethics is an attempt to revise, reformulate or rethink traditional Ethics,Feminists have
developed a wide variety of gendercentred approaches to ethics. For ages, ethical thinkers have
talked about two great moral imperatives:’justice’ and love’.
 The concept of ‘love’ is replaced by the concepts of ‘goodness’, ‘utility’, etc. Carol Gilligan, like a
few other feminists, has emphasized issues related to women’s traits and behaviours,
particularly their care giving ones’ .
 Gilligan’s ethical theory is essentially based on the “communal nature of women, “ The theory is
titled as “ethic of care* as against typical conventional male oriented ethic of justice”.
Ethics of Care and Ethics of Justice

 Distinction between Ethic of Care and Ethic of Justice was given by Carol Gilligan. According to
GiLligan under the ethic of justice, men judge themselves guilty if they do something wrong.
Whereas under the ethic of care, women are reluctant even to judge the action.

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 This reluctance to judge itself may be the indicative of the care and concern for others. Thus
women not only define themselves in a context of human relationship but also judge themselves
in terms of ‘care and concern’.
 As a result of this a woman’s judgement, her moral deliberations become very different,Gilligan
further brings out the distinction between ‘ethic of care’ and ‘ethic of justice’.
 In her view, the quality and quantity of relationships is of great importance in both the systems.
Individual rights, equality before law, fair play, a square deal - all these goals can be pursued
without personal ties to others. Justice is impersonal.
 Whereas sensitivity towards others, loyalty, responsibility, self sacrifice and peace- making all
these reflect interpersonal involvement. Cane comes from connection.
PUNISHMENT AND ITS ETHICAL JUSTIFICATION

 “Punishment is the just retribution for deliberate breach of moral law”. Wrongness of the act is
brought home to the criminal by punishing him. If a good act deserves to be praised or
rewarded, then a bad act should be punished. This is the ethical justification of punishment.
 Punishment is often known as a kind of negative reward paid to the criminal. Because if we do
not punish the criminal, then there will be no harmony, equity and uniformity in society. There
will remain no respect for moral laws and moral persons.
 Moral laws will look like a type of advice possessing no value. Therefore in order to preserve the
majesty, supremacy, authority and dignity of moral laws – a criminal should be punished
because an offender deliberately violates the moral law and disregards the authority and
supremacy of moral laws.
 Theories of Punishment- There are three main theories of punishment:
o Deterrent (or Preventive) theory, believes that punishment is given, so that potential
criminal can learn a lesson and not commit the same crime again.
o Retributive theory, believes that punishment is given, because it is deserved and for no
other reason.
o Reformative (or Educative) theory, suggests that punishment is given to reform the criminal.
Deterrent or Preventive Theory

 Each theory has its own basic principle. The first order principle of Deterrent theory is to
maximize the total amount of happiness in society by theory is to make the criminal, a morally
better individual.
 he has done a wrong act or committed a crime but in order that crime may not be committed, it
is best expressed in the word of a judge, who famously said, “You are punished not for stealing
sheep, but in order that sheep may not be stolen”.
 By making the potential criminals realize that it does not pay to commit a crime, the Deterrent
theory, hopes to control the crime rate in the society, so that people may have a feeling of
security.
 The first order principle is maximum happiness of the maximum number of people in the
society. Jeremy Bentham is the promoter of this theory.
Retributive Theory of Punishment

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 The Retributive theory believes that punishment must be inflic ted because it is deserved and no
other reason. The first principle is justice and the assumption is that if a right act has to be
rewarded, a wrong act must be punished, for punishment is simply the reward of the wrong act.
 By punishing the wrongdoer, we are treating him as equal, Aristotle and Hegel are of the opinion
that punishment is kind of negative reward paid to a criminal.
 Hegel says that violation of moral law is the demand for punishment and hence we should
punish a criminal , Punishment follows as a fruit of his evil deeds.
Reformative or Educative Theory of Punishment

 As the name suggests, punishment is given for the purpose of reforming the criminal. The
supporters of this theory believe that a man commits a crime because,either he is ignorant, or
because he has done a wrong, so he may be in a position to improve himself.
 This theory also holds that most of the crimes are due to pathological phenomenon i.e, one
commits crime due to some mental deficiency or insanity or physiological defect. Therefore the
criminal ought to be cured and ought to be reformed.
 Traditionally, Plato has been regarded as the father of the Reformative theory and his position
can be summarized in the following three positions:
o The state is related to the delinquent as parent to a child
o Wickedness is a mental disease,
o Punishment- The Deterrent theory of punishment is utilitarian in nature, for it believes that
man is punished, not because punishment is a moral medicine for wicked acts, and however
unpalatable it may be, it is absolutely necessary.
*****

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ETHICS, INTEGRITY AND APTITUDE

For Mains G.S.-IV
Part-2: Topics 6 to 9
INDEX
6. Civil service Values & Ethics in Public Administration 2-30

7. Probity in Governance 31-50
8. Ethical Dilemmas 51-62
9. Case Studies 63-92

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6. PUBLIC/CIVIL SERVICE VALUES AND

ETHICS IN PUBLIC ADMINISTRATION
Public Administration
 Public administration is the executive branch of government. It essentially deals with the
machinery and procedures of government as these are used in the effective performance of
government activities. Administration has been defined as a co-operative human effort towards
achieving some common goals.
 Public administration is that species of administration which operates within a specific political
setting. The ‘public’ aspect of public administration lends special character to it. The adjective
can be looked formally to mean ‘government ‘.
 So, public administration is government administration, the focus being specifically on public
bureaucracy. With the growing importance of government in the wake of expanding public
functions, public administration has become highly complex and more and more specialized.
Ethics and Accountability in Governance

 The explosion and spread of information and communication technology, the wide acceptance
of democratic form of government and changing social norms enable the people to demand
higher standards of ethics, transparency and accountability in the public sector.
 Ethical public service is considered as a prerequisite of well functioning democracy. Ethical,
transparent and accountable public sector is also a precondition of good governance that
ensures sustainable development and responsive public policy. It also helps to improve the
performance of public sector by preventing systemic corruption.
 The effectiveness of public administration depends on the understanding and cooperation
between the citizens and public servants. The primary concern of the citizens in a good civil
society is that their government must be fair and good.
o For a Government to be good, it is essential that their systems and sub systems of
Governance are efficient, economical, ethical and equitable. In addition, the governing
process must also be just, reasonable, fair and citizen friendly.
o For these and other qualities and good governance, the administrative system must also be
accountable and responsive, besides promoting transparency and people s participation.
 There is a great deal of alienation between the people and the public service which undermines
the legitimacy, effectiveness and credibility of public administration.
o To bridge this gap, it is necessary to create confidence in the minds of the people towards
the competence, fairness, honesty, impartiality and sincerity of the public services.
o The manipulation and lack of ethics in administration not only reduces the effectiveness but
also has several negative effects for the society as a whole. It leads to poor administration
and mismanagement of human and material resources.
o Several rules, regulations and laws exist to ensure impartiality, honesty and devotion among
the public servants.
 But still, there remain a vast area of administrative activity which cannot be controlled by formal
laws, procedures and methods. In such cases, administrators are accountable only to their own
conscience, their own sense of duty towards the social welfare.

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 Along with that, there is also a need to have an “ethics infrastructure” that not only provides
guidance for good conduct but also administratively and legally punishes misconduct.
o The “ethics infrastructure” includes measures to enhance and preserve organizational
integrity, access to information that promotes transparency and accountability and prevents
misuse of power by public personnel.
o Decision-making by administrators must be based on fairness, transparency and
accountability and a sense of the public interest, as well as the careful exercise of the legal
authorities delegated by Parliament.
MAXIMS OF PUBLIC ADMINISTRATION ETHICS

1. Maxim of Legality and Rationality: An administrator will follow the law and rules that are
framed to govern and guide various categories of policies and decisions.
2. Maxim of Responsibility and Accountability: An administrator would not hesitate to accept
responsibility for his decision and actions.
i. He would hold himself morally responsible for his actions and for the use of his discretion
while making decisions.
ii. Moreover, he would be willing to be held accountable to higher authorities of governance
and even to the people who are the ultimate beneficiaries of his decisions and actions.
3. Maxim of Work Commitment: An administrator would be committed to his duties and perform
his work with involvement, intelligence and dexterity.
i. As Swami Vivekananda observed: “Every duty is holy and devotion to duty is the highest form
of worship.” This would also entail a respect for time, punctuality and fulfillment of promises
made.
ii. Work is considered not as a burden but as an opportunity to serve and constructively
contribute to society.
4. Maxim of Excellence: An administrator would ensure the highest standards of quality in
administrative decisions and action and would not compromise with standards because of
convenience or complacency. In a competitive international environment, an administrative
system should faithfully adhere to the requisites of Total Quality Management.
5. Maxim of Fusion: An administrator would rationally bring about a fusion of individual,
organisational and social goals to help evolve unison of ideals and imbibe in his behaviour a
commitment to such a fusion. In situation of conflicting goals, a concern for ethics should govern
the choices made.
6. Maxim of Responsiveness and Resilience: An administrator would respond effectively to the
demands and challenges from the external as well as internal environment.
i. He would adapt to environmental transformation and yet sustain the ethical norms of
conduct.
ii. In situations of deviation from the prescribed ethical norms, the administrative system
would show resilience and bounce back into the accepted ethical mould at the earliest
opportunity.
7. Maxim of Utilitarianism: While making and implementing policies and decisions, an
administrator will ensure that these lead to the greatest good (happiness, benefits) of the
greatest number.

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8. Maxim of Compassion: An administrator, without violating the prescribed laws and rules, would
demonstrate compassion for the poor, the disabled and the weak while using his discretion in
making decisions.
i. At least, he would not grant any benefits to the stronger section of society only because they
are strong.
ii. They would not deny the due consideration to the weak, despite their weakness.
9. Maxim of National Interest: Though universalistic in orientation and liberal in outlook, a civil
servant, while performing his duties, would keep in view the impact of his action on his nation’s
strength and prestige.
i. The Japanese, the Koreans, the Germans and the Chinese citizens (including civil servants),
while performing their official roles, have at the back of their mind a concern and respect for
their nation.
ii. This automatically raises the level of service rendered and the products delivered.
10. Maxim of Justice: Those responsible for formulation and execution of policies and decisions of
governance would ensure that respect is shown to the principles of equality, equity, fairness,
impartiality and objectivity and no special favours are doled out on the criteria of status,
position, power, gender, class, caste or wealth.
11. Maxim of Transparency: An administrator will make decisions and implement them in a
transparent manner so that those affected by the decisions and those who wish to evaluate
their rationale, will be able to understand the reasons behind such decisions and the sources of
information on which these decisions were made.
12. Maxim of Integrity: An administrator would undertake an administrative action on the basis of
honesty and not use his power, position and discretion to serve his personal interest and the
illegitimate interests of other individuals or groups.
 There can be many more, however, the main motive is good governance and ethical practices
backed by proper values and principles of public administration.
MEASURES SUCCESSFULLY TAKEN TOWARDS

REINFORCEMENT OF ETHICS IN PUBLIC ADMINISTRATION
1. Establishment of LokAyuktas
2. Establishment of RTI Act
3. Citizen’s Charters.
4. Ethics and code of conduct for public employees
5. Establishment of Vigilance Commissions
6. Establishment of Panchayati Raj Institutions
7. Partnership of Government- Civil Society Initiatives and its
growing strength
8. Proposed Whistle blower Protection Act and Judicial
Accountability And Standards Bill
OBSTACLES TO ETHICAL ACCOUNTABILITY

 Special expertise and Information held by the bureaucrats by virtue of their position is
sometimes misused by them to fool the stakeholders as no one can surpass them in this
knowledge area.

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a. RTI is in place but the poor and needy cannot afford it due to the cost involved as well as the
information is sometimes never parted with leading the aggrieved to a harrowing experience
leading to the court rooms.
b. Full time status of bureaucrats make them corrupt, laid back and less accountable.
c. Massive expansion of bureaucracy has made the span of control of its heads/ ministers
really cumbersome leading to arbitrary actions on the behalf of the former.
d. Lack of Coordination between established government anti corrupt agencies and
institutions as well as their lack of teeth has lead to an even more chaotic situation on
checking corruption.
e. Misinterpretation of role and obligation amongst the bureaucrats.Their role and obligation
is to carry out policies for the upliftment of society and not towards the politicians for their
vested interest or unimpactful policy decisions.
f. Subversion where certain government servants pass on critical secrets to enemies in
exchange for pecuniary benefits or for sale of extra territorial loyalty.
ADMINISTRATIVE ETHICS ISSUE- THE WAY OUT

 Manipulation and lack of ethics lead to humongous negative effects and reduce efficiency in an
organisation.
 Therefore the enforcement and development of administrative ethics in public servants in
today’s welfare state times as well as the sensitive position they occupy is of utmost priority and
urgency. The essentials to ensure the practice of ethics in administration are:
a. Faith, determination towards pursuit of excellence of service in their professional activities
via methods of training and sensitisation.
b. Infusion of ethics into politics through trainings, etc so that it is passed on to their
subordinates that are the civil servants.
c. Relations between citizens and personnel to create favourable opinion of society and people
towards public services and servants.
d. Need for character building in public servants through education,adult education and
functional or job responsibility literacy.
e. Impartiality should be practiced and encouraged.
f. Political neutrality in civil servants.
g. Education of people and society regarding their rights the work of public servants and
redressal mechanisms available to the people against them and the government.
Ethics in Public Administration: Status

 In spite of growing interest in ethics, the public is not convinced that there has been much
improvement in bureaucratic behavior. This may be because schools of public administration
have not uniformly instituted courses on ethics.
 It is recognized that there is no uniform approach to developing course in or teaching of ethics in
schools of public administration. Public administration is a complex, diverse and exciting
discipline involving theories, paradigms and practices often borrowed from other sciences.
 Many scholars have bemoaned the fact that public administration has been in a state of chaos
for years. Some scholars have questioned whether it is a separate discipline at all.

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 But regardless of these allegations, there is no question about the need for and improvement of
courses in public administration.
 In this regard, it is noted that if public administration itself has an identity crisis, it should not be
surprising that ethics for public administrators is undergoing a worse identity crisis.
Ethics in Public Administration: Problems

 Public administration’s treatment of ethics involves many things, including whether to use
philosophy as its foundation and, if so, whose philosophy to use.
a. Should the works of Aristotle and St. Thomas Aquinas- involving the existence of a real,
external world with objective rules, laws and regulations- be the foundation of ethics?
b. Or should the philosophy of Plato and the German Idealists dictate the approach?
c. Do we live in a subjective world created by human consciousness, where consciousness
dictates reality ?
d. Are right and wrong things we interpret as such?
e. Are right and wrong relative to every actor? Or maybe there is a combination of both
approaches that can help in the teaching of ethics.
 In this context, John Rohr and Terry Copper, while recognizing the importance of teaching ethics
in schools of public administration, considers it difficult to do justice to ethics if classical or
political ethics (as he calls it) is not the foundation.
 Yet, this situation creates a dilemma: If ethics is derived from philosophy, philosophy will likely
be short-changed owing to a heavy course load for public administration students. On the other
hand, If schools offer no courses in philosophy, or only “a smattering of philosophy/ the students
are short changed.
 Rohr, thus develops an ethical foundation for bureaucrats based on the LLS, Constitution and on
opinions of the U.S. Supreme Court.
o Rohr writes: The best educated means of preparing bureaucrats to fulfil this obligation (an
oath to uphold the Constitution) is to use Supreme Court opinions on salient ‘regime values’
to encourage them to reflect on how these values might best influence their decision making
as persons who govern.
o According to Rohr, then, the best approach is to use Supreme Court Opinions on salient
regime values, encouraging public servants to consider how these values best influence their
decision making.
o Regime values are those of the political entity brought into existence by the creation of the
U.S. Constitution.
o Ruhr believes that regime values derived from studies of Supreme Court opinions reflect the
public interest or the salient values of society.
o However, while public administrators can make ethical decisions by studying opinions of the
Supreme Court,these opinions are often tedious and baring.
o Divergent opinions may provide a framework for decision making, but not necessarily for
making the right decisions, which is the core of ethics.
o Further, Rohr’s reliance on the Supreme Court to guide public administrators in discretionary
administrative decisions may be useful in the United States.

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 But, it is unlikely that these opinions wiil be helpful to public administrators in other countries.
This same criticism is applicable to Immanuel Kant s argument, which claimed that obedience to
law through application of the soailed Categorical Imperative made human actions ethical.
 Apparently something above and beyond the US. Constitution and the opinions of the Supreme
Court is needed to guide the ethics of public administrators.
o Other authors think that classical ethics is outdated, that the principles developed by human
reasons and related somewhat to theology are outmoded and no longer workable,
particularly forpeople working in the public sector.
o What they suggest, arid what practice frequently bears out, is a so-called ethical principle
that might be termed the “done thing.” Adolescents are great advocates of this principle:
“Everybody is doing it.“
o The claim that everyone is doing something does not always mean that everyone is actually
doing it; and if everyone is doing it, that does not necessarily mean that the done thing is
right. There must be a criterion tor morality (what is right or wrong) other than the “done
thing”.
 Business writers such as Peter Drucker, who make no distinction between public and private
administration, deny that there is a separate ethics for business. By implication, public
administrators do not need a separate code of ethics.
 Drucker writes: “But there is neither a separate ethics of business, nor is there one needed.
According to Drucker, the only ethics needed for all professionals is contained in the Hippocratic
Oath “primum non nocere” (“above all, not knowingly to do harm”). This oath contains a general
ethical principle of natural law and is addressed in classical ethics.
Ethical Dilemma
 A dilemma is a problem offering two possibilities, neither of which is practically acceptable, One
in this position has been traditionally described as “being on the horns of a dilemma” , neither
horn being comfortable.
 An ethical dilemma arises from a situation that necessitates a choice between competing sets of
principles. Thus an ethical dilemma can be described as a circumstance that requires a choice
between competing sets of principles in a given, usually undesirable or perplexing, situation.
 There are three conditions that must be present for a situation to be considered as ethical
dilemma-
i. The first condition occurs in situations when an individual, called the “agent,” must make a
decision about which courseof action is best. Situations that are uncomfortable but that
don’t require a choice are not ethical dilemmas.
ii. The second condition for ethical dilemma is that there must be different courses of action to
choose from.
iii. Third, in an ethical dilemma, no matter what course of action is taken, some ethical principle
is compromised. In other words, there is no perfect solution.
Types of Ethical Dilemmas

 Conflicts of interest are possibly the most obvious example that could place public sector
leaders in an ethical dilemma. Other types of ethical dilemmas in which public servants may find
themselves include conflict between:

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i. the values of public administration;

ii.justifications for the institutions;
iii.
aspects of the code of conduct;
iv.personal values and supervisor or governmental directive; professional ethics and supervisor
or governmental directive;
v. personal values and professional ethics versus governmental directive;
vi. blurred or competing accountabilities; and
vii. the dimensions of ethical conduct.
 These dilemmas are in three broad categories:
o Personal Cost Ethical Dilemmas- This dilemma arises from situations in which compliance
with ethical conduct results in a significant personal cost (e g, jeopardizing held position,
missing opportunity for financial or material benefit, etc.) to the public-servant-decision-
maker and/or the Agency;
o Right-versus-Right Ethical Dilemmas- This dilemma arises from situations of two or more
conflicting sets of bona fide ethical values (e.g, public servants’ responsibility of being open
and accountable to citizens versus that of adhering to the Oath of Secrecy/Confidentiality
etc,).
o Conjoint Ethical Dilemmas- This dilemma arises from situations in which a conscientious
public-servant -decision- maker isexposed to a combination of the above-indicated ethical
dilemmas in searching for the “right-thing-to-do”.
Examples of Ethical Dilemmas

 Following are some examples of ethical dilemmas for a public administrator-
o Would he keep silent when he finds that administrative discretion is abused, or that
corruption or nepotism are practiced? Or should he blow the whistle?
o Should he actively engage in pressure group activities because he sympathizes with their
views?
o Should he actively participate in party politics? Or should he endeavour only to promote the
public good and uphold the high standards of public office?
Resolving Ethical Dilemma

 Public servants should ask themselves following questions when making ethical decisions:
o Is the action legal and consistent with Government policy ?
o Is the action in line with my agency’s goals and Code of Conduct ?
o Do I think it’s the right thing to do?
o What will be the outcomes for the agency, my colleagues, other parties and me?
o Can one justify doing it?
o What would happen if the action was publicly scrutinised?
Laws, Rules, Regulations and Conscience as Sources of Ethical Guidance

Laws

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 Laws are similar to the legal form of rules. The term law is defined as a rule (for want of a better
word) that has been legally made to apply to everyone in a civilisation. In a democratic system, a
law is phrase that has been passed by a legislature.
o It can be said that a law is much more formal than a rule. Laws are prescribed by a higher
governmental office, usually the police and the prosecutor’s office.
o Laws are written in specific code so that they can be interpreted as required. Laws must go
through certain processes to become laws, including a voting process.
o Based on society’s beliefs, laws are created and enforced by governments to mediate in our
relationships with each other. Laws are made by governments in order to protect its
inhabitants.
 The judiciary, legislature, and public officials are the three main bodies in a government that
are assigned to the task of the creation of laws. Laws have to be approved and written by these
three branches of government before they are implemented and enforced by the police and the
military, with the help of the legal system comprising of lawyers and other government servants.
 Nevertheless, the enactment of a law varies based on the government. In dictatorship system,
the leader has the power to pass any law he wishes. In an egalitarianism, the bill to pass a law
must be voted on by the different parts of the government.
 Laws must be followed by all, including private citizens, groups and companies as well as public
figures, organizations and institutions. Laws set out standards, procedures and principles that
must be followed. A law is enforceable by the judicial system, i.e. those responsible for breaking
them can be prosecuted in court.
 There are various types of laws framed like criminal laws, civil laws, and international laws.
Breaking a law is a punishable crime and has drastic consequences such as hefty fines, jail time
and community service time.
Rules
 Rules are made by firms and individuals. Rules are codes of conduct that are designed for
specific situations, similar to customs but have immense importance because there is usually a
punishment related with them.
o Rules are more flexible and has less consequences. Rules are strategies that are provided to
maintain smooth functioning of an organization and to maintain peace and harmony among
its people.
o Rules are personal in nature, and they are often attuned as the conditions of the home
change. Rules assist people learn to prepare for living in society.
o Fundamentally, Rules are judicial legal findings as in a judge’s ruling on a case. It is the legal
principle or principles established in a legal dispute.
o Rules are a less formal set of guidelines which has little or no consequences depending on
the person that is imposing them. Rules are also applied by the person that is making the
rule.

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Difference between Laws and Rules

There is significant difference between rules and laws. Main difference is the consequences
related with breaking them. While each is developed to invoke a sense of order, fair play, and
safety, law is more powerful as compared to a rule. Laws are like the legal form of rules.
Laws are written in specific code so that they can be interpreted as needed. Laws must be
passed through due process in order to take effect. Rules are merely set and adjusted as the
need arises. In order to establish a society, it must follow specific rules and laws that help
govern its smooth running.
The laws and rules are established to guarantee that everyone is treated as the same. The laws
and rules ensure that each individual must follow a set of guidelines and if/she ends up
breaking any of those rules they must accept the consequences no matter their social standing
or position. The laws and rules used to retain smooth and efficient functioning of the society.
Regulation
 A regulation is a legal standard that has intention to shape conduct that is a by-product of
imperfection It may be used to recommend or ban conduct, to standardise incentives or to
change preferences. Regulations comprises of two factors that include:
o a process of monitoring and enforcing legislations and
o a written instrument containing rules that have law on them.
 The art of regulating is to fix, establish or to adjust by rule, method or established mode, subject
to governing Laws or ideologies. Regulations are made by the executive branch usually through
the various departments such as departments of state, agriculture, treasury, etc.
 Regulations are similar to rules in that they provide more specificity to a particular law passed by
a legislative body. It creates, limits, constrains a right, creates or limits a duty, or allocates a
responsibility.
 They are of various types such as legal restrictions promulgated by a government authority,
contractual obligations that bind many parties.
 Regulations are generally set by the executive for smooth functioning of the laws. Laws usually
provide framework for addressing a subject. Regulations are intended for providing a detailed
and intricate framework for making the laws work.
Conscience
 Conscience is a capacity, intuition or decision that help to distinguish right from wrong. In
psychological terms, conscience is defined as leading to feelings of remorse when a human
commits actions that go against his moral values and feelings of pleasure and well-being when
our actions, thoughts and words are in conformity to value systems of people.
o The phrase ‘conscience’ originates from the Latin conscienta, meaning ‘with- knowledge’. In
the Greek word translation, “conscience” means “moral awareness”. Commonly used
metaphors for conscience include the “voice within” and the “inner light”.
o It indicates ‘a person’s moral sense of right and wrong’ as well as consciousness of one’s
own actions. Expressions such as ‘gut feeling’ and ‘guilt’ are often applied in conjunction
with conscience.

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o In this sense, the conscience is not essentially a product of a rational deduction but is
something that can be influenced by the indoctrination of one’s parentage, social class,
religion or culture.
 The extent to which conscience informs moral judgment before an action and whether such
moral judgments are or should be based in reason has caused discussion through much of the
history of philosophy.
o John Locke debated that the conscience was proof for the thought of innate principles but
reflected whether these principles provide moral absolutes, whether they are objective or
subjective “if conscience be a proof of innate principles, contraries may be innate principles;
since some men with the same bent of conscience prosecute what others avoid.”
o Similarly, Thomas Hobbes practically noted that the conscience can be possibly mistaken
therefore opinions formed on the basis of conscience, even with full honest belief should
not always be trusted.
o According to Fromm, it is ‘a reaction of ourselves to ourselves; the voice of our true selves’
that guides us to achieve our full potential’.
o Sigmund Freud supposed that conscience was attained through experience and that it was
the part of the human mind that seeks to make sense of disorder and to deal with the
internal conflicts caused by guilt. He believed that the conscience was influenced by both
early and later life principles.
o Immanuel Kant expressed the idea of the critical conscience which was rather like a court of
law in our minds where the prosecutors or conscience excuse or accuse thoughts and
actions.
o He also claimed that although moral people feel contentment within the soul after following
the instruction of one’s conscience, they should not do good deeds for the sake of
experiencing this inner peace, rather they should do it as part of their duty.
o Rousseau expressed an analogous opinion that conscience somehow connected man to a
greater metaphysical unity.
 Psychological studies have revealed that a conscience aims to make moral decisions in
‘overwhelming forces of inescapable situations’ despite the risk of adverse consequences. If
conscience goes, then everything collapses, conscience is central to our identity and it is as
component in the moral decisions making process.
 However, failure to acknowledge and accept that conscientious judgements can be seriously
mistaken on account of their relativistic nature, may only promote situations where one`s
conscience is manipulated by others to provide unwarranted justifications for non- virtuous and
self-centred acts.
 Without adequate constraint of external, altruistic, normative justification, conscience may be
considered morally blind and dangerous both to the individual concerned and humanity as a
whole. Philosophical theories of conscience might be categorized under three headings.
 These are moral knowledge theories, motivation theory and reflection theories. People speak of
their conscience telling them to do. Such talk might imply that conscience is a source of moral
knowledge about what to do.
 Moral knowledge theories tries to explain how conscience affords us such knowledge. Some
religious theories of conscience interpret the voice of conscience as the voice of God within us.
Kant’s notion of conscience is a motivation theory set in the context of reflection theory.

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 Kant regarded conscience as distinct both from our awareness of moral principles and from the
faculty of moral judgement which are the source of moral knowledge that is to be implemented
in the process of self-examination.
Conscience is consistent guide to ethical decision making

 It is arguable topic whether or not the conscience is the most reliable form of decision making or
not. However, there are many different opinions on conscience when it comes to decision
making.
 The idea of the conscience has developed from early christian views, however it has now
developed through the psychological views of it being linked or part of the mind.
o The notion of the conscience was also later developed by Freud who advocated that the
conscience could be explained best by using scientific knowledge instead of using religious
views and opinions on the conscience.
o Secular perspectives of the conscience advocate the statement that the conscience is not a
reliable guide to ethical decision making as it determines that there is subjectivity within
moral values due to individual experiences and nurture.
o Ethical decision-making help people to make the correct decisions when it comes to moral
judgement. However, the secular approaches do not provide a precise method of
understanding what the right path is.
o St. Paul thought the conscience was a moral guide, which is within and does not need any
rules or theories to be followed. St Paul’s idea of the conscience is widespread to everyone.
 Butler believed that the conscience was a God given ability to reason. Due to the fact that they
were both christians St Paul and Butler established on many of their ideas.
o Butler thought that the conscience should be understood as a judge within everybody, a
judge that makes moral decisions for people.
o He recommended that as it is within people and appears to have a higher authority we
therefore must listen to it, and take on board the decision in which our conscience makes.
o One of the main weaknesses is the idea that not everyone can have the same type of
conscience as young children and people with mental illnesses will not have the same.
o Saint Augustine visualized the conscience as the voice of God speaking to people from
within. It is the law of God in the hearts of people that they use to understand right and
wrong actions.
o For him, the conscience must always be in every circumstance turned towards the good and
away from all that is evil.
o With religious viewpoint, the conscience is a reliable guide to ethical decision- making as it
relies on our innate ability to determine what is good and bad.
How can conscience act as source of ethical guidance for bureaucrats, politicians and
citizens in a democratic system?
 Conscience is the intrinsic intuitive capacity to discriminate between right and wrong. “Inner
Voice” is important especially in democracy as it has various participants such as citizens, NGOs,
corporates to be administered by the politicians who are elected by them only.
 But, at individual level, every person has conscience which assists them to take important
decision. Thus it can act as strong tool to evade away the individual self-centred thinking.

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Political Level
 Conscience can help to lesson corruption, nepotism and profit seeking behaviour. Thus, provoke
them to act in benevolence of society at large and uphold the constitution principles.
 At each and every decision they should keep in mind that they were elected to serve the citizens
and not to serve their own needs and greed.
Bureaucratic Level
 The crisis of conscience is important whether to just mere follow the orders from superior’s v/s
to follow the right path of judgement.
 The intrinsic voice of serving the nation maintaining highest standards of honesty and probity is
important as they are link between citizens and political figures.
Citizen Level
 Collective and individual conscience of inhabitants is very important because it describes the
existing society conditions such as keeping surrounding clean, actively contributing in elections,
dissent to undemocratic principles.
 Therefore adhering to it will also control mass prejudice such as riots and lynching of offenders.
Furthermore, it is important to dynamically excel and improve at individual and institution level.
 Thus if everyone acts and adhere to their principles values, the moral degradation can be
controlled and faith in governing institutions can be reinstituted.
Accountability and Ethical Governance

 Accountability and ethics are closely related. Effective accountability helps the achievement of
ethical standards in the governance system.
 For example, legislative or parliamentary control through questions, debates and committees
provide ample opportunity to the people’s representatives to raise, among other things, issues
of ethics and morality in the governance system.
 “Ethics can be considered a form of self-accountability, or an ‘ inner-check’ on public
administrators’ conduct” (Rosenbloom and Kravchuk, 2005). Self-accountability and external
accountability are interrelated for it is the latter that imposes expectations on the former.
 However, there are certain time-tested norms of moral conduct that determine the nature of
self-accountability.
 These precepts of moral philosophy may be considered as internal checks. Essentially, however,
it is the synthesis of externl as well internalchecks that determine the parameters of
administrative ethics.
 The higher the level of ethics, the lower the need for strong instruments of external
accountability and control Conversely, lower the level of ethics, higher the need for potent
external means for ensuring accountability.
ACCOUNTABILITY
 Accountability means answerability of officials for their decisions and actions. Accountability
ensures that officials in public, private and voluntary sector organisations are responsible and

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answerable for their actions and that there is redress when duties and commitments are not
met.
 In other words, accountability means liability to give a satisfactory account of the exercise of the
power of discretion vested in some authority to which it is due, failing which, some kind of
punishment may follow.
 The strength of accountability and transparency in a programmeora system is expressed by its
efficiencies and effectiveness, which in turn may be measured by the extent and quality accrued
by the target beneficiaries.
Dimensions of Accountability
 The core values involved in the question of accountability are democracy, efficiency and ethics.
Adam Wolf acknowledges at least five dimensions in the concept of accountability:
o Legal dimensions (Rule of Law)
o Fiscal dimensions (Use of public funds)
o Policy and performance dimensions (Meeting goals, promises and expectations)
o Democratic dimensions (Informing and consulting legislatures and citizens)
 Ethical dimensions (Behaving in accordance with codes of ethics or general moral standards}.
These dimensions ell exist implicitly in the everyday affairs of public administration and guide
behaviour ever if they are not raised as explicit concerns.
Responsibility and Accountability

The term accountability should not be confused with the term responsibility. Responsibility refers to
the public servant’s responsiveness to the public, by methods and procedure to enforce the public
will, while accountability denotes the specific method and procedure to enforce a public servant’s
responsibility.
World Bank’s View on Accountability

 World Bank has identified (two broad types of accountabiIity-
o Micro Accountability
o Macro Accountability
Micro Accountability
 Micro accountability remains critical, especially in ensuring government responsiveness to the
views and needs of the public for which services are intended. The concepts of ‘exit’ and ‘voice’
have been used to underscore the importance of micro accountability.
 For instance, competition or scope for the public to ‘exit’ when dissatisfied with a service, may
have a salutary effect on the agency concerned by reducing its revenues and then by making the
careers or pay of the staff less secure.
 Similarly, ‘voice’ in the sense of participation of the public may influence the quality or volume
of a service through some form of articulation of preferences of demand.
 Accountability is increased, if such Voice’ makes the public agency more responsive to public
demands World Bank emphasizes to find out the ways of increasing ‘exit’ and Voice’ at the
design stage of service delivery projects to enhance the accountability and improve the service
delivery system.

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Macro Accountability
 World Bank has stated that the macro accountability has two dimensions-
o Financial accountability
o AccountabiIity for overall economic performance
 Financial accountability involves, as the Bank document identifies-
o A properly functioning government accounting system for effective expenditure control and
cash management;
o An external audit system which reinforces expenditure control by exposure and sanctions
against misspending and corruption; and
o Mechanisms to review and act on the results of audits and to ensure that follow up action is
taken to remedy problems identified.
o Accountability for economic performance involves review of resource use inpublic
investment programs and general strengthening of the capacity of governments to monitor
and evaluate their own economic performance including proper resource use.
Exit, Voice and Loyalty Theory

 This theory was given by Albert O. Hirschman. According to this theory, members of an
organization, whether a business, a nation or any other form of human grouping, have
essentially two possible responses when they perceive that the organization is demonstrating a
decrease in quality or benefit to the member:
o they can ‘exit’ (withdraw from the relationship); or,
o they can’voice’ (attempt to repair or improve the relationship through communication of the
complaint, grievance or proposal for change).
 For example, the citizens of a country may respond to increasing political repression in two
ways; emigrate or protest. Similarly, employees can choose to quit their unpleasant job, or
express their concerns in an effort to improve the situation.
 While both exit and voice can be used to measure a decline in an organization, ‘voice’ is by
nature more informative in that it also provides reasons for the decline, Exit, taken alone, only
provides the warning sign of decline.
 Exit and voice also interact in unique and sometimes unexpected ways; by providing greater
opportunity for feedback and criticism, exit can be reduced; conversely, stifling of dissent leads
to increased pressure for members of the organization to use the only other means available to
express discontent, departure.
 The general principle,therefore, is that the greater the availability of exit, the less likely voice will
be used. However, the interplay of loyalty can affect the cost-benefit analysis of whether to use
exit or voice.
 Where there is loyalty to the organization (as evidenced by strong patriotism politically, or brand
loyalty for consumers), exit may be reduced, especially where options to exit are not so
appealing (small job market, political or financial hurdles to emigration or moving).
 By understanding the relationship between exit and voice, and the interplay that loyalty has with
these choices, organizations can craft the means to better address their members’ concerns and
issues, and thereby effect improvement. Failure to understand these competing pressures can
lead to organizational decline and possible failure.

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Government Accountability
 Government accountability means that public officials- elected and unelected- have an
obligation to explain their decisions and actions to the citizens.
 Government accountability is achieved through the use of a variety of mechanisms-
political,legal and administrative-designed to prevent corruption and ensure that public officials
remain answerable and accessible to the people they serve.
Strengthening of Ethical and Moral Values in Governance

 Role of ethics and moral values is significant in bringing good governance. There are numerous
ways to strengthen the moral values in governance.
1. Principle of Selflessness
i. Officers of public offices should take decision solely in terms of public interest.
ii. They should not do anything to gain financial or other material benefits for themselves, their
family or their friends.
2. High Integrity
i. Holders of public life should not place themselves under any financial or other obligation to
outside individuals or organizations that might influence them in the performance of their
official duties.
3. Objectivity
i. In conducting public business, including making public appointments, awarding contracts, or
recommending individuals for rewards and benefits, holders of public office should make
choices only on merit.
4. Accountability
i. Owners of public offices should be as open as possible on all the decisions and actions that
they take.
ii. They should record reasons for their decisions and restrict information only when the wider
public interests clearly demand.
5. Honesty
i. Holders of public offices have a duty to declare any private interest relating to their public
duties.
ii. They can take steps to resolve conflicts arising in a way that protects the public interests.
6. Leadership
i. Holders of public offices should promote and support these principles by way of leadership
and examples.
7. Sense of belongingness with the Public

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i. In order to implement ethics in governance, the elected representative like village Panchayat
members, Block Samiti members, Zilla Parished members. Elected members to the local
bodies, MLA’s and MPs should develop a sense of belongingness with voters of their
constituencies.
ii. They should listen and redress their grievances by visiting them periodically. There should
not be any communication gap between the two.
8. Responsible and Responsive Civil Servants

i. Each Ministry is headed by a senior level bureaucrat who is a link between the public and
the government.
ii. These high level officers should give proper feed-back on the problems faced by the public
to the concerned Minister and suggest the feasible measure which can be taken to solve the
problem within the ambit of law.
iii. If possible, they can also suggest to amend the law to address the problem properly.
9. Friendly relation with people

i. If there are cordial relations between the government and the people at different levels,
then governance will transform into good governance.
ii. People will feel that they are part of the administration, and they shall better understand
the position of the government if any of their critical demand is not met with, due to any
technical reason.
iii. It is said that ethics and moral values can bring good governance and maximum public
welfare therefore government and private employs must promote ethical practices in
administration.
ETHICAL ISSUES IN INTERNATIONAL RELATIONS AND FUNDING

 International ethics refers to the good that international interactions, exchanges, relations can
bring to our planet earth and to all life forms and which can beharmed by unfriendly, hostile,
uncooperative behaviours.
 Aware that the harms that one country can do to another and to the international space and
relations, international ethics offers insights into how nations and other entities treat other
nations and its people.
 International ethics is a good which can be harmed and also knowledge of international ethics
provides us with insights to assess the good and harms, the rights and wrongs, which can occur
in the international space.
o For example, the UN has been promoting various principles of friendly and cooperative and
peace related humanitarian international actions by all the member countries.
o This community of nations which stands to respect other nations and their interests, is itself
harmed by the dominant nations willing to impose their interests.
o They will on other poorer nations and poorer nations unwilling to cooperate without being
treated as equals.
 Various agencies of the UN by their presence and action in various countries, promote certain
universal principles that transcend the boundaries of individual nations and the ethical principles
pursued by individual nations.

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 International ethics is not simply an ethic of some dominant country, it is not simply an ethic of a
powerful country having obligations towards others because of the power they have over
others. International ethics may be fruitfully defined as that which enables one to participate
more actively in shaping and building good international community.
o The vision of international community that every country has and reality of an international
community provides us with food for thought on what ought to be the nature and purpose
of investing in international relations to build an international community.
o The challenges of international conflicts have to be addressed with courage to embark upon
studying what international community promotes and builds, whether perpetual peace and
justice provide the much needed foundation on the basis of which it can thrive and flourish.
o What would be necessary for the existence of such an international community of peace and
justice between nations and people?
INTERNATIONAL SPACES OVER TIME

 Nations and multinational organizations were the first ones to cross the boundaries of national
domestic spheres to trade or interact with other nations and organizations.
 Every nation had its own focus, as nations adopted the production methods, technologies,
political systems and legal systems from other nations, similar problems began to appear in
almost every country.
 These were not regarded as shared problems that required joint action by all those affected by
it. Each country was largely responsible for problems occurring within it guided and directed by
its own governments, culture, politics, legal systems, institutions, etc.
 But overtime today, we see more and more interconnectedness between people and nations,
we see greater interdependence and greater shared responsibilities which have emerged and
their number has increased and which call on nations and other multinational organizations
having presence in more than one country to act jointly.
 In many spheres, international joint action becomes necessary. International ethics may be seen
as responding to this need for international action. International ethics guides international
relations and resolution of international conflicts.
 International ethics guides the international environmental effort to fight against ozone
depletion, global warming, etc which are common shared problems and which require actions
from many nations who are major contributors to forces generating such problems.
 International spaces have been filled with governmental organizations and non-governmental
organizations having ownership and /or control over issues and aspects that are central to life.
There have been democratic governmental organizations and non-democratic governmental
organizations interacting and operating in that space.
 There have been for profit business corporations (MNCs, TNCs, etc) and not-for-profit non-
governmental organizations operating in the international space. International spaces are filled
with goods and services that are global commons, global public goods and services, collective
goods and services that are owned or controlled by more than one individual organization, that
are central to human life.
 These spaces are low on individual collective power over nature and the social world, but are
high on coalition (of) collective powers.

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 Who is excluded from the international space and who is included in the international space and
the reasons and rationality of those exclusions and /or inclusions have a bearing on the
expanding nature of the international space and the quality of international relations existing
and those continue to be built in it.
 Recognizing the power that human collectives have over nature and economic and social goods
and services in the international spaces, it is easier to see how different organizations may be
working at counter purposes, and / or competitive purposes.
 It is also easy to see how and why harms may be done by one against another and without any
hope of international justice except those which are accepted as human rights.
 Many issues which have deep ethical implications are present in international spaces that we
create or in which we participate in many different ways. International spheres / relations can
easily thrive in a global system renewed constantly by greater levels of and sensitivity to
international ethics.
COMPETITION BETWEEN NATIONS

 Nations compete in the international space and national advantages are the drivers of the space
of international ethics and what happens to it. National disadvantages will work against the
expanded role of that nation, while national advantages are likely to facilitate its expansion.
 It is easier to grasp the international problems and the ethical issues associated with
international problems when keeping the picture of various nations competing with one another
for:
o (natural) resources,
o competing for markets,
o competing for investments,
o competing for talents,
o competing for technology and education.
 Even competition for health and related services is not far behind. Nations have been ranked on
the basis of how competitive they are and how they are enhancing their competitive edge for
the long term future.
 Nations that do not show potential for competitiveness appear to be left behind, partly due to
its own policies and political interests.
 Dominant nations, their strategies appear to be the ones that are meeting any International
Ethics kind of success. Other nations are not so fortunate.
 The measure of success of a nation in international and global space is indicated by several
indices such as:
o “the freedom index”,
o “human development index”,
o “happiness index”,
o “the human capital index”,
o “the natural capital index”,
o “the standard of living index” etc.
 These aspects along with other indices such as “poverty index”, “the inequality index”,
“sustainability index” etc., give a fairly good idea of competitiveness of a country compared to
others.

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 The wide differences between nations are causes for concern and it is also a driver as nations
take actions domestic and international actions which are aimed at achieving improved ranking
and positions compared to others.
 Nevertheless, competition is everywhere and nations have begun to learn from each other and
are competing to be better nations with better governments.
INTERDEPENDENCE, COOPERATION AND COLLABORATION

 In the shadows of dominant countries, other nations have evolved certain international
cooperation and collaboration agreements for a variety of reasons. We are used to seeing one
country (a super power) having a dominant role in international relations between nations.
o International cooperation and collaboration are a measure of countries interdependence
with other nations. Such international cooperation provides a measure of international
order between them.
o It is simpler to conceive of international ethics in the context of cooperation and
collaboration as these are based on recognition of their mutual interests in each other.
 What one country has done to the people of another country, what one group has done to
another group provides the general field for international ethics.
 There may be several fields in which international cooperation has worked well and thus
provides the basis for further cooperation and collaboration.
 Turning hostile relations and atmosphere of distrust between nations and their establishments
can be turned into cooperation which can ensure some level of international peace between
people.
 Interdependence between nations through cooperation and collaboration, can provide the basis
for a “law of peace” to be established for relations between people. International relations can
be guided by the law of peace.
DIPLOMATIC RELATIONS AND UNDERSTANDING

 A small piece of every nation is in every other nation through its diplomatic presence and is
immune from the domestic laws of the country in which it is present.
 Diplomatic initiatives are always available for nations to resolve their differences and come to
agreements that ensure peace and security and also to further their rights and interests and to
share duties and responsibilities.
 The movement of people can be facilitated by the diplomatic presence and provides another
driver for international relations and international ethics which guides it. Each country may have
its own interests in another country and or in promoting ties with other countries.
 In each country recognizing the other, there is the “international law of peace”, even though it
may not resolve all conflicts between nations. A rule of reason can prevail under such
circumstances.
POWER AND INTERNATIONAL ETHICS

 At various times, the world attention, gets itself focused on the most powerful nation, both
domestically and internationally, a nation that is willing to impose its powerful will on the world,
taking into task any nation that challenged its authority and its interests.

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 Many wars and conflicts are indeed triggered by the unilateral moves of dominant nations
against other nations that threatened its global interests. What powerful nations have done to
other nations cannot be forgotten.
 International ethics is influenced by various philosophies of international and national power
and how this power is played out. There are beliefs in some quarters that power does not follow
any rules and this reasoning (thought faulty) is extended to apply to international spaces and
relations.
 In its so called “anarchy” nature, this belief in power, particularly power not following any rules
tilts the global balance in favour of powerful nations and entities and is unfavourable to less
powerful nations and entities.
o What prevails is simply the anarchy of a dominant power imposing its will at will on other
nations and entities.
o Under such assumptions, naturally, justice follows national boundaries without any space for
international or global justice.
o In contrast to “anarchy” nature of power, that is, power which does not follow any rules, we
can have alternative belief that, yes there is international power.
o But that power follows certain rules which provide an international order which is
qualitatively different from the previous case of anarchy.
 Power that follows rules of international order is better than power that does not. Some
philosophical questions may still be raised: Why power and why follow rules if one has power.
 International humility and patience are indeed rare, true. But the question can still be asked
regarding the dynamism of (dominant state) power.
PHILOSOPHY OF INTERNATIONAL ETHICS

 Realism focuses on a single reality, international power. It is the power that one nation has to
influence another nation directing and shaping its destiny in the direction it desires namely into
a kind of tacit servitude of serving and protecting its interests at the cost of the other.
o In the international realm, realism holds that the only thing that really matters is power –
what power a country has.
o Nothing else matters – morality, ethics, law, and political systems, legal systems, cultural
systems – are all irrelevant.
 The argument appears to be that in international sphere human nature is such that no one can
be trusted each seeks to dominate the other. Either one country will dominate the other or the
other will try to dominate the first, so it is better to be the dominating or dominant country.
 The realist approach to international sphere or international relations is simply to deny any role
for common or shared ethics, and create an ethically neutral zone or an ethics free zone which
can be filled by the power of one who is dominant.
 There is nothing in realist conception or in realism that prevents someone from making an
ethical assessment of the power motivation and the dominant actions of the dominant country
and be able to withstand such pressure and claim it to be unethical or unjust.
o For many people, the attempt to control other people and direct their destinies in the
international sphere is repugnant and demoralizing.
o The old saying may be invoked implicitly, that power corrupts and that absolute power
corrupts absolutely.

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o When power is the sole basis of international relations and international action, assessments
will be coloured by such perceptions.
 Realism conceives the international sphere as a space where “anarchy” prevails and there are no
rules. Why would anyone follow rules made externally or made by another? What binding
power those rules have that are not made internally? Is a country free if it follows the rules
made by another?
 This claim that there are no binding rules in the international sphere that international relations
are committed to follow appears questionable. What if there were agreements between
international parties, would those agreements be binding and if so would the rules on the basis
of which such agreements made appear to hold.
 As a test case, consider “human rights” or “human dignity”. Do these rules hold in the
international sphere and in international relations? Who will enforce them if they hold? Who will
hold another accountable for their violations?
 Thus in realist conceptions, if power is the only thing that works in international relations, then
human rights violations or human dignity violations will continue to occur and there will be no
one to stop them except a power greater than itself.
 Thus the realist position or realism tends towards a preference for war as the ultimate way to
resolve international conflicts to bring about international order by imposing the order of the
winners of the conflict.
 Realism sentiments within nations may make it rational to pursue power, create power distance
and dominance over its neighbours and at the same time seek to balance power by aligning
sufficient number of states for a country to counter the power influence of those nations
opposed or against it.
 In this way realism, in thought, word and deed, creates and spawns a world fundamentally
divided into two. There will be no unipolar world for sure, the fact that one exists after the
collapse of the Soviet Union is only a temporary phase, somewhat illusionary.
 The world soon responds by restoring and creating balance of power. What exists, through the
realist conception is only a multiplicity of different bipolar worlds and their coalitions. Such a
world where balancing power exists certainly will not rule out world wars or wars in general.
 Pursuing realism and realist policies will be detrimental to our common world with its common
vision of a humane future for everyone. Realism is incapable of enabling such an achievement.
o Realism as a field is necessary ingredient for creation of a superpower and a relative
independence or servitude as the case may be for others in relation to it.
o Since currently only one country still retains the status of a superpower, and others are
expected to follow its lead, the silent dreams of many others to be superpowers of the 21 st
century are just fantasy illusions.
o The power flows have rules. Realism contradicts in so far as it conceives of power in terms of
“anarchy”, without any rules. Philosophy hopefully uncovers and lays bare the rules that
power follows to exert its control and its direction.
 Realism is a theory of balance of power that maintains the power balance in the world. All we
can expect is that the most powerful nation on earth will have no one to challenge its power and
so there will be peace.

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o This is just a conventional thinking. Deeper reality shows, its power is already being
challenged, the name and form of war has changed, shadows overcast over many relations
have not disappeared, they remain.
o There is no real peace. Realism does well in terms of trade as trade terms are set by the
powerful against the weak to reflect the power imbalance and the power advantages.
o That’s how the world works perhaps, but it is hardly a philosophy for what ought to be, it is
hardly a philosophy of normative considerations.
o There will be some international sphere, limited and defined by trade relations and by wars.
 International ethics then, in so far realism is concerned is just the field of international trade
wars and international war and peace and the necessity of having some kind of “international
justice” dictated and dominated by the rule of the powerful, the dominant country in the
relation.
Idealism and International Ethics

 Idealism focuses on “common interests” between nations, and not necessarily at the power or
power distance or at power balance.
 It seeks to build the international sphere on the basis of idealist values that are of common
interests to nations participating in any international issues and problems.
o Idealism built on common interests appears to be stronger in power than unilateral power of
realism and hence can have the potential to replace realism in thought, word and deed and
as a philosophical thought.
o Idealism has the potential to create more lasting hopes of peace and of a growing
international sphere where mutual interests and common concerns are addressed more
earnestly in the true spirit of pursuing what can be regarded as human purposes of human
flourishing.
o Thus the rise of idealism holds out a promise, even though conflicts remain. Idealism points
to trade interests between nations as common interests and as platforms to build better,
growing and mutually beneficial international relations.
 The rise of international and global market place and the growing interdependence between
nations are shown to be aiding and being supported by idealism. Human beings and humanity as
a whole is capable of displaying high levels of idealism.
o In idealism, the international system, international order and the international sphere follow
rules, laws and institutions. In idealism, thus ethics, morality, laws, legal systems,
international institutions all have a central place.
o Thus idealism contrasts sharply with realism which emphasized only power. The world
becomes less dramatic and less dangerous, even though conflicts are far from removed.
o International treatises, the UN organizations and the system, have a central role and
supports idealism and idealist thinking endorses it.
o These provide international ethics guidance, even though it is voluntary, it has rational force
of assent and appeal to conscience to be accepted and guided by it.
o All different institutions of the UN may not have the same force, but in their respective
contexts, the values and beliefs expressed and communicated do hold respect.

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 Idealism may hold out the “olive branch”, a symbol of the covenant between God and Man by
offering the best humanity has to offer collectively for the world and for the future of the world
for its future generations.
 Idealism is a movement towards peace and peace initiatives and strategies, as opposed to
outright power play in wars or through wars. International sphere includes more than power and
politics.
 It challenges the dominant views of realism which holds that war is a necessary consequence or
necessary evil too easily justifiable by the powerful.
 Idealism does not rule out the possibility of war, but holds out an “olive branch” to those who
can see reason and faith.
Constructivism and International Ethics

 Constructivism focuses on things like foreign policy, diplomatic initiatives, etc to shape
international relations and the international sphere where a country has credible influence. In
these things, the focus is on domestic politics and how it shapes foreign policy with what goals in
mind.
o It is more pragmatic with domestic political regimes as seats of international action and
initiators of international action and its implementation.
o Every nation and every state create a sense of national identity in various ways and nurture
it through historical and cultural celebrations and means.
 Thus, national identity is constructed and it in turn is said to influence the way the nations
interact. Basically constructivism allows for influence of national identities and its constructions
on the international sphere.
 A flavour or dimension is added through identity politics into international sphere and relations.
International sphere can also be a place where various identities can melt into more humane
understanding between people in and through the ‘give and take’ of identity respects and
exchanges.
 Constructivism shows that nations resist any threat to their identities, nationalism, national
sovereignty that are perceived. They need not be real at all. This works against attempts to make
the world a better place or to change world systems or world order.
o All such attempts by other nations, however rational they may be, will be resisted if national
identity is not respected.
o All desires to transform the world by any nation are sacrificed at the altar of identity,
politics, and constructivism of other nations.
o Constructivism gives more power to individual nations through its focus on national identity
(rather than national interest), which is politically a more powerful instrument to having less
to do with other nations in the international sphere than with what furthers and promotes
its own identity.
o In the 21st century there is rise of identity politics and political power arising out of it
harnessed by interested parties for their own advantage. What happens in the international
sphere and international relations is far from certain.
 National identities based on religious domains span across countries and will be able to define
international relations. Religious “fault lines” of conflict may open up and trigger problems not
only in the international sphere but within a nation itself as a result.

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 It will spread the fire of violence and anger rather than the sparks of peace and humane
relations. Identity tensions will be strongly felt and whatever feeds identity tensions and forms
them is far from allowing people to be truly free and open in shaping the one world destiny of all
of human kind.
 We may be unconsciously constructively pursuing the “Huntington Dream” of an international
conflict based on the identity politics of world religions. Cultural identities may not all be good,
but they are to be respected even when critically assessed for their role in shaping international
spaces, international sphere and international freedoms.
Cosmopolitanism and International Ethics

 Cosmopolitanism shares something in common with idealism, namely, do the right thing. The
right thing to be done is to behave as you would want others to behave. Behave in ways that you
think others should behave.
o It focuses on how we interact in a global community. What is relevant is the global
community since we interact with people in other countries.
o It holds that since we interact with other countries, we have a moral duty to treat people of
that country morally as moral people.
o Hence the prescription in cosmopolitanism is to “do the right thing”. Cosmopolitanism thus
empowers international ethics and the development of “global values and ethics” fully.
 Cosmopolitanism argues for following morally lawful behaviour. Where rules and laws do not
exist, it would require that we come together and negotiate the rules and laws that are ethical
to follow and follow them in our relations with people of other countries and in our interactions
with people of other countries.
 Cosmopolitanism is able to welcome people of all origins and identities without any
discrimination or treatment of them as means to some ends. It will give importance to people,
their freedom and rights rather than sovereignty of nation states.
 Some may even use it to argue for a world government which overrides national interests and
boundaries. It is certainly capable of universality in thought, word and deed, although we may
not yet see the development of such possibilities today.
 Cosmopolitanism focuses on the international community as having an important and in some
cases decisive role on determining what a country or nation should or should not do morally.
 Such developments may be resisted by nations who feel they are at the receiving end of world
opinion or world politics and which prefer their national identity and sovereignty sentiments.
Constrained Choices and International Ethics

 International ethics guides our choices in the international sphere, but evidently our choices are
constrained rather than free. The choices may be constrained by the necessity of pleasing the
domestic political support and widening the support for the ruling party or coalition.
 The choices may be constrained by the identity politics. The choices may be constrained by
power equations and balances. Many practical constraints may also be present, surely
economic constraints and national interest constraint will not be missing when choices have to
be made.

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 Some have argued for preference given for national interests when it is a choice of national
interests versus global interests. It means that governments are expected to value the welfare of
their citizens more than that of others.
 While accepting in general that a country’s goals must be defended as morally right thing to do,
a country’s goals and interests are several and may be in conflict within themselves without any
clarity and more confusion that the general acceptance that it is moral to defend a country’s
goals becomes meaningless.
 It has no normative force. It is no doubt that morality implies choice between two or more
alternative states of action. It is sometimes argued that if the practical necessities or constraints
are such that they concern the survival or extinction of a state or its identity, any such
constraints make morality or ethics, or law or political systems, irrelevant.
 Obviously as in the case of realism, that is the premise of a threat experienced by a power from
another stronger or super power. In the end, ethics and morality considered as constraints or as
practical constraints really means that ethics and ethical goals and objectives are not pursued to
start with.
 The objective is something else. In such cases agreeing to such international ethics is to begin
with a failure. Ethics must reflect as a central concern to be pursued as a basis for all other
international action.
Equality of Life and International Ethics

 Every life may be considered as having equal moral weight. In this belief, valid if one holds such
beliefs, it is the global interest that count as much as domestic interests. No preference is given
by governments or by anybody else to the welfare of citizens of that country.
o There are no differentiating factors recognized by such governments that distinguish
between the welfare of its citizens and those belonging to another country.
o Everyone has equal rights. Everyone is treated equally in equal respects. In such cases and in
the context of such beliefs of equality of life, it becomes meaningful to make sacrifices for
others.
o People rarely sacrifice themselves for their own near and dear ones. But people sacrificing
themselves for others in the international space are truly worthy examples of human
greatness and the greatness to which human spirit can rise.
 Respect for life of the unborn in the international sphere implies that countries do not push
their own agendas under the guise of controlling rising populations in their own and other
countries.
o Respect for life should guide international ethics, in thought, word and deed. When that day
comes when we respect the right to life of the unborn, it will be truly a day of universal
peace.
o If you have to make decision about which world you want to live in, without knowing what
position you will be in, you would choose a world that protects the weakest of the weak, the
least advantaged.
o Such a world is full of meaning of life and in such a world equality of life will be an accepted
principle. Such a world would accord the unborn right to life, in the principle of equality of
all life.

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Economic, Social and Environmental Frameworks and International Ethics

 Though context may differ, there are a number of frameworks available for making decisions
concerning international actions which have economic, social, and environmental
consequences and impacts over future generations.
 There is a gap between any system of global and international values and international ethics on
the ground, because of the widening gap in ground realities between nations and international
organizations due to levels of difficult conflict.
 The frameworks are evolved to provide a way out of the conflict and they are useful to deal with
a number of conflicting ideas on international ethics. The framework provided under UN by its
various UN agencies, for example,:
o the framework of Universal Declaration of Human Rights,
o the framework of Universal Declaration of Human Genome and Human Rights,
o the various international declarations and conventions
 They do provide the necessary framework for cooperative and collaborative international action
necessary to solve international problems. Essentially universal value based frameworks are
most helpful as they provide space for all participants to make their representation and
contribution.
 There are several global institutions concerned with the global economic order, others with the
global information order, still others with the global environmental regimes or order, etc.
 Each of them offers frameworks within which its members are expected to make their choices
and decisions and those choices are respected and supported by virtue of the frameworks
agreed upon.
CORPORATE GOVERNANCE
What exactly is Corporate governance?
 Before going deep into the topic, let’s first understand the structure of a company or
corporation. There are a few entities which revolve around most companies and those include
owners (shareholders), board of directors, management and the stakeholders such as
employees, suppliers, customers as well as the public at large.
 A good company should not only make profit for the founders or owners, but should benefit all
stakeholders.
Interests of ordinary shareholders should never be compromised

 Shareholders are the true owners of the corporation and all governance policies of a corporation
should uphold this fact.
 Corporate governance is the ethical practice of corporate administration where the interests of
shareholders and other stake holders are always given high priority.
What is corporate governance?

 Corporate governance is a concept which revolves around the appropriate management and
control of a company.

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i. It includes the rules relating to the power relations between owners, the board of directors,
management and the stakeholders such as employees, suppliers, customers as well as the
public at large.
ii. Sustained growth of any organization requires cooperation of all stakeholders, which
requires adherence to the best corporate governance practices.
iii. In this regard, the management needs to act as trustees of the shareholders at large and
prevent asymmetry of benefits between various sections of shareholders, especially
between the owner-managers and the rest of the shareholders.
iv. In general, corporate governance corresponds to fair, transparent and ethical
administration of a corporation giving maximum benefits to the share holders.
v. Ethics is at the core of corporate governance, and management must reflect accountability
for their actions on global community scale.
vi. Corporate governance is a relatively new term used to describe a process, which has been
practiced for as long as there have been corporate entities.
vii. This process seeks to ensure that the business and management of corporate entities is
carried on in accordance with the highest prevailing standards of ethics and efficacy upon
assumption that it is the best way to safeguard and promote the interests of all corporate
stakeholders.
Guidelines for Corporate Governance At International Level

Cadbury Committee Report- The Financial Aspects of Corporate Governance (1992).
Greenbury Committee Report on Directors’ Remuneration (1995).
Hampel Committee Report on Corporate Governance (1998).
The Combined Code, Principles of Good Governance and Code of Best Practice,
London Stock Exchange (1998).
CalPERS’ Global Principles of Accountable Corporate Governance (1999).
Blue Ribbon Report (1999).
King Committee On Corporate Governance (2002).
Sarbanes Oxley Act (2002).
Higgs Report: Review of the role and effectiveness of non-executive directors
(2003).
The Combined Code on Corporate Governance (2003).
ASX Corporate Governance Council Report (2003).
OECD Principles of Corporate Governance (2004).
UNCTAD Guidance on Good Practices in Corporate Governance Disclosure (2006).
Corporate Governance Initiatives in India

 In India, corporate governance initiatives have been undertaken by the Ministry of of Corporate
Affairs (MCA) and the Securities and Exchange Board of India (SEBI).
o The first formal regulatory framework for listed companies specifically for corporate
governance was established by the SEBI in February 2000, following the recommendations
of Kumarmangalam Birla Committee Report.

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o It was enshrined as Clause 49 of the Listing Agreement. Further, SEBI is maintaining the
standards of corporate governance through other laws like the Securities Contracts
(Regulation) Act, 1956; Securities and Exchange Board of India Act, 1992; and Depositories
Act, 1996.
o The Ministry of of Corporate Affairs had appointed a Naresh Chandra Committee on
Corporate Audit and Governance in 2002 in order to examine various corporate governance
issues.
o It made recommendations in two key aspects of corporate governance: financial and non-
financial disclosures: and independent auditing and board oversight of management.
o It is making all efforts to bring transparency in the structure of corporate governance
through the enactment of Companies Act and its amendments.
 India’s SEBI Committee on Corporate Governance defines corporate governance as the
“acceptance by management of the inalienable rights of shareholders as the true owners of the
corporation and of their own role as trustees on behalf of the shareholders. It is about
commitment to values, about ethical business conduct and about making a distinction between
personal & corporate funds in the management of a company.”
 It has been suggested that the Indian approach is drawn from the Gandhian principle of
trusteeship and the Directive Principles of the Indian Constitution, but this conceptualization of
corporate objectives is also prevalent in Anglo- American and most other jurisdictions.
 With the goal of promoting better corporate governance practices in India, the Ministry of
Corporate Affairs, Government of India, has set up National Foundation for Corporate
Governance (NFCG) in partnership with:
o Confederation of Indian Industry (CII),
o Institute of Company Secretaries of India (ICSI) and
o Institute of Chartered Accountants of India (ICAI).
Understanding Corporate Governance

 Just like the governance of a country, the governance of a corporation is also not an easy matter.
Almost all modern corporations work transparently; there will be elections to the top posts.
Share holders elect the Board of Directors.
 Board of Directors appoint the officers (management) for day to day administration. They will
run the company on behalf of share holders. Commitment to the highest standards of ethics and
integrity should be an uncompromising principle of every corporation.
 The objective of establishing a good governance structure is to foster entrepreneurial drive
within a system of accountability to ensure maximum returns to all stake holders.
 While it is debatable whether consensus can be reached on what is ‘Best Practice’ in terms of
Corporate Governance, considering the structure, complexity and diversity of organizations.
 However, as a responsible corporate citizen we make sure that we adhere to corporate best
practices at all times. Corporate governance is based on principles such as:
o conducting the business with all integrity and fairness,
o being transparent with regard to all transactions,
o making all the necessary disclosures and decisions,
o complying with all the laws of the land,
o accountability and responsibility towards the stakeholders and

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o commitment to conducting business in an ethical manner.

 Another point which is highlighted in the SEBI report on corporate governance is the need for
those in control to be able to distinguish between what are personal and corporate funds while
managing a company.
Importance of Corporate Governance

 The term is highlighted whenever there are corporate frauds. Corporate Governance and Code
of corporate governance calls for ethical and accountable corporate administration. The best
practices of corporate governance are important not only for public or shareholders, but also for
the very existence of the company itself.
 Adopting corporate governance will increase the value, sustainability and long- term profits.
These days, it is not enough for a company to merely be profitable; it also needs to demonstrate
good corporate citizenship through environmental awareness, ethical behavior and sound
corporate governance practices.
 Corporate governance became a pressing issue following the 2002 introduction of the Sarbanes-
Oxley Act in the U.S., which was ushered in to restore public confidence in companies and
markets after accounting fraud bankrupted high-profile companies such as Enron and
WorldCom.
 Importance of corporate governance was highlighted at the time of Satyam Fraud and also when
Kingfisher Airlines was making loss.
*****
7. PROBITY IN GOVERNANCE
INTRODUCTION

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 In recent years, the word governance has become a very fashionable term and is being used in a
variety of ways and covers a large number of organizations both in public and private domain.
This is not a new concept. It is as old as human civilization on this earth.
 Generally the term ‘Governance’ refers to the process of decision making and the process by
which decisions are implemented (or not implemented). It can be used in several contexts such
as:
o corporate governance,
o local governance,
o national governance,
o international governance or
o to the interactions between other sectors of society.
 Governance is necessary in each sector of nation for smooth and efficient working. Governance
is more comprehensive in meaning and implications than the word government. Government
refers to the machinery and institutional arrangements of exercising sovereign power for
serving the internal and external interests in a state
 Whereas governance means making policies for the development of organizations as well as
people. Government is one of the actors of governance that takes decisions at local and national
level and implements those decisions for human welfare.
 Governance is a process and a dynamic concept. Every country has certain resources, needs and
affairs. Governance, as a process, is the process of decision making on how these resources are
to be utilised, needs are to be met and affairs to be are managed.
o It is closely linked with the redefinition of the role of state. In the post-World War II period,
state was seen as an engine of the growth.
o The administration operated as a watertight compartment, inaccessible and irresponsive to
the people. Ineffective development policies and poor implementation of these policies
were the results.
o It triggered the search for alternative frameworks for policy making and alternative
institutions for delivering public services.
o What was advocated was a slim but an efficient state. Governance was envisaged in this new
perspective and was not state centric. The state is one actor-but an important one–in
steering society.
 Government is the static part in governance. The main role of the refined state should be
sustainable human development with contributions from civil societies and the private sector.
 Traditionally, private sector and the civil society have been considered as the external to the
governance mechanism.
 But the relative position of the external organs gained impetus in governance when the state
encouraged the private sector and the civil society to participate in governance.
 This process or governance strengthened their position in terms of their social acceptance and
autonomy. More simply put, governance is concerned with network of relationships of three
actors– state, market and civil society.
GOOD GOVERNANCE

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 The good governance is the challenge for all societies to create a system of governance that
promotes, supports and sustains human development-especially for the poorest and
marginalized. Good governance, since ancient times, has been conceptualized as an ideal state.
o Kautilya in his treatise Arthashastra elaborated the traits of the King as, “in the happiness of
his subjects, lies his happiness; in their welfare, his welfare; whatever pleases himself, he
does not consider as good, but whatever pleases his subjects he considers as good”.
o This notion endures even now, as good governance is seen to bring in happiness and welfare
of the people. As such, administration should be development oriented and committed to
the people.
 So, good governance can be defined as a network of relationships of three actors– state, market
and civil society- to use the resources, meet the needs and to manage the affairs of the country
for the good of the people.
 So it is the people who decide whether it’s good governance or not. The top down approach
gives way to participatory decision making and implementation in good governance. A general
definition of ‘good governance; can be given as:
o a responsive,
o socially- sensitive,
o pro-active,
o citizen-friendly and citizen-caring,
o government focusing on the rights of the citizens (rather than duties of the government).
The focus of good governance is on the citizen. Good governance implied not only
governance but governance for the good of the people.
 The world bank has defined good governance as: the one epitomized by predictable, open and
enlightened policy making, a bureaucracy imbued with a professional ethos acting in furtherance
of the public good, the rule of law, transparent process and a strong civil society participating in
public affairs.
 Poor governance (on the other hand) is characterized by arbitrary policy making, unaccountable
bureaucracies, unenforced or unjust legal systems, the abuse of executive power, a civil society
unengaged in public life and widespread corruption
CHARACTERISTICS OF GOOD GOVERNANCE

1. Participatory:
i. It refers to equal participation by all members of society as the key element of good
governance, with everyone having a role in the process of decision-making.
ii. Development programmes are more successful in states were decentralization is better.
iii. Southern states perform well in social indicators due to better decentralization/local
governance.
2. Consensus oriented:
i. Mediation of the different interests in society to reach a broad consensus in society on what
is best interest of the whole community and how this can be achieved.
3. Accountable:
i. Accountability is to those who will be affected by its decisions or actions.
ii. Accountability ensures that the powers are not misused so that corruption is reduced.

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4. Transparent:
i. It ensures that information is freely available and accessible.
ii. To those involved or affected by the decisions taken.
5. Responsive:
i. It means serving the stakeholders within a reasonable timeframe.
6. Effective and Efficient:
i. It produces results that meet the needs of the society.
ii. While making the best use of resources at their disposal.
7. Equitable and inclusive:
i. All groups, particularly the most vulnerable, have opportunities to improve or maintain their
well-being.
8. Follows the Rule of Law:
i. It is maintained through the impartiality and effectiveness of the legal system. Rule of law
also means the protection of human rights (particularly those of minorities), independent
judiciary and impartial and incorruptible law enforcement agencies.
ii. The rule of law involves a variety of conditions, being strongly connected to good
administration of justice, good legal framework, verified dispute mechanisms, equal access
to justice, and the independence of judiciary workers (lawyers, judges).
iii. Rule of law eliminates arbitrary usage of power. This will assure that corruption is
minimized, the views of minorities are taken into account, and that the voices of the most
vulnerable in society are heard in decision-making. It is also responsive to the present and
future needs of society.
BARRIERS TO GOOD GOVERNANCE

1. Attitudinal Problems of the Civil Servants
i. There is a growing concern that the Civil Services and administration in general, have
become wooden, inflexible, self-perpetuating and inward looking.
ii. Consequently, their attitude is one of indifference and insensitivity to the needs of citizens.
It is, coupled with the enormous asymmetry in the wielding of power at all levels, has further
aggravated the situation.
iii. The end result is that officers perceive themselves as dispensing favours to citizens rather
than serving them and given the abject poverty, illiteracy, etc. a culture of exaggerated
deference to authority has become the norm.
2. Lack of Accountability
i. A common reason usually cited for inefficiency in governance is the inability within the
system to hold the Civil Services accountable for their actions.
ii. Seldom are disciplinary proceedings initiated against delinquent government servants and
imposition of penalties is even rarer. This is primarily because at most levels authority is
divorced from accountability leading to a system of realistic and plausible alibis.
iii. Cumbersome disciplinary procedures have added to the general apathy towards discipline in
Government. Moreover, the safeguards provided to civil servants, - which were well
intentioned – have often been misused.

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iv. Another reason for lack of accountability is that performance evaluation systems within
government have not been effectively structured.
v. The complacency that the system breeds has resulted in employees adopting an apathetic or
lackadaisical attitude towards citizens and their grievances.
3. Red tapism
i. Bureaucracies the world over are expected to adhere to rules and procedures which are, of
course, important for good governance.
ii. However, at times, these rules and procedures are ill-conceived and cumbersome and,
therefore, do not serve their purpose. Also, government servants sometimes become overly
pre-occupied with rules and procedures and view these as an end in themselves.
iii. Often, policy reform measures do not deliver the desired outcomes because of lack of
forward movement in reform of government processes. Very often, the most difficult area
of reform in government is process and procedural reform.
iv. No amount of investment in capabilities and technologies can improve performance and
service delivery beyond a point if we continue to be prisoners of archaic procedures and
processes.
v. Age old procedures, a legacy left by the British, are the primary reason for delaying
government decisions. For instance, consider how files are handled in the secretariat. Many
files begin with the junior assistant and travel all the way up to the cabinet ministers.
vi. There are several layers in between–– assistant, senior assistant, section officer,
undersecretary, deputy secretary, joint secretary, additional secretary, secretary, principal
secretary, minister of state and the cabinet minister.
vii. Thus, the file has to pass through 9 to 12 layers. By the time the file goes up and then
returns to the assistant’s level, it can take about 36 working days or two months. However, if
queries are raised at any level, the file goes down and is pit up again.
viii. This implies double layers. In case, someone decides that the finance department’s opinion
has to be sought, the file has to travel yet another set of nine layers. That means, six months
for a routine decision. This is often the root cause of corruption as well.
4. Low levels of Awareness of the Rights and Duties of Citizens

i. Inadequate awareness about their rights prevents citizens from holding erring government
servants to account.
ii. Similarly, low levels of compliance of rules by the citizens also acts as an impediment to
good governance; when citizens do not adhere to their duties they infringe on the freedom
and rights of other citizens.
iii. Thus, awareness of rights and adherence to duties are two sides of the same coin. A vigilant
citizenry, fully aware of its rights as well its duties, is perhaps the best way to ensure that
officials as well as other citizens discharge their duties effectively and honestly.
5. Ineffective Implementation of Laws and Rules

i. There is a large body of laws in the country; each legislated with different objectives –
maintaining public order and safety, maintaining sanitation and hygiene, protecting rights of
citizens, giving special protection to the vulnerable sections etc.

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ii. Effective implementation of these laws creates an environment which would improve the
welfare of all citizens and at the same time, encourage each citizen to contribute his best
towards the development of society.
iii. On the other hand, weak implementation can cause a great deal of hardship to citizens and
even erode the faith of the citizenry in the government machinery.
GOOD GOVERNANCE AND INSTITUTIONAL ARRANGEMENT

 The relationship between the government and its administrative department and the way the
departments function are very important in delivering good governance. The relation and
functioning have to be modified in the following manner.
1. The dependence and collaborative approach between the departments in policy formulation
and implementation has to be institutionalized.
i. The present Prime Minister has mandated that several groups of secretaries to come up with
breakthrough ideas in different key policy areas to ensure substantive results.
ii. It has acknowledged the cross-domain character of most challenges that our country
confronts.
iii. These demand inter-disciplinary and collaborative responses from agencies of government
that are conditioned to work in their respective silos.
iv. If the prime minister can sustain this innovative approach by institutionalizing it, this would
be a major gain. It should not remain as an ad hoc arrangement.
2. The temptation to bypass institutions or to violate processes that institutions are expected to
work through, needs to be strongly resisted. There may be emergencies where ad hoc responses
may be necessary or a particular functionary may be mandated to handle the situation.
i. However, these must be resorted to only rarely and for reasons that are clearly enunciated.
Institutions are important because they function according to well-laid rules and regulations.
ii. The personnel manning them are expected to have the necessary qualifications and
experience. The element of discretion should be reduced. This is particularly important in a
democracy which functions according to the rule of law.
3. Institutions and the processes through which they operate need to be constantly adapted to
changing circumstances.
i. It is better to upgrade existing institutions and adjust their processes rather than emasculate
them in favour of either ad hoc arrangements or by setting up entirely new institutions
which compete with existing ones.
ii. Institutions are important also because they enable institutional memory to be accumulated
and used as a learning experience for the future. This is critical to good governance.
4. Institutions must be enabled to improve decision-making through in-built processes of review.

Policy making suffers because it is not based on adequate and accurate data, despite such data
collection and analysis having become much easier and more affordable in digital age.
i. Data collection and analysis alert the policymaker about what works and what does not.
The analysis becomes the bedrock of strategy.

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ii. The country resorted to large-scale building of toilets throughout rural India as part of drive
against open defecation in the country. Today, evidence indicates that a very large
proportion are dysfunctional or lying unused.
iii. Large sums of money spent on building toilets both from government revenues as also
under corporate social responsibility (CSR) initiatives of public sector companies would not
have lost if prior analysis had been done on steps that may be necessary to ensure the
proper maintenance of these toilets.
iv. Prper maintenance uncludes availability of water supply in areas and awareness of
communities on how to maintain them etc. It may have taken more time, but it would bring
effectiveness and efficiency.
5. Bureaucracy in India is usually blamed for being an obstacle to reform and change. In fact,
bureaucracy can be a major driver of change provided the right environment is created for its
functioning.
i. After all, in a developing country like India, which is woefully short of skills and capacity, the
Indian bureaucracy constitutes an unmatched pool of talent and experience.
ii. Unfortunately, the current incentives and disincentives for the bureaucracy generate risk-
awareness and defensive behaviour rather than an innovative spirit.
iii. A bureaucrat is far more liable to penalty and setback in his career prospects for an act of
commission. He would very rarely pay for an act of omission, even if this results in a loss to
the government.
iv. Furthermore, the current tendency to offer post-retirement sinecures to retired senior civil
servants inhibits independent functioning and advice to political masters.
v. The appointment to various commissions and statutory bodies should be through open
competition, in which a retired bureaucrat, if qualified, could offer his services. In the longer
term, it is necessary to go back to the policy of recruiting relatively younger people into the
bureaucracy.
vi. The success of governance depends on the reinvention of the government, re- engineering
of the bureaucracy and the re-invigoration of non-government sectors, with a social
motive.
vii. There is also need to have political will, normative concerns and organizational flexibility.
The state, the private sector and the non-governmental organizations, should cooperate and
coordinate with each other to make good governance possible.
PROBITY IN GOVERNANCE
 Probity is the act of strict adherence to highest principles and ideals (integrity, good character,
honesty, decency) rather than avoiding corrupt or dishonest conduct. It balances service to the
community against the self-interest of individuals.
 Probity in public life requires adherence to high moral and ethical standards like integrity,
honesty, impartiality, commitment to constitutional principles, dedicated and selfless public
service on the part of all public servants.
 Public servants include not only legislature, executive (temporary and permanent) and judiciary,
but also scientists, technocrats, members of statutory, advisory bodies and even non-

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governmental organisations, educational and research institutions receiving government grants

in the conduct and performance of their official duties and responsibilities.
 Probity has been described as a risk management approach ensuring procedural integrity. It is
concerned with procedures, processes and systems rather than outcomes.
o The principle of probity in public life is the cornerstone of good governance. It is the sine
qua non of democracy and sustainable development.
o Probity in public life is at the centre-stage of the United Nations millennium development
goals and sustainable development goals.
o A well-functioning civil service helps to foster good policy making, effective service delivery,
accountability and responsibility in utilizing public resources which are the characteristics of
good governance.
 According to Second Administrative Reforms Commission, 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:
o probity in public life,
o respect for human rights and
o compassion for the downtrodden and commitment to their welfare.
 Probity in governance is the antithesis of corruption in public life. Probity is emphasised by the
UN Convention against corruption. Probity is the evidence ofethical behaviour in a particular
process.
o For Government employees and agencies, maintaining probity involves more than simply
avoiding corrupt or dishonest conduct.
o It involves applying public sector values such as impartiality, accountability and
transparency.
PROBITY PRINCIPLES
 There are several generally accepted probity principles. They are;
1. Accountability: It is the obligation to be able to explain or account for the way duties have been
performed. Government should have appropriate mechanisms in place to show that they are
accountable for their practices and decisions.
2. Transparency: It is important that the process is transparent to the maximum extent possible so
that all stakeholders can have confidence in the outcomes. Transparent and open processes also
minimize the opportunity for, and the risk of, fraud and corruption.
3. Confidentiality: All public servants are under a general obligation of confidentiality to their
employer. All Government servants, advisors, members and any other third party that is part to
commercially sensitive information must provide a formal undertaking to Government that they
will keep this information confidential.
4. Management of Conflicts of Interest: Government representatives should perform their duties
in a fair and unbiased manner and that decisions they make will not be affected by self-interest
or personal gain.
i. A conflict of interest arises where an individual associated with the process is, through their
particular associations or circumstances, influenced, or perceived to be influenced, to obtain
an unfair advantage for him or herself or another party.

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ii. Conflicts of interest are often unavoidable. However individuals associated with the process
should be aware of chances in which a conflict of interest can arise and it is their
responsibility to report conflicts.
iii. Public servant should ensure that the conflicts are adequately addressed and the manner in
which they have been addressed is adequately documented.
WHY PROBITY IS NEEDED IN GOVERNANCE

 Our public servants who should set an example are the worst offenders. Corruption,
favouritism, criminalisation of governance, self-centred functionaries etc. have hit at the trust
of the people.
 Poverty, illiteracy, low health care, and unemployment are the major challenges before the
country and the biggest hurdle that prevents us from overcoming these challenges is the lack of
probity in public life.
 Probity in public life does not appear to be a serious concern of anyone in India. So the need for
probity in governance is:
a. To prevent unethical practices like misconduct, fraud and corruption in governance. It will
bring the lost public trust back.
b. To ensure public interest and cooperation in governance which is the essence of
participatory governance
c. To cater to the needs of all sections of society. So that inclusive growth is achieved. To
ensure the equitable distribution of resources
d. To bring strong image of country around the globe
e. To bring in good governance (Accountability, transparency, integrity, Confidentiality etc.)
and to ensure compliance with processes;
f. The probity is closely linked to societal values. Probity ensures that a public servant is not
influenced by those societal values which are unethical.
o Eg: When a corruption case is brought against a politician or bureaucrat, then the whole
target is the ‘individual’. The society to an extent shapes his values.
o A person who lives in a society which gives social standing/respect to a person who has
more money, in turn will work to gain money by all means.
g. The probity of governance is closely related to “equality before law”. Eg: it is not wrong if a
file before government is cleared within two days if all citizens with similar file status can get
it cleared in two days.
h. Here the concern is compliance with processes. Only a government that is based on probity
can ensure that anormal citizen is not discriminated when someone powerful comes for the
same.
i. Something is legally right doesn’t always mean it is right. The law may be interpreted in ways
that are suited.
j. Probity of the public servant plays a crucial role in identifying the actual purpose of
interpretation in such a manner and to act against it if it affects the larger public interest.
CHALLENGES TO PROBITY IN GOVERNANCE

 Corruption
 Evils of coalition government

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 Absence of transparency and accountability

 Unrealistic code of conduct
 Toothless laws and institutional arrangements of democracy. This pledge is yet to be fulfilled.
Parliamentarians should take initiatives whole heartedly to fulfill the pledge and should set an
example for other organs of the government.
CONCLUSION
 Probity in governance is an essential and vital requirement for an efficient and effective system
of governance and for socio-economic development.
 Ensuring probity in public sector activities is part of every public official’s duty to adopt
processes, practices and behaviour that enhance and promote public sector values and interests.
 Probity is a societal expectation which citizens demand from decision makers and all those that
function as a part of the state’s apparatus.
 Ethics is a set of standards that society places on itself and which help guide behaviour, choices
and actions. Standards do not, by themselves, ensure ethical behaviour: which requires a robust
culture of integrity and probity in public life.
TRANSPARENCY
 Transparency implies openness of decision-making process and freedom of information to the
members of the public and media. The people have the right to know;
o how decisions are made on routine as well as on policy matters/
o whether they are benefited or affected by the decision?
o how service is rendered or how and when the goods are delivered?
o what are the work procedures and how are the objectives accomplished?
 Transparency is also a moral issue. Lack of transparency is considered to be responsible for
making the government slow, inefficient and corrupt.
 Transparent mechanisms involve the creation of a climate of self-restraint and self-check to
avoid irregularity. Transparency can also be seen from following dimensions:
o Ensuring transparency in public dealings is bound to bring about a more careful utilization of
public funds.
o Transparency in government functioning will make public servants take decisions more
rationally and objectively,forsaking their particularistic bias in favour of any person or caste.
o Unholy politician businessman nexus bureaucratic
o General disintegration of ethics in the society
o Growth of materialism as a result of globalization
o Slow and tardy case disposals and justice delivery
HOW TO BRING ABOUT TRANSPARENCY

 Transparency in government functioning will hold public servants accountable for their
mishandling of public time and money. It will help expose counterproductive and inhibiting
rules and procedures that make administration more slow.
 Transparency will develop a cordial relationship between the public servants and their clients.
Transparency in government organisations makes themfunction more objectively, thereby
enhancing predictability and accountability.

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 Information about functioning of government also enables citizens to participate in the

governance process effectively. These are some ways through which transparency can be
ensured:
i. Reforming public services and bringing a legally enforceable Code of conduct and code of
ethics to combating corruption
ii. Strengthening social audit and empowering civil society (effective and efficient citizen
charter, RTI etc.)
iii. Presence of vibrant and proactive media and promoting work culture etc.
iv. Framing effective laws, rules and regulations governing every aspect of public life and, more
important, an effective and fair implementation of those laws, etc.
v. The education should evolve as a system where morals, ethics, non-violence, truth,
brotherhood, honesty, integrity and uprightness become part of the curriculum. Aim should
be to channelize the youth in the right direction so as to establish an orderly society.
vi. Revisiting the pledge of ’97: At the Golden Jubilee of Independence, parliamentarians took a
pledge to carry out meaningful electoral reforms to cleanse public life, ensure greater
transparency, probity and accountability, so as to make legislative bodies balanced and
effective instruments
Institutional Means to achieve Transparency in Administration

 Following are the institutional means to achieve transparency in The administration-
o Parliamentary Controls- Question sessions, debates, etc.
o Legislative Framework- Right to Information Act, Time bound delivery of goods and services
o Ombudsman- Lokpal and Lokayukta
o Independent Judiciary
o E- Governance
o Free Press
RIGHT TO INFORMATION
 The Indian Parliament enacted the Right to Information Act (RTI) in 2005. The Right to
Information Act signals the march from darkness of secrecy to dawn of transparency. It opens up
government’s records to public scrutiny.
 Thereby arming citizens with a vital tool to inform them about what the government does and
how much effectively, thus making the government more accountable. Right to Information
(RTI) has been seen as the key to strengthening participatory democracy and ushering in people
centric governance.
 Access to information can empower the poor and the weaker sections of society to demand and
get information about public policies and actions, thereby leading to their welfare.
 Openness in the exercise of public power - Executive, Legislative or Judiciary- is a culture, which
needs to be nurtured, with privacy and confidentiality being an exception. The right to
information will also be a powerful means for fighting corruption.
 The effective implementation of the Right to Information Act will create an environment of
vigilance which will help promote functioning of a more participatory democracy.

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CODES OF ETHICS
 Code of Ethics is a written set of guidelines issued by an organisation to its officials to guide their
conduct in accordance with its primary values and ethical standards.
 It ensures that individuals belonging to an organization have a consistent approach in carrying
out their responsibilities and making decisions. The Codes of Ethics generally include values and
principles like:
o Integrity
o Impartiality
o Commitment to public service
o Accountability
o Devotion to duty
o Exemplary behaviour
Public Service Bill, 2006

 Public Service Bill enumerates fundamental values and a Code of Ethics for public services with
the object of developing a professional, politically neutral, merit based and accountable civil
service.
 According to this Bill, the main values by which the Public Servants shall be guided are as
follows:
o Allegiance to the various ideals enshrined in the preamble to the Constitution;
o Apolitical functioning;
o Good governance for betterment of the people;
o Duty to act objectively, impartially, honestly and equitably;
o Accountability and transparency in decision-making;
o Act with integrity and in a courteous and just manner;
o Maintenance of highest ethical standards;
o Merit to be the criteria in selection of civil servants, however, it should be consistent with
the cultural, ethnic and other diversities of the nation;
o Ensuring economy and avoidance of wastage in expenditure;
o Provision of healthy and congenial work environment;
o Discharge functions with due regard to diversity of the nation/ community and religion but
without discrimination of caste, community, religion, gender or class and duly protecting the
interest of poor, underprivileged and weaker sections;
o Communication, consultation and cooperation in performance of functions he, participation
of ail levels of personnel in management; and
o Provide honest, impartial and frank advice to political executive.
Second ARC on Ethics

 The Second Administrative Reforms Commission (ARC) in its 4th report: “Ethics in Governance”
has extensively covered the issue of ethics and observes, “The crux of ethical behaviour does not
tie in bold words and expressions enshrined as standards, but in their adoption in action, in
sanctions against violations, in putting in place competent disciplinary bodies to investigate
allegations of violations and to impose sanctions quickly and in promoting a culture of integrity.”
 In its wide ranging recommendations, it has suggested:

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o Partial state funding of elections

o Tightening of anti-defection law
o Code of ethics for ministers, legislatures, judiciary and civil servants
o Tightening the provision of Prevention of Corruption Act
o Making corrupt public servants liable for paying damages
o Confiscation of property illegally acquired
o Speedy trials (Creation of Lokpal/ Ombudsman at national, State and local level)
 While recommending a Code of Ethics for Civil Servants the Second ARC has observed: Civil
Service Values which ail public servants should aspire, should be defined and made applicable to
all tiers of government and parasfatal organizations.
 Any transgression of these values should be treated as misconduct, inviting punishment. In order
to create a regime under which quick disciplinary action can be taken against delinquent
Government servants, the ARC has recommended deletion of Article 311 of the Constitution,
with a provison that legislation under Article 309 be made to protect public servants against
arbitrary action.
 The Commission has also suggested certain measures to protect honest Civil Servants against
malicious complaints. The ARC in its 10th Report on Personnel Administration has re-
emphasized the need for prescribing Civil Service Values and laying down a Code of Ethics.
 The ARC recommended that the Code of Ethics should include: integrity, impartiality,
commitment to public service, open accountability, devotion to duty and exemplary behavior.
CODES OF CONDUCT
 A Code of Conduct is a set of rules outlining the expected behaviour from the members of an
organisation. The purpose of Code of Conduct is to regulate the conduct of members on various
transactions.
 In India, the Central Government has issued conduct rules for government employees known as
Central Civil Services (Conduct) Rules 1964, The rules are more in the nature of “do’s and
“don’ts. These Conduct Rules cover matters such as:
o property transactions,
o acceptance of gifts,
o joining of non-political organization and
o host of other issues covering almost every activity which a normal individual undertakes.
 Code of Ethics and Code of Conduct- A code of ethics covers broad guiding principles of good
behaviour and governance while a code of conduct would, in a precise and unambiguous
manner, stipulate a list of acceptable and unacceptable behaviour and actions.
CITIZENS’ CHARTER
 Citizen’s Charier is an undertaking a public service organization gives to the citizens, to provide a
high level of service while meeting the standards contained in the declaration.
 It contains specific provisions and set out specific obligations for the public services, the time
within which the department would be obliged to provide a service or to respond to a query or
complaint.

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 Citizens’ Charter is aimed at demanding from the government and the service organisations (e.g.
hospital, post-office, etc) the fundamentals of accountability, transparency, quality and choice
of services supplied to the people.
 The charter places the citizen at the centre of administration,instead of treating him as a passive
recipient of services rendered without regard for quality, cost or timeliness. The charter is no
doubt an innovative device; but its formulation and enforcement are no easy tasks.
o In order to make these charters effective, tools for holding public servants accountable, they
should clearly spell out the remedy/ penalty/compensation in case there is a default in
meeting the standards spelt out in the charter.
o Further, there has to be some authority or institution to monitor performance and watch
violations and maintenance.
o The citizens have to play an active role in giving timely and necessary feedback about
services rendered by the government agencies.
o Within the organizations, the employees must be psychologically and infrastructurally well-
prepared to serve the public as per the agreed-upon standards.
Principles of Citizen’s Charter

 The Citizens’ Charter is based on the following principles-
o Wide publicity on the standards of performance of public agencies
o Assured quality of services
o Access to information along with courtesy and helpful attitude
o Choice of and consultation with the citizens
o Simplified procedures for receipt of complaints and their quick redressal, and
o Provision of performance scrutiny with citizens’ involvement.
WORK CULTURE
 Work culture represents the collective values, beliefs and principles of organization and
employee and is a product of such factors as history, product, market, technology, and strategy,
type of employees, management style, and national culture.
 Work culture is a concept which deals in the study of:
o Beliefs, thought processes, attitudes of the employees.
o Ideologies and principles of the organization.
 It is the work culture which decides the way employees interact with each other and how an
organization functions. In layman’s language, work culture refers to the mentality of the
employees which further decides the ambience of the organization.
 Work culture is the environment that surrounds you at work all of the time. An organization is
said to have a strong work culture when the employees follow the organization’s rules and
regulations and adhere to the existing guidelines.
o Work culture plays an important role in extracting the best out of employees and making
them stick to the organization for a longer duration.
o A healthy work culture leads to satisfied employees and an increased productivity.The
organization must offer a positive ambience to the employees for them to concentrate on
their work rather than interfering in each other’s work.

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How to improve the work Culture?

1. Employees must be cordial with each other
i. One must respect his fellow worker.
ii. Backbiting is considered strictly unprofessional and must be avoided for a healthy work
culture. One gains nothing out of conflicts and nasty politics at work.
2. Each employee should be treated as one

i. Partiality leads to demotivated employees and eventually an unhealthy work culture.
ii. Employees should be judged only by their work and nothing else. Personal relationships
should take a backseat at the workplace.
3. Appreciating the top performers is important

i. Praise the employees to expect good work from them every time. Give them a pat on their
back. Let them feel indispensable for their organization.
ii. Don’t criticize the ones who have not performed well, instead ask them to pull up their socks
for the next time.
iii. Give them one more opportunity rather than firing them immediately.
4. Encourage discussions at the workplace

i. Employees must discuss issues among themselves to reach to better conclusions. Each one
should have the liberty to express his views.
ii. The team leaders and managers must interact with the subordinates frequently.
Transparency is essential at all levels for better relationships among employees and a
healthy work culture.
iii. Manipulating information and data tampering is a strict no at the workplace. Let
information flow in its desired form.
5. Organization must have employee friendly policies and practical guidelines

i. Expecting an employee to work till late night on his birthday is simply impractical.
ii. Rules and regulations should be made to benefit the employees. Employees must maintain
the decorum of the organization. Discipline is important at the workplace.
6. The dictatorial approach must be avoided

i. Bosses should be more like mentors to the employees. The team leaders should be a source
of inspiration for the subordinates.
ii. The superiors are expected to provide a sense of direction to the employees and guide them
whenever needed. The team members should have an easy access to their boss’s cabin.
iii. Develop a system that encourages employees to take risks for the betterment of the
organization without the threat of punishment and find ways of helping them learn from
their mistakes existing skills of the employees.
iv. Prepare them for the tough times. They should be ready under any odd circumstances or
change in the work culture.

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7. Human Resource Development

i. Provide opportunities within the organization for people to develop to their full potential.
How does the company deal with obsolescence?
ii. Are old or unneeded people fired? Does management give credit to those outgoing people
for their career contributions?
iii. Or is the prevailing attitude, “what have you do for me lately?” How honourably the
company acts in these situations will do much to determine whether or not it has a culture
of success.
8. Decision-Making Structure
i. We tend to forget that the main purpose of structure is to facilitate decision making, not to
develop new organizational charts and lines of authority.
ii. Make sure that there is a free flow of information for decision making throughout the
organization, and that the structure for disseminating that information allows positive
outcomes.
9. Organizational Clarity
i. The degree to which the goals and plans of the organization are clearly perceived by its
members rises in proportion to the employees feelings of involvement in the goal-setting
and planning procedures.
ii. Fostering this feeling of involvement and direction is more important than presenting lists of
objectives and detailed plans.
iii. To promote organizational clarity, involve all members of the organization in the goal-setting
and planning process.
10. Strong Team Spirit

i. As social beings, we naturally seek support from our peers and seek to belong to a group.
Come tough times, the team should come together to deal with whatever problems are out
there.
ii. This is where a sense of unity is evoked in the team and employees will no longer just feel
that they’re working for themselves.
iii. They are now working towards something bigger than themselves, and as a team. Instilling a
strong team spirit is not easy.
11. Promote team building activities to bind the employees together

i. Conduct training programs, workshops, seminars and presentations to upgrade the because
it involves the acceptance and tolerance of differences in perspectives and working styles
between teammates.
ii. There is a need for them to see that they’re working towards a common goal before they
can look beyond the differences.
SERVICE DELIVERY

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 Public service delivery is the most important aspect of good governance because it touches the
lives of millions of people. It is through better public service delivery that inclusive and
sustainable socio-economic development can be achieved.
 Public service delivery is also an integral component for achieving growth oriented governance.
Citizen centricity with the aim of ensuring citizens’ welfare and satisfaction is critical for any
government- local, state or nationalwhich aims to provide good governance.
 Therefore, transparency, efficiency and accountability in the public service delivery system that
the citizens are most immediately concerned with, is of prime importance.
Challenges in Improving Service Delivery

 For several decades, public services have unfortunately been provided with the primary focus on
convenience of service providers rather than the service receivers. Various factors like:
o complex regulations,
o complicated forms,
o lack of information,
o absence of performance standards,
o lack of accountability,
o corruption and incompetence have left recipients of public services, or ordinary citizens,
helpless, dissatisfied and frustrated.
 The former Prime Minister of India, Rajiv Gandhi in this context observed, “The experiences of
the vast majority of our people at the grassroots has been that the interface between the public
and the administration is unresponsive,inefficient, unsympathetic, often callous, sometimes even
cruel to those whom they are meant to serve”.
 To address these bureau pathologies, plaguing the governance, reform initiative has become
sine qua non. We must introspect and recognize that there is a great deal of public
dissatisfaction with the functioning of government, at all levels of government.
 And, it is important to realise that the most crucial aspect of governance is improving public
service delivery at the grassroots level— the village or Panchayat level.
o For a common man in a village, a Patwari (or Mamladar’ as is called in some states) is the
biggest and the highest revenue officer; a Thanedar’ is the biggest police officer.
o And a forest guard is the biggest forest officer because the peoples’ interaction in day-to-
day affairs is only with these persons.
o They do not interact with the District Collectors or Superintendents of Police or the
Divisional Forest Officers posted at the district level.
 If the public service delivered through these grassroots level officers is good, the image of the
whole government and the administration is good and vice-versa.
 So, the thrust should be to improve the working of these grassroots and cutting edge level
officers having maximum interaction with the common man.
Suggestions for Improving Service Delivery

 This is well recognized that there is an imperative need to improve the service delivery
mechanism in our country. In this regard, various challenges and constraints being faced by the
bureaucracy reed to be addressed through multi pronged strategies.
 Some suggestions are as follows:

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a. To create responsive, transparent and accountable systems of public service delivery and to
place people at the centre of all developmental programmes and activities of the
government above all political and administrative considerations
b. Treating people as valued participants, not beneficiaries— enabling them to have alternate
choices— and keeping public interest supreme in all governmental policies, programmes and
processes;
c. To provide services to the people in accordance with specified standards through easily
accessible interfaces such as one-stop, single-window, automated service delivery outlets or
common civic service centres, devoid of harassment or corruption, minimising waiting time
and inconvenience to the public;
d. To ensure a minimum tenure for public servants and create a stable and conducive
environment for public servants to deliver results based on clarity of vision, mission and
objectives, service standards, delegation of authority and responsibility, budgets linked to
outcomes, placements on considerations of merit and capability; and appropriate incentives
and disincentives;
e. To ensure value for money and cost effectiveness in the provision of services, exploring
alternative mechanisms such as outsourcing, public-privale-people partnership,public
serviceagreements between policy-makers and service providers, etc. and adopting the most
appropriate systems;
f. To develop appropriate cost, time and quality benchmarks for service delivery outcomes
against which post- implementation evaluation, including citizen report cards needs to be
carried out;
g. To develop, implement and monitor performance measurement and management systems,
developing performance indicators for service delivery-related functions and service
providers or functionaries;
h. To promote decentralisation and strengthen rural and urban local bodies as grassroots level
self-governing institutions, delivering services in accordance with the mandate of the
Constitution of India, by empowering them with devolution of functions, finances and
functionaries and undertaking capacity building programmes;
i. To enable people and their organisations to undertake the delivery of services themselves or
assist them in delivering services, wherever feasible and beneficial;
j. To strengthen the district administration, including Panchayati Raj Institutions and urban
local bodies at the cutting edge level of public administration and clarify the roles and
responsibilities of all agencies and functionaries working at the district level;
k. To establish independent regulatory mechanisms and effectively implement laws relating to
consumer protection to ensure thatservice standards are adhered to and the citizens get a
fair deal from service providers;
l. To undertake third party appraisal and objective assessment of programmes, schemes and
institutions regarding their functioning and impart by independent professional institutions,
citizens’ committees, etc, and obtain and use feedbacks to improve policies and
implementation mechanisms;
m. To firmly establish the Rule of Law and maintain public order at all times as the basic
foundation of good governance and provide a Safe environment to the citizens and business
to pursue their tasks of self - development and nation-building;

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n. To develop and implement a core governance and core reform agenda covering the key
social, economic and human development goals, which are m the supreme interest of the
people and social-economic development and which need to be pursued with a vision on a
long-term basis;
CORRUPTION
 Corruption refers to deliberate and intentional exploitation of one’s position, status or
resources directly or indirectly, for personal aggrandizement.
 It could be in terms of material gain or enhancement of power, prestige or influence beyond
what is legitimate or sanctioned by commonly accepted norms to the detriment of the interests
of other persons or the community as a whole.
1. Coercive Corruption
i. In a vast majority of cases of bribery, the citizen is a victim of extortion and is compelled to
pay a bribe in order to get a service to which he is entitled.
ii. It is observed that there is a vicious cycle of corruption operating and most citizens often
end up losing much more byresisting corruption.
iii. Delays, harassment, lost opportunity, loss of precious time and wages, uncertainty and, at
times, potential danger of loss of life or limb could result from resistance to corruption and
non-compliance with demands.
iv. In such cases, the citizen is an unwilling victim of coercive corruption.
2. Collusive Corruption
i. There are several cases of collusion between the bribe giver and corrupt public servant, in
such cases of collusive corruption, both parties benefit at immense cost to society.
ii. Awarding of contracts for public works and procurement of goods and services, recruitment
of employees, evasion of taxes, substandard projects, adulteration of foods and drugs, and
concealing or doctoring evidences in investigation are all examples of such dangerous forms
of collusive corruption.
iii. As the economy is freed from state controls, extortionary corruption declines and collusive
corruption tends to increase.
Corruption, Ethics and Values

 Corruption is an important manifestation of the failure of ethics. The word ‘corrupt’ is derived
from the Latin word ‘ corruptus’, meaning ‘to break or destroy’ .
 The word ‘ethics’ Is from the original Greek term ‘ethikos’, meaning ‘arising from habit’. It is
unfortunate that corruption has, for many, become a matter of habit, ranging from grand
corruption involving persons in high places to retail corruption touching the everyday life of
common people.
 Anti-corruption interventions so far made are seen to be ineffectual and there is widespread
public cynicism about them.

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o The interventions are seen as mere posturing without any real intention to bring the corrupt
to book. They are also seen as handy weapons for partisan, political use to harass
opponents.
o Corruption is so deeply entrenched in the system that most people regard corruption as
inevitable and any effort to fight it as futile. This cynicism is spreading so fast that it bodes ill
for our democratic system itself.
 There are two, somewhat contrary, approaches in dealing with corruption and abuse of office.
o The first is overemphasis on values and character. Many people lament the decline in
values and the consequent rise in corruption. The implicit assumption is that until values are
restored, nothing much can be done to improve the conduct of human beings.
o The second approach is based on the belief that most human beings are fundamentally
decent and socially conscious, but there are always a small proportion of people, who
cannot reconcile individual goals with the good of society.
 Such deviant people tend to pursue personal gain at the cost of public good and the purpose of
organized government is to punish such deviant behaviour.
 If good behaviour is consistently rewarded and bad behaviour consistently punished, the bulk of
the people follow the straight and narrow path (also refer instrumental conditioning). In the real
world, both values and institutions matter.
o Values are needed to serve as guiding stars, and they exist in abundance in our society. A
sense of right and wrong is intrinsic to our culture and civilization.
o But, values need to be sustained by institutions to be durable and to serve as an example to
others.
o Values without institutional support will soon be weakened and dissipated. Institutions
provide the container, which gives shape and content to values.
 This is the basis of all statecraft and laws and institutions. While incentives and institutions
matter for all people, they are critical in dealing with the army of public servants - elected or
appointed - endowed with authority to make decisions and impact on human lives and
exercising the power to determine allocation of resources.
 Public office and control over public purse offer enormous temptation and opportunity to
promote private gain at public cost. Therefore, creation of institutions and designing
ofincentives are of utmost importance in promoting ethical conduct of public servants.
Challenges of Corruption
 The challenges of corruption manifest themselves in following forms:
o Those who benefit from a corrupt status quo will try to impede reform. Improvements in
human well-being seldom occur spontaneously but, instead, require government actions to
complement private efforts.
o Governments that waste resources through malfeasance or inadvertence are a drag on
growth and undermine the achievement of other goals,
o High levels of corruption are associated with lower levels of investment and growth and
corruption discourages both capital inflows and foreign direct investment,
o Corruption lowers productivity, reduces the effectiveness of industrial policies, and
encourages business to operate in the unofficial sector in violation of tax and regulatory
laws.

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o Highly corrupt countries tend to under-invest in human capital by spending less on

education, to over-invest in public infrastructure relative to private investment, and to have
lower levels of environmental quality,
o High levels of corruption produce a more unequal distribution of Income and corrupt
governments lack political legitimacy.
 In circumstances of low government legitimacy, citizens try to avoid paying taxes, and firms go
underground to hide from the burden of bureaucracy, including attempts to solicit bribes.
 Moreover, anti-corruption interventions so far made are seen to be ineffectual and there is
widespread public cynicism about them.
o The interventions are seen as mere posturing without any real intention to bring the corrupt
to book. They are also seen as handy weapons for partisan, political use to harass
opponents.
o Corruption is so deeply entrenched in the system that most people regard corruption as
inevitable and any effort to fight it as futile. This cynicism is spreading so fast that it bodes ill
for our democratic system itself.
o Ironically, it has also been observed that the people,to a large extent, have accepted
corruption as a way of their life and they do not judge it on the grounds of morality and
ethics anymore.
o In other words, the moral threshold of the society has increased and people now consider it
as an integral part of the way- an administration functions. This is increasingly becoming a
major obstacle in fighting with this menace.
*****
8. ETHICAL DILEMMAS
INTRODUCTION
 The new century seems to dawn with a renewed load of ethical and philosophical dilemmas
which leave practitioners and academics of public administration alike in a predicament.
Whereas at the beginning of the 20th century, there seemed to be only answers and convictions.
 At the beginning of the new century, we are surrounded by new questions, uncertainties and
doubts resulting from the overarching processes of the globalization of market economies and
information technology as well as the localization of political conflict, authority systems and
culture.

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 The phenomenon termed the institutionalization of doubt (Giddens, 1990) is then of wider
significance. Naturally, these features of modernity are not unique to civil society; they also
affect the civil service and public administration in its various manifestations at both the national
and international level.
 Administrative systems in western societies as well as emergent administrative cultures in
developing countries often experience and are confronted with a number of opposing values
and ethical dilemmas concerning the shape, conduct and orientation of public services.
o As a result, the burden of conflicting values and divergent responsibilities leave the
contemporary administrator in an ethical quandary and in a state of personal anxiety or
angst.
o However, it is not hard to realize that to overcome such a state of systemic doubt is not
simply a matter of personal integrity and professional qualification.
o Equally significant and even harder to sustain is a threshold of institutional awareness of
and receptivity to these emerging demands, as well as an increased capacity to respond
adequately to and effectively deal with these challenges.
 The rise of ethical reasoning about morals inn the history of philosophy, ethics was not among
the earliest issues to be examined in a systematic manner, rather it was among the latest.
o A similar trend can be observed in the history of administrative thought about moral
standards in governance and administration.
o Whereas in philosophy, concern about nature physics- preceded concern about the inner
world, in the evolution of administrative thinking attention gradually shifted from the purely
structural and functional aspects of organization and management to questions about
leadership and motivation initially.
o And then to the proper conduct on the grounds of certain ethical and normative standards.
If ethics came after physics in philosophy, in administrative and organizational analysis
ethical questions arose in the aftermath of earlier concerns about the specification of
legitimate conduct on the basis of so called ‘external’ determinants.
o The focus of ethical analysis has shifted to aspects of value and normative dimensions of
conduct; and how and to what extent they are internalized and respected by the individual
civil servant in public institutions.
 It is worth noting that the decisive moment that marked the transition from physics to ethics in
philosophy is related to Socrates - who is regarded as the founder of moral philosophy.
o Since, ethics and concern with the inner - and not the outer world became his chief object of
thought and inquiry in the fifth century BC.
o Socrates viewed ethics as the rational way that a thoughtful man could follow in order to
achieve morality, which was, in turn, defined as the actual choice of the good - ‘well doing’ -
after deliberation.
o In particular, Socrates related morality with knowledge; that is the knowledge of what is
really, and not simply phenomenally, good and useful to man. The rational foundation of
ethics consisted in searching for and reasoning about virtue.
o It is in this sense that ‘virtue is knowledge’ and unless wo/man has or acquires knowledge
s/he cannot be virtuous. Even more, it is only by these means, namely, reasoning about
morality, that real and lasting happiness can be brought about.

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o Evidently, the predominance of virtue in the Socratic discourse is predicated on the concept
that only conscious and purposive action can be judged and evaluated from an ethical point
of view and on the basis of moral standards.
o Indeed, Socrates advanced a unified and comprehensive idea about morality and happiness
arguing that ethics is about the knowledge of the good things in life (Viastos, 1991).
o Moreover, Socrates may be credited with the contribution that he ‘democratized’ ethical
theory in the sense that he made it available and accessible to the people at large.
o He did that with his dear and powerful method of discursive analysis - as Plato’s famous
Dialogues disclose - by means of which he was able to test people’s views through constant
questioning, hence discovering the true nature of virtue.
o He was persuaded that this type of discursive self-examination makes people better because
it entails continual questioning of themselves and others about what to do and what to
avoid doing on the grounds of ethical and moral standards.
 Both Plato (Socrates’ chief disciple) and Aristotle (Plato’s successor) regarded ethics as part of
politics, the main function of which was to provide the conditions under which the members of
the human community, the Polity, would be able to achieve lasting happiness.
o Thus, knowledge and the approximation of real happiness becomes the essence of the
science of the good, which is ethics.
o It may also be pointed out that ethics for ancient Greeks referred not only to theoretical
discussion about the topic, but essentially the actual practice of it; not simply to question
and ponder what is good but even more significantly to become good.
o Indeed, the notion of science - ‘episteme’ - was inclusive not only of the abstract knowledge
of a certain field of thought and expertise, but also of its artful application in life.
 As a result, a strong normative element permeated the whole scientific endeavour in the sense
that values and normative standards ought to guide action and be translated into actual
conduct.
o That, however, presents a major problem since the implementation gap is always there,
yawning and inhibiting the transformation of value into action, the congruence of ultimate
ends with concrete deeds.’
o Yet that is what puts the moral integrity and responsibility of the doer to a decisive test: the
courage and determination to live up to his/ her proclaimed standards and values.
 Socrates himself demonstrated with his own personal example the essence of ethical
responsibility when he said in his Apology: You are wrong if you think that anyone who has value
would count the danger of life or death or anything else, instead of aiming in his action only this:
whether his action is just or unjust and whether it befits a good or a bad man’s action. (28 B, 5-
9).
 In conclusion, for ancient Greek philosophers ethics consisted of knowledge and choice of the
good things in life - and administration, to no lesser an extent one might add.
 Moreover, discourse about values that ought to guide conduct was considered as a value in itself
that would bring about virtue and happiness if sought after in a persistent and systematic way.
o Thus, according to Aristotle, ethos is ‘the habit of the good’ and ethics is about choice, the
choice of the good, which is then habituated in actual conduct.’

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o A further implication of that is ethics cannot be conceived of as a matter of punishment and

rewards, but rather as a matter of voluntary choice of the good, which is then consistently
exhibited in one’s conduct.
o Not surprisingly, therefore, the prime criterion and objective of good governance was, for
Aristotle, to accustom citizens (and civil servants, one may add) to the practice of virtue.
 This is confirmed ... by what happens in states; for legislators make the citizens good by forming
habits in them, and this is the wish of every legislator, and those who do not effect it miss their
mark, and it is in this that a good polity differs from a bad one.’
o The central function of the statesman is then to provide for the moral education of citizens.
In order to do that /he will require knowledge, knowledge of virtue, and that kind of
knowledge is acquired through constant search and questioning about things and action.
o Indeed, morality in essence consists in continually questioning it. This is the chief merit and
benefit of human beings - otherwise life is not worth living.
o ‘Life which is not subject to examination cannot be accepted by man’, concluded Socrates
in his unsurpassed Apology (38 A) for an ethical stance in life. And this is about what makes
ethics such an interesting part of the ‘Art of Living’.
Dealing with ethical dilemmas in Public Administration

 When confronted with the fundamental question what to do and how to act in complex
situations, and to the extent that contrasted values or decisional premises could apply in the
situation, one is entering the world of ethical dilemmas or that of ‘hard choices’.
 A dilemma is something wider and more demanding than a problem, however difficult or
complex the latter may be. (Rapoport, 1960).
o The reason is that dilemmas, unlike problems, cannot be solved in the terms in which they
are initially presented to the decision-maker.
o Caught on the horns of a dilemma, the decision-maker is not only faced with opposed and
perhaps equally unwelcome alternatives.
o Even worse their incompatible juxtaposition also implies that they are mutually exclusive in
the sense that the satisfaction of the one can only be made if the other is sacrificed.
o It is then the case that solving a dilemma resembles a zero sum game, whereby the choice of
one value alternative is necessarily followed by the negation of the other.
 ‘Solving’ the dilemma in such a way would, therefore, be a contradiction in terms and a
misnomer, since the solution reached likewise would seem to be no more than a scission and a
dichotomic split of the intertwined aspects of the issue at hand.
o A dilemma may, however, be dealt with in a more effective and appropriate way if the terms
of reference are altered and the whole situation is reformulated and redefined.
o So that, full account is taken and due respect paid to the warring value options, which are
then ordered and linked among themselves in a more systematic and coherent manner.
o Naturally, dilemmas abound in complex organizations, which fail to tackle them effectively.
 As a result, state officials and civil servants exposed to acute dilemmas can hardly help
succumbing to a state of confusion and embarrassment in which they are often quite
unwillingly thrust.
o In circumstances like these, public administration instead of functioning as a well ordered
state of legitimate purposes degenerates into a state of confusion and indeterminacy.

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o It is then the case that ethical vagueness and lack of clarity about overall values to guide
action and choices in ‘hard cases’ may come close to unleashing a spirit of unbound
relativism if not cynicism whereby everything stands.
o But, if everything stands and anything goes, then nothing can be taken seriously, neither
ethics and values nor rights and duties of public servants and citizens alike.
 In an effort to make some sense out of the multitude of criteria that one way or another enter
and frequent the organizational landscape of public administration a set of ground rules have
been distinguished which:
o first, classify in an orderly way basic administrative dilemmas; and
o second, ought to be taken into account whenever one is engaged in the business of dealing
with them.
 It will be seen that the set of guiding ethical principles, which is heuristic in nature, is
constructed on the basis of an ideal type (after Max Weber, 1964, 1978). The principles have
also been arranged in the form of a lexical ordering and a kind of scalar logic (after John Rawls,
1971), so that the sequential mode of their application in concrete cases becomes manifest.
 The advanced set of fundamental principles or criteria that integrate and rearrange the process
of dealing with ethical dilemmas in public administration are:
o democratic accountability of administration,
o the rule of law and the principle of legality,
o professional integrity and
o responsiveness to civil society.
 What may perhaps conveniently be described as the ALIR model of imperatives of ethical
reasoning in public administration (from the initials of its key notions) would then take the shape
in terms of a lexical ordering.
 Either through its classification function or its lexical ordering of legitimate criteria in dealing
with administrative dilemmas, the ALIR model of imperatives provides in a condensed form an
‘ethical canon’ which is, of course, subject to and open to testing in practice and theory.
The Ingredients of ALIR

 There is no question that the major determinants of administrative conduct in the public sector
include:
o the wider political context within which administrative organizations operate,
o the system of law and the kind of legal order that applies to it,
o the body of public employees, who staff the public services and help deliver their products
to the public at large and
o the variety of citizens and users of public services who in the multitude of their associations
form the particular type of civil society.
 The ALIR idea forms something similar to Tailcoat Parsons’ (1964) ‘evolutionary universals’ as
far as public administration is concerned. As a matter of fact, both sets of concepts bear a close
resemblance and may even be considered as complementary to each other.
o It would seem that the more inclusive evolutionary universals reflect on and propagate their
counterparts in the administrative domain in an unmistakable way.

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o Taking account of the previous hypothesis about the underlying convergence between the
arsonian concept of ‘evolutionary universals’ and the ALIR imperatives of ethical reasoning
expounded here.
o We may at this point reach a preliminary conclusion about good governance and the moral
standards obtaining in it.
 Such a type of governance and administration would, therefore, have to be democratic, bound
to the rule of law, capable of carrying out its missions and tasks efficiently and effectively and be
responsive to civil society.
 The interdependence and interconnectedness among these distinguished major premises of
ethical reasoning in public administration suggests that dilemmas can only be dealt with in an
effective and morally accepted way to the extent that full account is taken and due respect is
paid to the four functionally associated imperatives:
o The principle of democratic legitimacy and accountability of public bureaucracy and
administration;
o The rule of law and the principle of legality, whereby law and only law should govern the
administration;
o The principle of meritocracy, professional integrity, autonomy and capacity of the
administrative apparatus of the state; and
o The principle of responsiveness and responsibility of administration to civil society.
 Consequently, the artful application of such a set of moral commands in concrete situations and
circumstances will bear witness to the particular kind of ethical reasoning that a specific
administrative system or public institution is able to achieve and sustain.
 The ALIR model of ethical imperatives can then provide an indicative ‘ideal typical’ standard or
canon against which particular instances could be measured and evaluated, and even compared
among themselves for analytical or explanatory purposes (Mouzelis, 1993).
The Imperative for Accountability

 The distinction between politics and administration, which forms one of the most classic
doctrines of modern political science and public administration (Wilson, 1887), connotes not
only their division of function and their structural separation but also the subordination of the
latter to the former.
o Thus, the primacy of politics in the politico-administrative nexus explains the ultimate
political or rather governmental control of the administrative machinery of the state in a
democracy.
o The loyalty of the bureaucracy to its political masters is grounded on the obligation of
ministers in parliamentary democracies to be answerable and responsible to the legislature
(ministerial responsibility to Parliament).
o It is only by that means that the representatives of the nation may hold the bureaucracy
accountable to the will of the people and the general interest (volontiginirale).
 Since it is ministers who are accountable to Parliament, not civil servants, it follows that the
latter are obliged to execute the orders of the former even if they disagree with their content,
provided that they originate from a legitimate source of authority in the institutional hierarchy,
and that authority insists on being executed despite the remonstrances put forward by officials.

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o Subordination civil servants to elected representatives who act as law-makers and policy-
setter forms a sine qua non precondition of democratic politics.
o Unless subordinated political control the bureaucracy and administration usurps power,
which do not belong to it.
o If that happens the bureaucracy (civil or military) enters the political arena, undermines
representative democracy and subjugates politics and government to its own interests and
commands.
o It is then a fundamental ethical duty bearing on civil servants in pluralist parliamentary
democracies to subordinate themselves to political authority.
o Hence they owe a duty of loyalty and faithfulness to the duly elected or appointed political
masters, however transient they may be.
o In the same vein, they would have to show a spirit of neutrality and discretion in their
official capacity as members o the administrative infrastructure of the state vis-a-vis partisan
politics, and keep at bay their own personal preferences in the performance of their duties
and responsibilities.
 The conclusion that may be drawn is that ‘democratic virtue’ does form part and parcel of the
core values and normative determinants of administrative behaviour in the public sector:
namely, the administration should be held accountable to government and parliament on
matters of policy and expediency.
o It should, however, also be stressed that the supremacy of politics over the administration in
the constitutional division of powers does not amount to and cannot be taken to mean the
politicization of public services and the state bureaucracy.
o That would then undermine the instrumental value of the executive branch of government
and administration.
o Fonctionnaires de gestion (administrators) although guided by and subordinated to
fonctionnaires d’autorité (politicians) are not their clients or servants in the partisan sense
of the term.
o That would well have been the case in the context of the spoils system that prevailed in
administrative practices in many a country in the past.
 Modern governance and administration, in contrast, is founded on the idea that the
differentiation of roles and functions between politics and administration increases the quality
and potential of either of them.
 In that regard, ‘speaking truth to power’ can be considered as a vital ingredient of professional
ethics and moral integrity of civil servants and the administrative machinery of the state in
general.
The Imperative for Legality

 The rule of law, besides being one of the fundamental evolutionary universals in both modem
politics and society, pertains in a very specific and significant way to administrative conduct.
o Respect and adherence to the principle of legality manifests a spirit of constitutionalism and
forms an essential prerequisite for the legitimacy of state action and the exercise of
authority.
o Thus, it was regarded by Max Weber as providing the third type of legitimation of authority
(charismatic, traditional, legal-rational).

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o Respect for and application of the principle of legality entails a particular type of control on
administrative action that aims to see that public administration operates within the context
of the law established by the legislature (Parliament).
 Since the source of all power is ultimately the people, according to the fundamental
constitutional principle of popular sovereignty that is enshrined in most democracies nowadays,
it follows that all power must be exercised in the name and to the general interest of the people.
 Consequently, government and administration alike as the executive branch of the state and
indirectly of the nation itself have to respect the law, which is the expression of the will of the
nation.
o In this sense, originating from the constitutional tradition of the French revolution, the state
could be seen as no more than the mechanism which the nation set up for its own
governance and administration.
o And for that to take place in an effective rather than an arbitrary manner the running of the
business of the state has to be guided and determined by an articulate system of rules and
laws.
o Their artful application in concrete cases by administrative or judicial authorities then forms
the essence of the principle of legality and the rule of law.
 The control of legality of administrative action, initially exercised by the administration itself and
ultimately by independent courts of justice, purports to ensure, in particular, that proper
procedures have been followed and observed, as well as that equity, reasonableness and
impartiality have been respected.
o It can then be argued and with good cause be expected that the artful application of the
principle of legality in administrative performance would serve and promote the rule of law
and the avoidance of abuse of power.
o The idea that people should be governed by law rather than by fiat is, of course, germane
both to democracy and modernity. It could also be said that law establishes what may be
described as the minimum standard of morality.
 Usually, unethical conduct - be it bribery, theft, favouritism, abuse of power, etc. - consists in a
violation of law, that is putting someone above or beyond the law. Thus, consistent and fair
enforcement of law can be a first priority of an ethics reform strategy.
 Even in antiquity, however, the concept of justice, in which all virtue is consummated, according
to Aristotle,’ required that people should recognize the sovereignty of law, not of other humans
- the implication being that the legitimately established system of laws should be allowed to rule
freely and without interference the affairs of the human community.
 Thus, Solon abandoned power after establishing a set of rules for his native city-state of Athens
in the sixth century BC. What he intended to declare by this example was the value of respect for
the law in itself, and that people should be ruled by law, not by themselves’, otherwise he would
be a tyrant, not a legislator.
The Imperative for Integrity

 The application of knowledge and science in public affairs has been historically related to the
advent of and increase in professionalism in their exercise.

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 However, relative or tentative that may occasionally have proven to be, it is nonetheless the
case that a ‘profession of government’ (Chapman, 1959) has taken shape in Europe and
elsewhere.
 Thus, the notion of public administration is usually inclusive of all public services exercising
authority in accordance with public law and under the overall guidance and direction of
politically responsible ministers or other elected officials at the central, regional or local level.
 In order to carry out their functions, public agencies employ personnel having the status of
public officers and are thereof governed by special provisions for recruitment, career, discipline
and control.
 Professional integrity and autonomy- the ‘professional virtue’, as we may call it - qualifying
absolute hierarchical subordination entails that public administration may be brought under
political guidance and control.
o But its staff is recruited and serves under the authority of law and in the public interest, and
not on the basis of partisan favouritism.
o The state’s ‘guardian elite’ (Argyriades, 1996) is comprised of the body of civil servants,
permanent officers subordinate to ministers who are responsible to Parliament.
 Civil servants are supposed to be fully competent on the basis of their ascertained knowledge,
experience and expertise, and independent enough:
o to offer official advice to ministers as well as
o to implement public policies and decisions in an efficient and effective manner in the public
interest.
 To that end, the essential features of the distinct profession of government and administration
have, from a historical and comparative perspective, proven to be as follows:
i. Recruitment should take place on the basis of merit ascertained by special tests which are
administered by assigned independent authorities so that entry to the service is no longer
subject to spoils system practices. Thus, meritocracy becomes an important precondition of
professional integrity and autonomy.
ii. Disciplinary measures should be taken by the service’s own councils promoting a corporate
spirit (esprit de corps) and self-government in the administrative profession;
iii. Promotion on the career ladder should also be based on seniority (to the extent that longer
service testifies wider experience) and merit (after rating and evaluation of performance).
iv. Continuity or tenure of service and exclusiveness of practice in the designated field; that of
course may be reserved for the necessary number of permanent civil servants whose duties
and responsibilities involve either exercise of powers conferred by public law or/and
safeguarding the general interests of the state.
v. Training and education should increase professionalism in government and administration
as a whole; i.e. involving not only its legal or juridical aspects (‘juristenmonopol’) but also
other branches and fields of executive action (engineers, doctors, economists, etc.).
vi. There should also be a special set of rights and obligations promoting loyalty and integrity,
including neutrality of practice; namely, a readiness to serve different legitimate
governments regardless of one’s personal preferences or choices.
vii. Professionalism in public service could then be seen to accrue from a combination of
knowledge, of expertise, of judgement and conduct in accordance to standards, as well as
commitment to the field.

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viii. Competence on the basis of knowledge, experience and expertise is in all established
professions (doctors, lawyers, engineers, accountants, journalists, academics, etc.) usually
accompanied by a set of shared values held by peers on how to use and apply this
knowledge.
 There could be excluded, therefore, from this category those employed on a contractual basis
(unestablished staff). That is to say, knowledge and expertise would have to be used with certain
standards defining professional ethics such as, for instance, avoiding corruption in the delivery of
services.
 Otherwise, the profession is deprived of an essential precondition of its claim to legitimacy.
As Hegel (1967: 191) supremely put it:

“What the service of the state really requires is that men shall
forego the selfish and capricious satisfaction of their subjective
ends; by this very sacrifice, they acquire the right to find their
satisfaction in, but only in, the dutiful discharge of their public
functions. In this fact, so far as public business is concerned, there
lies the link between universal and particular interests which
constitutes both the concept of the state and its inner stability.”
 In this respect, the profession of government’s administration and, to a comparable extent, the
more recent profession of public management would be accompanied by a code of ethics
consolidating professional virtue and integrity, and increasing morale and self-confidence.
o This is indeed often the case in many an administrative system in various countries. The
imperative for integrity constitutes, therefore, a source of internal self-control in
administrative conduct based on ethical standards and criteria shared and respected by the
corps of professional administrators.
o Avoiding, for instance, corruption and exhibiting integrity would then be for them a matter
of personal and professional honour and prestige in a culture of ethics, and not simply an
externally imposed obligation.
o We may, therefore, conclude that the professional virtue for civil servants would impose on
them certain rather austere standards and would require that they uphold and respect them
in their conduct.
o ‘Integer vitae sclerisque pours’ (integrity in life and pure from crime), as Horace put it in one
of his Odes, would then seem to offer an appropriate definition of the ethical imperative for
public servants.
The Imperative for Responsiveness

 For Hegel, public functionaries were the servants of the state only, not of civil society, since it
was the former that expressed the general will of the people.
 The latter – burgerliche Gesellshaft - on the contrary, was seen by Hegel as a conglomerate of
particular and inconsistent wishes and interests.
o This then became the sphere of the particular, of concrete persons with their own private
‘systems of needs’ and the efforts to satisfy them. Whereas the state served the general
interest, civil society was the state of partial interests.

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o In this somehow dichotomous idea of social construction, individuals actualize themselves

while partaking in various activities in civil society and ‘in becoming something definite, i.e.
something specifically particularized’ (Hegel, 1967: 133).
o The state, however, with its system of governance and law provides the underlying
conditions by which individuals and their actions may find their fullest fulfilment.
o For that reason, the state was for Hegel the ‘actuality of the ethical idea’, that is the unity of
the universal and the particular.
 Hegel’s thesis could be more readily understood if account is taken of the fact that he lived: in a
country where most citizens were simply ‘subjects’, without participation in the work of
government, and where, therefore, a political life and tradition, like the English, was almost
wholly lacking.
o His book was an attempt to educate Germans beyond ‘civil’ to ‘political’ life. (Hegel, 1967:
376) Almost 200 years later we are now in a position to know that, unless there is an
articulate and independent civil society, no political life and even less democratic polity is
likely to grow and flourish.
o That is why civil society has been declared as one of the most essential preconditions of
liberty and democracy. The new prevailing idea by the turn of the 21st century is that the
state should neither command civil society nor be subservient to it.
o Instead it would cooperate in building social capital to the benefit of the human community
concerned. Thus, balancing a responsive state and an active civil society presents as an
optimal strategy for enhancing the quality of and prospects for democracy.
 In this respect, the ‘civic virtue’ of ethical reasoning in state action entails that public institutions
be responsive to society and pay attention to the needs and demands of the people, facilitating
access to services and creating an enabling environment for sustainable human and social
development.
 Responsiveness is not restricted to market forces but also and even primarily concerns citizens’
participation in all levels and layers of government, as well as empowering eople in human
communities (Bovens, 1998).
o Responsiveness also entails consultation in governance and the promotion of a kind of
‘communicative ethics’ (Habermas, 1987) in societal affairs.
o The transition, however cumbersome it may be, from the command type of authority over
people to more communicative types of reasoning and administration of things seems to
merge as a paradigm shift in societal affairs radicalizing the features of modernity in our
times.
 In this context, civil society not only furnishes the state with needs and demands of an individual
nature, but also with valuable sources of information, feedback criticism and evaluation of
performance.
o Therefore, notions like decentralization, debureaucratization, privatization and citizen
participation loom large in the repertoire of reform programmes and practices of many
contemporary administrative systems, and affect the interface between civil society and the
state.
o It is not only that citizens have increased their voice as taxpayers and customers of public
services demanding value for money; citizens and civil are also seen to be acting as
watchdogs to the state’s performance or failure.

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 Society is no longer at the mercy of state authority and control by the bureaucracy, rather the
latter is under society’s watchful eye.
 In this sense, the imperative for responsiveness to civil society calls for an increased awareness
and readiness to adapt to changing values and conditions in society at large, and stresses the
need for an overall ‘external’ or societal accountability of state authorities and administration.
 Naturally, ‘a country’s view of public administration reflects its underlying philosophy of
society and the state’ (Chapman, 1959: 309). State officials are affected by the way the public at
large regards them. Eventually, civil servants forming a middle-class profession, par excellence,
acquire the features that society expects of them.
 Public administration forms a partial regime in the societal complex; it is part of the state, which
is subject to a distinct ‘ethic of responsibility’- in the Weberian sense - vis-a-vis society. Indeed,
the notions of responsiveness and responsibility bear a ‘family resemblance’, bordering on each
other, as well as with the notion of accountability.
 However multi-layered their meaning may be, what cannot be missed in the bottom line is an
obligation and a readiness on the part of the civil service to sincerely explain and justify its action
in the public interest.
 Furthermore, it should consistently act in such a way that the interests are well served and
looked after by the administrators. As Plato puts it in an early chapter in his Republic (A, 342 e),
governors’ and rulers’ chief function is not to mind out for themselves ‘but what is
advantageous to the sailor and the ruled’. To that Thrasymachus though reluctantly agreed,
comments Plato.
CONCLUSION
 Even before the 20th century came to an end, it was evident that states, governments and public
services were entering a period of transition. This was essentially a transition if not a
‘paradigmatic shift’ from authoritarian, all powerful, states to more libertarian and associative
types of social interaction between the public and non-public domains.
 A new type of balance between politics, the economy, culture and civil society inspires the
recent discourse on reinvesting and redesigning the role of the state (and that of public services)
vis-a-vis the economy and society.
 In this regard, continuing to model public administration after the Weberian ideal type of
bureaucracy, inherited from the modemist tradition, attracts severe criticism; especially in the
context of the post-modemist quest for a shift from hierarchy and control to autonomous and
negotiated interaction among policy networks.
 Thus, new public management emerges as an alternative to old bureaucratic administration.
However, as the aim is to radicalize modernity, not to dilute it, the strategy for ethics reform in
the public sector raises enormous challenges affecting as it does:
o the quality of democracy,
o the rule of law,
o morale and morality in public services and
o the state’s interaction with civil society.
 Indeed, what might be described as the intellectual vertices of the arena in the public domain
also forms the cornerstones of a unified administrative ethics.

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 Clearly, the key task ahead is to augment the moral competence and dimension of public
agencies and institutions by advancing a reflexive kind of ethical reasoning that is radical and
comprehensive enough.
 In our heavily organized if not bureaucratized societies, it is often the case that moral and ethical
standards enter rather as constraints to be taken into consideration rather than legitimate
objectives.
o For this reason they tend to be overlooked or even ignored in the actual decision-making
process. As a result, administration and management become divorced from ethics and
morals.
o There is little doubt that conflicting demands may make administration sound like a paradox;
as a matter of fact, each one of the ALIR imperatives of ethical reasoning taken to its
extreme would, from being a virtue, turn into a vice.
 Factional dissent between parts of a whole that disrupts the balance of the general condition
can only be remedied if equal justice is paid to each one of them; or rather giving what is
appropriate to each one (suumquique) would bring about justice to all.
 Not surprisingly, for Aristotle, justice is the balance of passions and actions and moral virtues
reside in middle states (Belfiore, 1992).
o The basic aim would therefore be not the triumph of one principle or ethical imperative over
the other, but rather the reduction of incongruence among them and the provision of
conditions for their harmonious coexistence, mutual support and complementary fulfilment.
o Turning mutually exclusive dilemmas into solvable problems would then require a holistic
and reflexive approach to ethical reasoning along the lines suggested earlier.
o Here ethics has been conceived as a body of norms and values that guide official conduct in
the public services. Their consistent and artful application is not so much a matter of
sanction, but rather an issue of acculturation of ethics and the respective socialization of
civil servants.
 This, in turn, signifies a shift in focus from external to internalized control and standards, as well
as an enrichment of the normative content of administrative behaviour.
 It has also been argued that unified administrative virtue is comprised of the components of the
ALIR model of ethical reasoning.This model presents not only an endeavour for a heuristic
synthesis of values; above all it purports to emphasize the significance of putting morality and
thics first in the public administration of tomorrow.
*****
9. AN APPROACH TO CASE STUDIES
CASE-1
 For past several days, Arun has been making an observation at this unit. Late in the nights the
chimney of the unit spills off an unusual black smoke. He noticed it for a few days until upon
some enquiry he found out that the ESPs (device to separate coal ash from the smoke finally
going to chimney) are switched off to save power as they consume a substantial power
produced to run them.

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 Arun knows that this is in violation of the law. ESPs shall mandatorily run in a coal based power
plant of a unit as this. Switching them off in a running plant violates the environmental laws.
Moreover in the long run this practice shall degrade the atmosphere of this area.
 He talks to his manager but the manager asks him to keep off this and explains him that this
company makes huge money saving power by keeping ESPs off for a few hours daily. And he
further cunningly says that no one can see smoke late in the night in this sparsely populated
forest area. A few days later Arun gets a chance to see his unit head. He puts the issue back.
 The unit head warns him of dire consequences if he further raises this issue. He also threatens
him to sack. Next morning Arun is served with a show-cause notice against some irregularities in
his work and his identity card has been blocked for an automatic attendance. His presence in the
office was recorded in person by another staff but without his signature.
 Arun wants to complain this violation of environment to government authorities but in doing so
he will finally have to lose his job and loan repayment (Which he had taken for his education) is a
burden he cannot bear. If sacked on corruption charges, he faces a chance of career blockade.
Suggest a path ahead for Arun.
ANSWER
 Issue involved is personal versus larger public interests. Further honesty and integrity are also
under question. Arun owes a lot to the company and stakes a lot on the job. For the show cause
notice he must present his working profile and performance, outcomes as proof of his ability
which is been questioned.
 He must clear to the authorities regarding his attitude towards the work and the violation of law
along with the future left course of complaint to government. But concealing the violation laws
is not an option instead he should complain to the potent authority as soon as possible no
matter the consequences for his personal interests might be tough.
 But his action will lead to awakening of government authority to the issue which might review
the working of other companies and may well deal with the issue at right time which could have
been a norm. This will help both the government as well as environmental efforts.
 For sure, the consequences for his personal carrier might be adverse but in time his whistle
blowing effort could generate enough publicity and response to shade off the corruption charges
and even will lend weight to his personality and character: honesty always is virtuous and he
should also believe that it will pay him back.
CASE- 2
 A junior member of staff has just returned to work after taking special leave to care for her
elderly mother. For financial reasons, she needs to work full-time. She has been having
difficulties with her mother’s home care arrangements, causing her to miss a number of team
meetings (which usually take place at the beginning of each day) and to leave work early.
 She is very competent in her work but her absences are putting pressure on her and her
overworked colleagues. You are her manager, and you are aware that the flow of work through
the practice is coming under pressure.
 One of her male colleagues is beginning to make comments such as “a woman’s place is in the
home”, and is undermining her at every opportunity, putting her under even greater stress.

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Key fundamental principles

1. Integrity: You need to be fair to all those involved and act in a straightforward manner.
2. Confidentiality: You owe a duty of confidentiality to the staff involved.
3. Professional behaviour: How should you proceed so as not to discredit yourself, your profession
or the practice for which you work?
Considerations
Identify relevant facts
 Consider the firm’s policies, procedures and guidelines, best practice and, with legal assistance if
required, applicable laws and regulations. Is there a staff handbook or similar internal
publication?
 Consider whether it is your proper role to manage this sort of staff issue. Does the practice have
a department responsible for personnel issues?
Identify affected parties

 Key affected parties are you, the junior member of staff and her colleagues.
 Other affected members of staff may be in the personnel department.
Who should be involved in the resolution

 Consider not just whom you should involve but also why and when. Can your professional body
provide advice and guidance?
 Do you have access to appropriate staff in the personnel department, or are you able to consult
an external organisation for confidential advice?
Possible course of action

 Check the relevant facts. If necessary, clarify staff procedures with the personnel department.
Take legal advice if required. Discuss the matter with the junior member of staff. Possible
solutions may include suggesting a more flexible approach to team meetings. Do these always
have to be in the morning? At times, working from home may be an option for the junior
member of staff.
 You also need to deal with the other member of staff, who needs to be reminded about proper
conduct and how such behaviour may amount to harassment and be in breach of the practice’s
code of conduct.
 Considering the issues and trying to identify a solution enables you to demonstrate that you are
behaving professionally and attempting to resolve the difficulties faced by the junior member of
staff. Throughout, you must be seen to be acting fairly – both towards the junior member of
staff, who is responsible for her mother’s care, and towards other members of staff.
 Having considered all reasonable compromises, if the conclusion is reached that the junior
employee is unable to carry out the work for which she was employed, you must turn your
attention to her ongoing employment within the practice.
 This will probably be out of your hands, and you should deliver the relevant facts to the
personnel department or the owners of the practice. Appropriate confidentiality must be

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maintained at all times. You should document, in detail, the steps that you take in resolving your
dilemma, in case your ethical judgement is challenged in the future.
CASE- 3
 You are one of three partners in a firm of accountants. Five years ago, the firm was appointed as
external accountants to a young, successful and fast-growing company, engaged to prepare year
end accounts and tax returns.
 The business had started trading with a handful of employees but now has a workforce of 200,
while still remaining below the size of company requiring a statutory audit.
 Due to your close relationship with the directors of the company (who are its owners) and
several of its staff, you become aware that staff purchases of goods manufactured by the
company are authorised by production managers, and then processed outside the accounting
system. The proceeds from these sales are used to fund the firm’s Christmas party.

1. Integrity: Would omitting income from staff sales result in the financial statements and returns
to the tax authority being misleading? Is the practice dishonest, and what should be your
involvement?
2. Objectivity: In view of the trust that has built up between you and your client, and the threat
brought about by the familiarity you have with the directors and staff of the company, how will
you maintain your objectivity when deciding on a course of action?
3. Professional competence and due care: You must ensure that the financial information that you
produce on behalf of your client is in accordance with technical and professional standards.
4. Professional behaviour: How should you act in order to protect your reputation and that of your
firm and your profession?
Considerations
 Consider relevant accounting standards and any applicable laws and regulations. Determine the
system currently employed for controlling staff sales and funding the staff Christmas party.

 Key affected parties are you and your firm, your client company, its directors and staff, and users
of the company’s accounts, including the tax authority.

 The reputation of your firm may be vulnerable, and you should disclose this ethical dilemma to
your partners. Throughout the resolution process, you should keep your partners informed and
be alert to any possible requirement to notify your professional indemnity insurers.
 It is not appropriate to discuss the matter with any of the staff of the client company, although
the directors should be informed of the issue as soon as possible, and be involved in the
resolution.

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 Having brought the issue to the attention of your partners, and obtained the relevant details of
the client’s system for accounting for staff sales, you should raise your concerns with the
directors of the client company.
 You will also have to determine whether the financial statements of previous years are likely to
be misleading and, if so, consider your responsibility (or that of your client) to inform the
relevant authorities (including the tax uthority).
 You should strongly advise the directors that a staff sales policy should be introduced to ensure
that these sales are fully recorded in the company’s accounting system in the future.
 You should explain to the directors the implications of their actions, and that you are
safeguarding the interests of the company and its staff in advising how the situation may be
rectified. If the directors are co-operative, you should advise them of the recommended changes
to the accounting system and how they might disclose the past undisclosed income to the tax
authority.
 If the directors appear unwilling to change the system in respect of staff sales, you are obliged to
disassociate yourself from any involvement with the company’s financial statements, and this
will require your firm to resign as the company’s accountant. At any time, you may seek advice
from your professional body.
 In view of your client’s conduct, you are obliged to consider your whistleblowing obligations, and
may have to report the matter to one or more authorities. You should document, in detail, the
steps that you take in resolving your dilemma, in case your ethical judgement is challenged in
the future.
CASE- 4
 You are a sole practitioner who used to provide a range of accountancy services for a small
company (Company A) that owns a hardware shop in the town where you practise. Following a
brief retendering process, the client chose to engage an alternative firm of accountants.
 Both you and the other firm had been asked to tender for a range of services, including the
preparation of year end accounts, tax compliance work, and a due diligence exercise in respect
of the intended purchase of a small hardware business in the neighbouring town.
 You believe that you were unsuccessful in the tendering process on the basis of cost alone, as
Company A is not very profitable, and suffers from the competition of the other hardware
business that it intends to acquire.
 You are the continuity provider for another local sole practitioner. Two months ago, he suffered
a heart attack, and so you are currently acting for a number of his clients. He is not expected to
resume practising for another two months.
 One of the clients of the incapacitated practitioner (Company B) operates a shop selling
electrical goods. The director and majority shareholder has called you to arrange a meeting to
discuss a business venture that he is considering.
 At the meeting, the client explains that he intends to make an offer for the same small hardware
business that Company A is seeking to acquire. He is aware that there is another bidder for the
business, but is unaware that it is Company A, or that Company A used to be your client.
 When the meeting is over, you start to feel uneasy. You want to help Company B and provide a
valued service on behalf of the practitioner for whom you are the continuity provider. But you

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realise that you are also in possession of confidential information concerning the plans of your
previous client. You are aware of Company A’s problems and its motivation for wishing to
acquire the business.

1. Integrity: You must be straightforward and honest.
2. Confidentiality: How will you ensure that you do not use confidential information relating to
your previous client to the advantage of Company B?
3. Professional behaviour: How will you safeguard your reputation and that of your profession?
Considerations
 You have responsibilities to the practitioner for whom you are the continuity provider, and to his
clients. You may assume that the target business has a premium value to Company A, because
Company A already owns a similar business. However, this is confidential information (which
would give Company B a competitive advantage in the bidding process).
 You must not breach the fundamental principle of confidentiality. In addition to your
professional body’s code of ethics, you should consider any applicable laws and regulations.

 Key affected parties are you, Company B (and its director), Company A (and its directors) and the
target business (and its owners). You should also consider the practitioner for whom you are
acting as continuity provider.

 The issue of confidentiality is a sensitive one, and you should not involve any parties in the
resolution process without good reason. Any discussion of this ethical dilemma, in itself, risks
breaching confidentiality.
 The involvement of your professional body may be particularly useful in such a situation. If the
other sole practitioner is well enough, he should be informed of the dilemma and the actions
that you decide to take.

 You must not disclose to the director of Company B any confidential information gained from
your former relationship with Company A. Nor may you use the information for the advantage of
Company B or for your own personal benefit.
 Your problem is complicated by the fact that you are obliged to act for certain clients under the
continuity agreement. However, you must remove (or reduce to an acceptable level) the threat
to the fundamental principle of confidentiality. This may be achieved by openly declaring the
conflict to the director of Company B.
 Even so, you must exercise very careful judgement when determining how much information
can or cannot be shared. In the first instance, you should evaluate the threat to the principle of

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confidentiality brought about by the conflicting interests of your current client and your previous
client.
 In this case, you are likely to conclude that it is significant. Even if you believe that the threat can
be managed while you assist Company B in its bid for the target business, this may not be the
perception of a reasonable and informed third party.
 Therefore, you should consider declaring the conflict of interest between Company A and
Company B, and explaining that you cannot act on behalf of Company B in respect of the
proposed bid for the target business.
 You still have a responsibility to your previous client, but if you need to disclose this fact to the
director of Company B, you should not mention the name of that client. Such disclosure should
be documented.
 If pressure is put upon you to disclose the name of the other bidder, you should resist. Under
such circumstances, it may be advisable to disengage from the client completely in order to
effectively safeguard the threat to confidentiality. This will be a measure of last resort, as you
are expected to provide continuity of service to Company B, and also act in the interests of the
practitioner who is incapacitated.
 You should keep the incapacitated practitioner informed, if possible. In any event, you should
document, in detail, the steps that you take in resolving your dilemma, in case your ethical
judgement is challenged in the future.
CASE- 5
 You are a qualified accountant in practice, and you lead a team providing management
consultancy services. In recent years, your practice has undertaken several assignments on
manufacturing efficiency improvements for a medium-sized, quoted group of companies.
 It operates through a number of divisions, but line responsibility appears complicated, and so
ignificant control rests with four semi-autonomous regional directors. The authority of these
directors is enhanced by their seats on the group’s main board.
 You have cultivated a good working relationship with the regional director with whom you are in
contact most frequently. Three weeks ago that regional director asked you to investigate, as a
matter of urgency, a particular project, Project A.
 He had been irritated to be told, informally, of the likely deferral of the agreed delivery date for
the components on his sophisticated design-and-build contract. Project A comes within the
regional director’s esponsibility primarily because of the location of the factory that makes the
key components.
 Once on site, your team had discovered a range of difficulties with the project, starting with
fundamental design faults and extending deep into the manufacturing processes. It is clear that
various contracts will be breached, and litigation is likely to follow. Your team has produced a
prioritised list of actions and begun working to establish a revised schedule to take the project to
completion.
 At a recent meeting, you gave the regional director and the factory manager your estimate that
the delay to Project A will be a minimum of three months. You indicated that extra direct costs
are likely to be £7 million to £10 million. This is before any potential claims for compensation.
 On the instructions of the regional director, your team has been working on a formal report
specifying detailed recommendations. While still incomplete, the report appears certain to

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support your previous estimates. You are aware, from the financial press, that the group is
rumoured to have difficulties with its bankers.
 You assume that the situation with Project A is likely to be seriously detrimental to the group’s
financial position. One week before the final version of the report is due, you receive a surprise
telephone call from the group’s finance director.
 He explains that he is about to enter a main board meeting, but needs to know a date for
delivery of the report on Project A. Late the previous evening, the regional director had informed
the finance director that your firm had been asked to provide the report.
 He says: “I appreciate that you have only just started, so there are no reliable estimates yet. But
the regional director mentioned that Project A could incur around £4 million to £5 million in extra
costs, with income delayed by perhaps six to eight weeks. The regional director has sent his
apologies to the board meeting, as he has to attend a family funeral.”
 He adds: “Hopefully, the regional director is being cautious, but if something does turn out to be
as rong with Project A as those numbers suggest, the extra costs and deferred income have
serious implications for the group’s cash flow. The full board will need to start planning remedial
action now. When will your report be ready?”

1. Integrity: How do you maintain your professional integrity: by responding only to the question
asked or by immediately alerting the finance director and the main board to the seriousness of
the situation?
2. Objectivity: Does loyalty to the regional director, from whom your firm usually takes
instructions, outweigh your responsibility to the main board? If not, can you resist any feeling of
intimidation from the regional director that you may be experiencing?
3. Confidentiality: You must establish from your engagement letter to whom you owe a duty of
confidentiality, in order to resolve your potential conflict of loyalty.

 Key affected parties are you, the regional director, the finance director and the board. Indirectly,
investors and other stakeholders in the group are affected, due to the group’s recent cash flow
problems.

 You should involve the regional manager as early as possible, and the finance director and the
main board if necessary.

 You should take care not to make a hasty decision while on the telephone to the finance
director. If necessary, you should state when your report will be ready, and end the telephone
conversation, so that you may establish the facts.
 It should be possible to call the finance director back later, even if that means interrupting the
board meeting. As soon as you are able, you should review the firm’s letter of engagement,
which will establish who the client is for the purpose of your duty of confidentiality.

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 Your firm is engaged as consultants, rather than as auditors, and if your engagement is with the
division overseen by the regional director, it could be argued that communication to the main
board is an internal matter for which you have no direct responsibility.
 In the meantime, you should attempt to contact the regional director to inform him of the
finance director’s misunderstanding, and reconcile the conflicting estimates. You should not take
part in any deliberate attempt to mislead the main board.
 It is possible that the future of the group as a going concern could be under threat. If a review of
the engagement letter reveals that your engagement is with the main board, in the absence of
an explanation from the regional director, you should call the finance irector and explain that
the report is likely to reveal estimates that are very different from those mentioned earlier.
Key fundamental Principles

1. Confidentiality: Confidentiality is fundamental to the assignment as a whole. But to whom is the
duty of confidentiality owed?
2. Professional behaviour: The information you have could assist the main board significantly with
the discharge of its duties. Whether you disclose the information now or restrict the information
you provide pending a discussion with the regional director, how can you protect your
reputation and that of your firm?
Considerations
 You should establish why the finance director appears to have incorrect information. Is there a
mistake or misunderstanding, or some other explanation for the discrepancies.
 If the engagement is with the regional director’s group company, a duty of confidentiality is
owed to that client and, if the finance director seeks further information from you, you should
make your position clear.
 Nevertheless, when you are able to contact the regional director, you should discuss with him
the call you received from the finance director. If you are then of the opinion that the regional
director has deliberately misled the main board, you should ask him to rectify the position.
 If he does not, you might have a conflict of interest. You could seek advice from your
professional body. In addition, in order to determine your responsibilities (and those of the
regional director towards the main board), you may seek independent legal advice.
 You should document, in detail, the steps that you take in resolving your dilemma, in case your
ethical judgement is challenged in the future.
CASE- 6
 You are a trainee accountant in your second year of training within a small practice. A more
senior trainee has been on sick leave, and you are due to go on study leave. You have been told
by your manager that, before you go on leave, you must complete some complicated
reconciliation work. The deadline suggested appears unrealistic, given the complexity of the
work.
 You feel that you are not sufficiently experienced to complete the work alone. You would need
additional supervision to complete it to the required standard, and your manager appears
unable to offer the necessary support.

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 If you try to complete the work within the proposed timeframe but fail to meet the expected
quality, you could face repercussions on your return from study leave. You feel slightly
intimidated by your manager, and also feel pressure to do what you can for the practice in what
are challenging times.

1. Integrity: Can you be open and honest about the situation? Would it be right to attempt to
complete work that is technically beyond your abilities, without proper supervision?
2. Professional competence and due care: Is it possible to complete the work within the time
available and still act diligently to achieve the required quality of output?
3. Professional behaviour: Can you refuse to perform the work without damaging your reputation
within the practice? Alternatively, could the reputation of the practice suffer if you attempt to
perform the work?
Considerations
 The practice that employs you is small and under pressure due to the sickness of a member of
staff. However, the work you are being asked to perform is beyond the usual ability of a trainee
at your level.
 Determine whether the deadline can be extended; when your colleague is expected to return
from sick leave; and what other resources might be available to the practice.
 Consider the policies and procedures of the practice, as well as your professional body’s code of
ethics.

Key affected parties are you, your manager, the practice, its other employees and the client.

 In the first instance, you should attempt to resolve the issue with your manager, although it may
be necessary to involve the person responsible for training within the practice.
 You might, at an appropriate stage, suggest that the client be involved.

 You should explain to your manager that you do not have sufficient time and experience to
complete the work to a satisfactory standard. However, you should demonstrate a constructive
attitude, and suggest how the problem may be resolved. (Your professional body is available to
advise you in this respect.)
 For example, you might suggest the use of a subcontract bookkeeper, or contacting the client to
enquire if the deadline might be extended so that the work may be performed when you return
from study leave or when your colleague returns from sick leave. You might also explore the
possibility of assigning another member of staff to supervise your work.
 If you feel that your manager is being unsympathetic or simply fails to understand the issue, you
should consider how best to raise the matter with the person within the practice responsible for

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training. It would be diplomatic to suggest to your manager that you raise the matter together,
and present your respective views. This would have the added advantage of involving a third
party.
 It would be unethical to attempt to complete the work if you doubt your competence. However,
simply refusing to, or resigning from your employment, would cause significant problems for
both you and the practice. You could consult your professional body.
 If you seek advice from outside the practice (for example legal advice), you should be mindful of
the need for confidentiality as appropriate. You should document, in detail, the steps that you
take in resolving your dilemma, in case your ethical judgement is challenged in the future.
CASE- 7
 You are a partner in a three-partner firm of accountants. The firm generates fees of
approximately £1.4 million per annum. Within your portfolio of clients is Company A, which has
been very successful since it first came to your firm five years ago. It now has an annual turnover
in excess of £15 million.
 Company A generates annually recurring fees for the practice of approximately £50,000, of
which approximately £35,000 is in respect of audit work and £15,000 relates to routine tax
calculations and preparation of the corporation tax return.
 Your firm has a separate tax department, which performs the tax compliance work in respect of
Company A. The company’s financial year end is December. Last year, the audit work
commenced in June, and the audit report was finally signed in August. By the end of August, the
tax return had been submitted to the taxation authority, and the firm’s invoice had been issued
to Company A.
 In September a significant customer of Company A went into receivership, and Company A
suffered a large bad debt. The directors approached you immediately, and were very open about
the company’s short-term cash flow problem. Therefore, you agreed that payment of the firm’s
invoice of £50,000 could be spread over ten months, commencing in October.
 Company A also needs the support of its bank and, in December, it was negotiating a modest
increase in its overdraft facility. It is now early March, and the bank has requested audited
financial statements by the end of the month. The audit is well underway, and you have
promised the directors of Company A that the bank will have the audited accounts on time.
 The planning of the audit was performed by the audit senior and reviewed by the audit manager
for the assignment (in whom you have a great deal of confidence). Due to pressure of work, you
did not review the audit plan in detail before the audit team commenced the year end audit
work, and so you decide to review and sign off that section of the audit file now.
 You note that the audit manager has correctly identified going concern as the area of the audit
attracting greatest risk. However, at the time of planning the audit, the manager was unaware of
the credit agreement reached with regard to the payment of last year’s fees. You check your
firm’s records, and determine that Company A still owes the firm £25,000.

1. Integrity: There was a flaw in the planning of the audit, which was not noticed by the audit
manager before the audit work commenced. Is it possible to ignore the flaw and yet act with
integrity, given that the flaw was unintentional?

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2. Objectivity: Can you reach an objective audit conclusion in view of your wish for Company A to
continue trading and settle its outstanding fees to your firm?
3. Professional competence: You need to bear in mind any ethical standards for auditors relevant
to the country in which you practice.
4. Professional behaviour: Regardless of the actual impact of the outstanding debt on your
objectivity, if the bank (or a hypothetical, objective, well-informed third party) knew of the
outstanding fees, what impact would it have on your firm’s reputation?
Considerations
 Through a combination of circumstances, your firm is under pressure to complete an audit
assignment while it has a financial interest in the client. The debt of Company A to your firm was
not as a result of an investment decision, but a pragmatic solution to a problem being faced by
an honest client.
 Nevertheless, your firm has a clear interest in the client’s ongoing existence, and would not want
the audit opinion to jeopardise the repayment of the debt.

 Potentially, the affected parties are you and your firm, Company A, the bank, and any
stakeholders in Company A who will refer to your firm’s audit opinion.

 You may involve the audit manager in discussions, although he can do nothing to make your
opinion more objective. He can only provide advice (as can your professional body).
 You should certainly involve your partners, and consider who else you may involve who is free
from any personal interest in Company A.

 You need to ensure that the audit opinion is reached objectively, but also that a reasonable and
informed third party would conclude that objectivity has been adequately safeguarded.
 Any discussion with the audit manager and the audit senior, who performed the planning
initially, should have the objective of amending the firm’s planning procedures to ensure that
outstanding fees are always considered in the future.
 The bank will probably have reviewed Company A’s debtors and creditors at various times, and
may, at any time, question how your firm could retain objectivity. You may wish to prompt such
a question by disclosing to the bank (with the consent of your client) the safeguards you have
put in place.
 In any event, you should discuss those safeguards with the directors of Company A, as there will
be costs associated with the safeguards, and it would appear reasonable to pass these costs on
to the client. The appropriate safeguards will depend on the significance of the threat presented
by the outstanding fees of £25,000.
 This will depend on many factors, including the personal circumstances of you and your
partners. In the context of the firm, the debt of £25,000 represents less than 2% of the firm’s

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annual income. However, the annual fee income from the client (£50,000) equates to 3.6% of
the firm’s income and, when the invoice is raised for the current audit, the outstanding debt will
be significant.
 You must minimise the threat to objectivity brought about by the firm’s interest in Company A
continuing to trade. A possible solution may be to obtain directors’ guarantees in respect of the
outstanding fees and the invoice which is soon to be raised.
 Provided the directors are in a position to provide such guarantees, this would have a
commercial benefit as well as an ethical one. It will almost certainly be necessary to obtain legal
advice before entering into such an agreement.
 However, even if this possible course of action is pursued, it may not be sufficient to reduce the
threat to objectivity to an insignificant level. This may only be achieved by introducing an
independent auditor to review your firm’s audit work before the audit report is signed.
 This should be someone who is independent of the firm and, therefore, unsympathetic to the
firm’s interests. It may be advisable to engage a consultancy company to perform the review,
and to discuss with your client how the additional costs will be met.
 You should keep your partners informed of the issue, and the safeguards you intend to
implement, throughout the resolution process. You should document, in detail, the steps that
you take in resolving your dilemma, in case your ethical judgement is challenged in the future.
CASE- 8
 You are the deputy director of finance and information for a hospital trust, with overall
responsibility for the preparation of non-financial performance information. The newly
appointed director of finance and information is putting considerable pressure on you
concerning the collation and reporting of this year’s performance information for presentation
to the trustees and your regulator.
 The director has made it clear that he expects the reported performance information to result in
the hospital retaining its ‘excellent’ rating by the regulator. Some favourable performance
information has not been adequately verified, but the director is willing for it to be reported,
because it will enhance the perceived performance of the trust.
 You are aware that some departments have had difficulties meeting targets uring the last year,
due to funding constraints and staff shortages. From your scrutiny of the information systems,
you are concerned that the relevant information may be incorrect, and that the correct
performance information would draw attention to some severe performance shortfalls within
the hospital.
 You are aware of some instances where departments have been double counting activity in rder
to increase the funding income of the hospital. This was highlighted in a recent internal audit
report, which will shortly be submitted to the audit committee.
 The director is putting considerable pressure on you to conceal this issue, in the short term,
while he reviews the position and puts in place a plan for remedial action.

1. Integrity: You must use your best endeavours to ensure that the performance information finally
reported gives a straightforward and honest picture of the performance of the hospital trust.
2. Objectivity: How can you maintain your profession

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 Parties affected include you, the director of finance and information, the hospital trustees, the
audit committee, the regulator, and any other users of the information you are compiling.
 The managers of the departments that have provided inaccurate information may also be
affected.

In the first instance, you should involve the director of finance and information. Also available are
the audit committee, the trustees, and any mechanism within the trust or the wider health service
that exists to advise on ethical issues and policies.

 It is important that you try to maintain a good working relationship with the director of finance
and information. However, you should deliver a rational, firm and honest statement of the
situation in your discussions with him.
 You are likely to feel pressure to follow the director’s wishes, but you should not allow
intimidation to sway your professional judgement. Nor should you be influenced by any self-
interest arising from the hospital retaining its ‘excellent’ quality rating due to the reporting of
inaccurate information.
 You should suggest to the director ways in which the performance information may be best
presented. This should be done objectively and accurately, while highlighting positive data based
on both historical events and projections.
 If the director continues to urge you to present the information dishonestly or with an
unreasonable bias, you should bring to his attention the trust’s relevant policies, procedures and
guidelines, together with your professional body’s code of ethics.
 By acknowledging that issues exist in the collation and processing of information, and suggesting
an action plan, you may successfully demonstrate to the director that efficiency improvements
can be made to the information systems. Your proposed action plan might also indicate how the
reputation of the trust and its relationship with the regulator may be maintained.
 It is possible that your proposals will not be sufficient to prevent a fall in the hospital’s quality
rating. In any event, the director may not accept your proposals, and may try to insist that you
present unverified information. You should not allow yourself to be associated with such
information.
 In the event of such an impasse, you may wish to bring the matter to the attention of the
chairman of the board of trustees. If possible, this should be done with the co-operation of the
director. At any time, you may seek advice from an individual or department responsible for
ethics within the trust, or from your professional body or an independent lawyer.
 If unverified information is reported against your will, you should consider how best to
disassociate yourself from it. At all times, bear in mind the need for appropriate confidentiality,
especially if raising the matter outside the trust.
 Having taken suitable advice, it may be appropriate to file a report with the hospital trustees, or
to report directly to the audit committee. In extreme circumstances, it might be necessary for

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you to report your concerns to the regulator. You should document, in detail, the steps that you
take in resolving your dilemma, in case your ethical judgement is challenged in the future.
CASE- 9
 The year end accounts for a local authority have been prepared, and they will soon be adopted
by the council, ready for audit. You are the head of social services finance, and you have become
aware that some work has been performed by a consultant which has resulted in a proposal to
close an elderly persons’ care home.
 The council members want to suppress this information from becoming public knowledge
because there is a forthcoming by-election in the electoral division where the care home is
located. The consultant has agreed not to submit the invoice for their fees, which are significant,
until after the by-election.
 Normal accounting treatment would require the consultant’s fees to be included as an expense
in the accounts. Additionally, the estimated costs of the potential closure may need to be
included as a provision in the accounts.
 The members will not make their decision known until after the by-election, which will be after
the audit has been completed and the opinion signed.

1. Integrity: How can you ensure that the accounts are an accurate and honest representation of
the council’s activities? You cannot allow yourself to be involved in the publication of
information that is misleading.
2. Professional behaviour: You are required to perform your work in accordance with applicable
law and regulations, including relevant accounting standards. How should you act so as not to
discredit yourself or your profession?
Considerations
 Consider the Local Government Code, generally accepted accounting standards, and applicable
law and regulations. Also, establish the extent of the potential misstatement of the accounts.
 What is the likelihood that the council members have already decided to act on the consultant’s
advice, in which case the provision for the costs of closing the care home is also required? Could
past accounts have been misleading as well?

 Affected parties include you, the council, council members, the consultant, the occupants of the
care home, and the electorate.

 As the intention to conceal the consultation exercise is that of the council members, you should
involve the leader of the council in the resolution process.
 You should also consider involving other senior managers, the internal audit department, and
the external auditor.

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 The consultant’s fees are significant, and so they should be included in the local authority’s year
end accounts. You should establish, through discussions with senior management, whether the
accounts should also reflect the proposal to close the care home.
 You should try to explain to your colleagues the accounting principles that require the liability in
respect of the consultant’s charges and the potential provision in respect of the closure of the
care home to be accounted for. You should make clear your professional and ethical
responsibilities, and be prepared to discuss the issues with the leader of the council, if
necessary.
 You could notify the central finance team, who may decide to bring the matter to the attention
of those responsible for internal compliance (e.g. the internal auditors). They should also
immediately notify the external auditors.
 If it appears necessary to whistleblow to third parties, you should consider carefully to whom
you should report, bearing in mind the fundamental principles of confidentiality and
professionalbehaviour. You could consult your professional body for advice, and consider
seeking independent legal advice.
 You should determine what access you have to organisations that can offer guidance and
support to employees who find they have a whistleblowing responsibility. You should document,
in detail, the steps that you take in resolving your dilemma, in case your ethical judgement is
challenged in the future.
CASE- 10
 You are head of internal audit in a public sector organisation which is about to put out for tender
the contract for the internal audit service. It will be an open tender process, for both external
and internal providers.
 The newest member of your team was recruited from the department responsible for devising
the tender process. He is now a support administrator in your department. Although he took no
part in establishing the tender process, a former colleague (and personal friend) of his was
heavily involved in drawing up the tender specification document and will be involved in the
evaluation process.
 The support administrator has had sight of some of the evaluation criteria, and has offered to
share with you information that may be of use when preparing the tender. However, this
information is confidential and should not be seen by any of the tendering parties.
 Bids from external providers are being encouraged, and the evaluation process has been
designed with this in mind. If the contract is awarded externally, you will be unsure of your
future position in the organisation.
 You understand that the use of any insider knowledge of the tendering process would be
inappropriate when preparing the tender proposal, but you would have a better chance of
success if you used the confidential information.

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1. Integrity: If you use the confidential information being offered to you, the tendering process
may be undermined. What must you do to act with integrity and be seen to be acting with
integrity?
2. Objectivity: If you receive information that could benefit your department’s tender, can you
retain your objectivity? If third parties were made aware of the connection between your
support administrator and the department responsible for devising the tender process, would
you still be perceived as acting with objectivity?
3. Confidentiality: Confidential information acquired as a result of professional and business
relationships should not be used to your personal advantage.
4. Professional behaviour: You must avoid any action that may discredit you, the organisation you
work for or the accountancy profession.
Considerations
 As head of internal audit, your future position within the organisation is uncertain if the internal
audit contract is awarded to an external provider. Therefore, there is a significant self-interest
threat.
 This threat needs to be carefully managed, and the perception of integrity needs to be
maintained, as well as actual integrity.

 Parties that may be affected by the integrity of the tender process are you, other members of
your department, the head of the department that devised the tender process, and third parties
tendering for the contract. The reputation of your organisation might also be affected.

 You should consider raising the matter with your line manager, but you will also need to involve
the support administrator and the head of his former department in the resolution.

 Your future role within the organisation (if any) is unclear. If you had more information about
this, you might be less anxious about your career, and your objectivity might not be so
threatened. However, it currently appears that there is the potential for personal gain from
using the evaluation information.
 You should not use this confidential information in your tender document. You should state
clearly to the support administrator that his offer of assistance cannot be acted upon, and you
should try to prevent him from communicating further with you about the tender process.
 In offering you information about the tender process, your support administrator may already
have passed relevant information to you. In any event, it is likely that the perception of third
parties (if they were well informed regarding the relationship between the support
administrator and the department responsible for devising the tender process) would be that
you may have already received confidential information.

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 You need to take decisive action to protect your reputation and that of the organisation for
which you work. You should disclose to the tendering department the relationship between a
member of your staff and a member of theirs, and specifically make them aware of any
confidential information already in your possession.
 You might suggest to the tendering department that they make the same information available
to other bidders. You may further reduce the threats to your objectivity by disclosing the
situation to your line manager.
 You must also make the support administrator aware that you will not be using any confidential
information, and that any further communication between him and his former colleague
regarding the tender process would be a breach of confidentiality.
 By openly stating your intentions, you are also demonstrating to others within the organisation a
level of expected ethical behaviour. You may also be able to refer your staff to the organisation’s
internal code of ethics if one exists.
 You should document, in detail, the steps that you take in resolving your dilemma. Keep records
of meetings and conversations, in case the integrity of the tender process or your ethical
CASE- 11
 You are the finance director of a district council. The chairman of the finance committee
approaches you asking to see all the information the housing benefits section holds about the
financial and personal affairs of a councillor.
 The chairman of the finance committee insists on seeing this information (saying that he will not
disclose how he acquired it), even though he cannot identify any legitimate reason. The
chairman is not willing for you to contact the councillor about this.

1. Integrity: Can you be straightforward and honest in your dealings with the people concerned?
2. Confidentiality: Are there proper grounds for disclosing the information?
3. Professional behaviour: What should you do to safeguard your reputation?
Considerations
 Consider the organisation’s policies, procedures and guidelines, applicable laws and regulations,
and the code of ethics of your professional body.
 You should attempt to establish other relevant facts, including any allegations of fraud or
impropriety on the part of the councillor, whether in the public domain or not.

 Key affected parties are you, the chairman, the councillor, and possibly the council.
 Other possible affected parties are the finance committee, members of council staff responsible
for housing benefit, and the officer responsible for data protection.

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 This appears to be a sensitive matter, and so you should consider not just whom you should
involve, but also when to involve them and the reasons for their involvement.
 You will have to involve the chairman of the finance committee. Others may include the data
protection officer, legal officers and internal auditors.

 You must engage effectively, but diplomatically, with the chairman of the finance committee.
You should explain to him the ethical dilemma you are facing, and make your concerns clear. If
possible, obtain from the chairman a formal, reasoned request in writing.
 If this is not forthcoming, ensure you make detailed notes of the request and any reasons given
or implied. Impress upon the chairman your duty of confidentiality, and any legal implications of
complying with his request, as well as the ethical ones.
 You should obtain specialist legal advice if necessary, as meeting the request might infringe data
protection legislation in some jurisdictions. You may refer the chairman to any information in
the public domain, but you must deny him access to other information.
 If the request is formally made in writing by the chairman, you should try to establish whether
there is a basis for investigating the councillor. This might be suspected impropriety, and again
you are likely to need legal advice to establish any such basis for investigation. Your professional
body will also be able to provide you with advice, as more facts come to light.
 Try also to establish any reasons why the councillor should not be asked for his consent to the
release of information about his affairs. Determine whether, in the light of any such reasons, an
internal or external investigation may be appropriate (and by whom it should be conducted).
 It may be advisable to inform the councillor of any ensuing investigation at the relevant time,
bearing in mind the need for confidentiality surrounding the investigation. You should
document, in detail, any discussions that you have with the chairman and any advisors, and the
steps that you take in resolving your dilemma, in case your ethical judgement is challenged in
the future.
CASE- 12
 You are finance director in a public sector organisation that has experienced difficulty attracting
and retaining skilled staff. To assist in overcoming this problem, the board has engaged a
consultant to recommend an improved benefits structure, to apply to all staff.
 The consultant has produced his report, and you have been asked to consider the proposed staff
benefits structure, and make appropriate recommendations to the board.You study the report,
conduct appropriate research, and assess the costs involved.
 You conclude that it will be necessary to increase staff costs, but you believe these will be offset
by the efficiencies brought about by recruiting and retaining high-quality staff. The report
contains the following recommendations:
o Benefits should be related to the length of service of members of staff.
o After one year of continuous employment, a member of staff will qualify for private health
insurance.
o Private health insurance should cover the member of staff and his or her spouse, but no
other members of the employee’s family.
o Enhanced pension benefits will accrue to all staff after one year of service.

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 You decide to advise the board that the consultant’s recommendations should be adopted in
full. You are pleased with your work on this assignment, and feel confident that the proposed
package of benefits should serve as a strong motivator to all staff.
 Your personal circumstances mean that you will benefit greatly if the board accepts the
consultant’s report. You have been with the organisation for eleven months. You have recently
become engaged to your girlfriend, who works in a different department.
 She has handed in her notice, as you both decided that it was inadvisable to work so closely
together after you are married. Her new job will provide a slightly lower salary, and you are both
saving hard to buy your first home.
 The date of your wedding is only two months away, but you do not intend to start a family in the
near future. You have been concerned about starting to provide for your pension, and neither
you nor your fiancée have been able to afford health insurance.

1. Integrity: In view of your personal interest in the proposed benefits structure, how will you
ensure that you are perceived as straightforward and honest?
2. Objectivity: Can you remain unbiased and consider only the relevant facts and the interests of
the organisation, despite your personal interest in the proposed benefits package?
3. Professional behaviour: How should you proceed so as not to discredit yourself or your
profession?
Considerations
 An independent consultant has produced a report, and you are required to express your opinion
on the recommendations made within it. These recommendations, if adopted by the board,
would benefit you greatly.
 Are there ethical policies and procedures within the organisation that could help you? You must
manage the reasonable perception of third parties, as well as your actual objectivity.

 Key affected parties are you, your fiancée, other staff within the organisation, and the board.
 Other possible affected parties are the organisation’s personnel department and the consultant
(whose reputation might be tainted if your own ethics are questioned).

 Before involving the board, you might discuss your dilemma with a senior member of the
personnel department.
 The consultant’s report concerns staff remuneration, and so you should take care if you decide
to involve any other colleagues. You may seek independent, objective advice from your
professional body.

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 It is important that any personal interest you have in the consultant’s recommendations is
disclosed before your advice is considered by the board. As a member of staff yourself, it will be
clear that you have a personal interest in the organisation’s benefits package.
 However, the extent of your interest in accepting the recommendations (in view of your
marriage plans and impending eligibility for the major benefits) may not be known to the board.
You should discuss the issue with an appropriate member of the personnel department before
reporting to the board.
 You should attempt to present the board with a solution to the perceived threat to objectivity.
The quality of the report provided by the consultant is not thought to be an issue, and you are
required to provide the board with an opportunity to consider the proposals within it. Those
proposals may well be in the best interests of the organisation.
 In arriving at this stage, you should consider who else within the organisation would be able to
review the report objectively. If nobody within the organisation has the necessary skills and
independence, you might think it appropriate to procure a second opinion from another
consultant.
 You should be prepared to explain to the board how you approached the assignment, and who
else has been involved in your discussions. Also, you should provide the board with information
concerning the qualifications and independence of the consultant.
 When preparing your presentation to the board, including your costings, you should declare
your interest in the consultant’s recommendations being accepted. If possible, you might
arrange for the proposal to be presented to the board by someone other than yourself. This
might be the chief executive or the most senior member of the personnel department.
 When the item arises for discussion at the meeting, you should refer to your personal interest,
and leave the room until a final decision has been reached. During the resolution process, it may
be helpful to consult with your professional body.
 Finally, you should ask yourself whether the process of reviewing the consultant’s report has
met the relevant quality assurance procedures laid down by the organisation. You should
document, in detail, the steps that you take in resolving your dilemma, in case your ethical
CASE- 13
 You are the external auditor of a hospital trust. The trust is hoping, and expecting, to receive
enhanced status in the near future, which will afford it more autonomy and provide
opportunities to pursue a number of exciting projects.
 As the trust passed its financial year end, some unforeseen liabilities came to light. The trust’s
director of finance and chief executive had reported to the board of trustees and the egulator
that the trust would break even for the year.
 The director of finance then made a number of accounting adjustments in order to ensure that
the trust would meet its financial responsibilities, including the requirement to break even each
and every year. The adjustments required changing the accounting policy in respect of stock,
which had previously been valued on a ‘first in, first out’ basis as specified by International
Financial eporting Standards.

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 In addition, certain salaries have been capitalised, and the trust has failed to account for its
share of liabilities under a partnership agreement with a local authority, which has yet to
prepare the memorandum account.
 The adjustments come to your attention during your audit process, and you do not accept that
they are correct. As they are material, if the trust does not amend its accounts, you will have to
qualify your audit opinion on the year end accounts.
 When you discuss the issues with the director of finance, he is emphatic that his view represents
a legitimate interpretation of accounting policy. He indicates that if you do not accept it, he will
ensure that the trust appoints different auditors next year. He also threatens to tell the local
newspaper that your firm is determined to make the trust’s financial position look worse than it
is.

1. Integrity: Would you be acting with integrity if you were influenced by the finance director’s
threats, and accepted his year end adjustments?
2. Objectivity: How can you maintain your professional objectivity in the face of the threats made
by the finance director? If your firm’s local reputation and continued engagement by the trust
affect your own position, how can you avoid self-interest influencing your ethical judgement?
3. Professional competence and due care: You must observe relevant auditing and accounting
standards, policies and procedures, so that you demonstrate your professional competence.
4. Professional behaviour: You are required to perform your work in accordance with applicable
law and regulations, including relevant auditing standards. How should you act so as not to
discredit yourself, your firm or your profession?
Considerations
 The director of finance has adjusted the year end financial statements primarily in the interests
of the trust and those working within it.
 You are being intimidated by the director of finance, who is asking you to compromise your
objectivity. You must research the relevant accounting requirements to ensure that your
technical knowledge is accurate and up to date.

 Key affected parties are you, your firm, the director of finance, the chief executive, the trust and
the general public. Others employed within the trust may also be affected.

 Within the trust, you should involve the director of finance, the audit committee and, if
necessary, the chief executive.
 However, you should also involve senior members of your firm, as the firm will take
responsibility for the audit report and its reputation is being threatened in terms of both
competence and ethics.

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 You should ensure that your technical knowledge is accurate and up to date by reviewing he
relevant accounting standards, guidance and manuals issued by the government health
epartment and discussing the technical issues with appropriate members of your firm and, if
necessary, your professional body.
 You will then be able to discuss the issues further with the director of finance and the chief
executive, if appropriate, and refer them to the relevant accounting standards and the ethical
requirements of your professional body.
 If this fails to persuade the directors to make the changes to the financial statements that you
consider necessary, you should formally report the implications of this to the trust’s audit
committee, setting out the requirements of the accounting and auditing standards concerned,
and the necessary amendments to the financial statements.
 You should explain the consequences for your report – a qualified audit opinion – if the trust
fails to amend the financial statements. You should make senior members of your firm aware of
the accounting issues and the threats – to objectivity and to the firm’s reputation. They should
be involved in the drafting of the report to the audit committee, and then kept informed of
developments.
 You and your firm should consider whether the intimidation from the director of finance should
be reported to the chief executive and the chair of the audit committee. You should document,
in detail, the steps that you take in resolving your dilemma, in case your ethical judgement is
challenged in the future.
 In particular, if you conclude that the financial statements continue to be materially misstated,
your firm must issue a qualified audit opinion, and it is essential that you document fully the
reasons for doing so.
CASE STUDIES FOR PRACTICE

CASE-1
Conflict exists in every organization and to a certain extent indicates a healthy exchange of ideas and
creativity. However, counter-productive conflict can result in employee dissatisfaction, reduced
productivity, poor service to clients, absenteeism and increased employee turnover, increased work-
related stress or, worse case scenario, litigation based on claims of harassment or a hostile work
environment.
Conflicts within work groups are often caused by struggles over control, status, and scarce
resources. Conflicts between groups in organizations have similar origins. The constructive
resolution of such conflicts can most often be achieved through a rational process of problem
solving, coupled with a willingness to explore issues and alternatives and to listen to each other.
Suppose you take charge of a department and in the first few days you notice that there is a lot of
interpersonal distance among the staff. How will you attempt to close the distance in order to
make the work place more collective and collaborative?
CASE- 2
A private company is known for its efficiency, transparency and employee welfare. The company
though owned by a private individual has a cooperative character where employees feel a sense of

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ownership. The company employs nearly 700 personnel and they have voluntarily decided not to
form union.
One day suddenly in the morning, about 40 men belonging to political party gate crashed into the
factory demanding jobs in the factory. They threatened the management and employees, and also
used foul language. The employees feel demoralized. It was clear that those people who gate
crashed wanted to be on the payroll of the company as well as continue as the volunteers/members
of the party.
The company maintains high standards in integrity and does not extend favours to civil
administration that also includes law enforcement agency. Such incident occur in public sector also.
(20 Marks) (250 Words)
a) Assume you are the CEO of the company. What would you do to diffuse the volatile situation on
the date of gate crashing with the violent mob sitting inside the company premises?
b) What can be the long term solution to the issue discussed in the case?
c) Every solution/action that you suggest will have a negative and a positive impact on you as
(CEO), the employees and the performance of the employees.
Analyse the consequences of each of your suggested actions.
CASE- 3
As a senior officer in the Ministry of Public Works Department, you have access to important policy
decisions and upcoming big announcements such as road construction projects before they are
notified in the public. Your son is a land dealer.
The Ministry is about to announce a mega road project. Once it is announced, the land price in the
vicinity would see a steep hike. You have access to maps and know the dimensions of land to be
acquired. Your son wants to know the complete details and he is insisting you about this. He wants
to buy the land at present rates which is very cheap in and around the soon to be announced
project.
He is trying to convince you by saying that he would purchase land confidentially and there would be
no problem in future for you. You are aware that the Minister has already shared this information
with his children who are also into the land business. In fact, the minister has asked you to do the
same so that your son also makes huge profits. He has tried to convince you by saying that his and
your children are buying land legally and there is no harm in it.
In this situation, what will you do? Critically examine various conflicts of interests at play in this
case study and explain what are your responsibilities as a public servant.
CASE- 4
Recently, a young boy died due to overdose of drugs. It is alleged by the family that the African
neighbours are responsible for his death which has snowballed people’s sentiment in the area
against African students. People have started beating any African nationals found in the area. They
have also been appealing to expel Africans from the locality and not to give any one house on rent.
African nationals have reacted with sense of fear and insecurity. There is extreme level of reactions
from African Missions in India. They allege that it is racial discrimination and the issue will be raised
at United Nations. This has resulted into the government to respond swiftly to the emerging
situation. Based on this incident, a debate has started in media wherein the both sides blame each
other:

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a) African nationals allege that Indians are racial;-conservative and they don’t like their liberal life-
style.
b) Local residents harbour deep suspicion over Africans being crime-prone, drug peddlers and sex
workers.
c) Many of them have tried to assimilate with local communities, but only with limited success.
Suppose you are the head of that area’s Resident Welfare Association then how you will react to
the incident and the above views. Also identify the ethical issues. What will be the most
appropriate way to strike a peace deal between both sides?
CASE- 5
There are over 40000 Rohingyas living in India as refugees from Myanmar. They have been facing
ethnic cleansing in their country. The only document most carry is a UNHCR card . But they have lack
of access to education, jobs and health care because of their not-so-clear legal status in India, which
is not a signatory to the 1951 United Nations Refugee Convention.
The legal status of refugees in India is governed by the Foreigners Act 1946 and the Citizenship Act
1955. It is a criminal offence, under these Acts, to be without valid travel or residence documents.
Recently, the government has expressed its view to deport Rohingyas to Myanmar.
There is also international refugees’ crisis and the international community has not responded as per
the spirit of the UNHCR convention. In such situation what are the appropriate ways to address the
following questions:
a) Is this crisis a classic case of conflict between national interests vs. interests of human?
b) In such situation, which interests should be given more priority and why?
c) What should the most appropriate strategy for India to tackle refugee problems and challenges
as long term solutions?
d) By the time the deportation or other legal issues are addressed, what should be the short term
rights enjoyed be the refugees? Explain with reasons.
CASE- 6
You are heading a district administration in a particular department. Your senior officer calls you
from the State Headquarters and tells you that a plot in Rampur village is to have a building
constructed on it for a school. A visit is scheduled during which he will visit the site along with the
chief engineer and the senior architect.
He wants you to check out all the papers relating to it and ensure that the visit is properly arranged.
You examine the file which relates to the period before you joined the department. The land was
acquired for the local panchayat at a nominal cost and the papers showed that clearance certificates
are available for the two of the three authorities who have to certify the site’s suitability.
There is no certification by the architect available on file. You decide to visit Rampur to ensure that
all is in the order as stated on file. When you visit Rampur, you find that the plot under reference is a
part of Thakurgarh fort and that the walls, ramparts, etc., are running across it. The fort is well away
from the main village, therefore a school here will be a serious inconvenience for the children.
However, the area near the village has potential to expand into a larger residential area. The
development charges on the existing plot, at the fort, will be very high and question of heritage site
has not been addressed. Moreover, the Sarpanch, at the time of acquisition of the land, was a

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relative of your predecessor. The whole transaction appears to have been done with some vested
interest.
a) List the likely vested interest of the concerned parties.
b) Some of the options for action available to you are listed below. Discuss the merits and demerits
of each of the options:
(i) You can await the visit of the superior officer and let him take a decision.
(ii) You can seek his advice in writing or on phone.
(iii) You can consult your predecessor/ colleagues, etc, and then decide what to do.
(iv) You can find out if any alternate plot can be got in exchange and then send a comprehensive
written report.
Can you suggest any other option with proper justifications?
CASE- 7
You are recently posted as district development officer of a district. Shortly thereafter you found
that there is considerable tension in the rural areas of your district on the issue of sending girls to
schools. The elders of the village feel that many problems have come up because girls are being
educated and they are stepping out of the safe environment of the household.
They are the view that the girls should be quickly married off with minimum education. The girls are
also competing for jobs after education, which have traditionally remained in boys’ exclusive
domain, adding to unemployment amongst male population.
The younger generation feels that in the present era, girls should have equal opportunities for
education and employment, and other means of livelihood. The entire locality is divided between
sexes in both generations. You come to know that in Panchayat or in other local bodies or even in
busy crosswords, the issue is being acrimoniously debated.
One day you are informed that an unpleasant incident has taken place. Some girls were molested,
when they were en route to schools. The incident led to clashes between several groups and a law
and order problem has arisen. The elder after heated discussion have taken a joint decision not to
allow girls to go to school and to socially boycott all such families, which do not follow their dictate.
a) What steps would you take to ensure girls’ safety without disrupting their education?
b) How would you manage and mould patriarchic attitude of the village elders to ensure harmony
in the inter- generational relations?
CASE- 8
You are working as Junior Engineer in a Tehsil. You have been given responsibility to measure
MGNREGA works undertaken by 3 Gram Panchayats. You have authority to give technical sanctions
to all MGNREGA works. In one of these Panchayats, you notice that your predecessor had wrongly
measured many works, and in many cases he had approved works that never existed.
One day few elected members of that Panchayat with bundle of job cards come to you to seek
‘sanction’ for the works done by them. When enquired, they reveal that they were contractors who
had completed works under MGNREGA. When you reject their demand, they threaten you and tell
you that the previous Junior Engineer was made to quit his job because he didn’t listen to them. This
is your first job and is very important to sustain your family. There have been precedents in the past
that some junior officials were beaten to death in some parts of the Tehsil.
What will you do in this situation? Explain in detail citing rules from MGNREGA Act.

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CASE- 9
You are serving as Superintendent of Police (SP) in a district notorious for kidnapping cases. In one
such kidnapping case, ten school girls have been kidnapped and hidden in an unknown place. In
previous cases, where one or two girls were kidnapped, they were sold to prostitution racquet in a
foreign country.
Your team, under your guidance tracks the kingpin of these kidnappings and arrests him. During
routine interrogation, the arrested kingpin do not reveal any location names nor he talks about
anything related to kidnappings. Your sources clearly tell you that he is the one behind all
kidnappings.
Even after using all legal methods to get information from him, your efforts have not yielded any
result. Your friend, who is an SP in another district suggests you to torture the kingpin to get
information. You are aware of the situation that the girls might be sold and trafficked to a foreign
country if you further delay investigation.
What will you do in such a situation? Is it ethical to torture a person to save other innocent lives?
Critically comment.
CASE- 10
You are the Executive Director of an upcoming Infotech Company which is making a name for itself
in the market. Mr. A, who is a star performer, is heading the marketing team. In a short period of
one year, he has helped in doubling the revenues as well as creating a high brand equity for the
company so much so that you are thinking of promoting him.
However, you have been receiving information from many corners about his attitude towards the
female colleagues; particularly his habit of making loose comments on women. In addition, he
regularly sends indecent SMS’ to all the team members including his female colleagues.
One day, late in the evening, Mrs. X, who is one of Mr. A’s Team members, comes you visibly
disturbed. She complains against the continued misconduct of Mr. A, who has been making
undesirable advances towards her and has even tried to touch her inappropriately in his cabin. She
tenders her resignation and leaves your office.
a) What are the options available to you?
b) Evaluate each of these options and choose the options you would adopt, giving reasons.
CASE- 11
You are working as an Executive Engineer in the construction cell of a Municipal Corporation and are
presently in-charge of the construction of a flyover. There are two Junior Engineers under you who
have the responsibility of day-to-day inspection of the site and are reporting to you, while you are
finally reporting to the Chief Engineer who heads the cell.
While the construction is heading towards completion, the Junior Engineer have been regularly
reporting that all construction is taking place as per design specifications. However, in one of your
surprise inspections, you have noticed some serious deviations and lacunar which, in your opinion,
are likely to affect the safety of the flyover. Rectification of these lacunae at this stage would require
a substantial amount of demolition and rework which will cause a tangible loss to the contractor and
will also delay completion. There is a lot of public pressure on the Corporation to get this
construction completed because of heavy traffic congestion in the area.

P a g e | 90
When you brought this matter to the notice of the Chief Engineer, he advised you that in his opinion
it is not a very serious lapse and may be ignored. He advised for further expediting the project for
completion in time. However, you are convinced that this was a serious matter which might affect
public safety and should not be left unaddressed.
What will you do in such a situation? Some of the options are given below. Evaluate the merits
and demerits of each of these options and finally suggest what course of action you would like to
take, giving reasons.
CASE- 12
Unlike many countries in the neighbourhood, India possesses a number of perennial rivers that drain
the subcontinent. Of particular interest is the fact that most of these rivers begin and end within
India, making us secure in the matter of potential interference with the supply, but also placing
squarely on us the responsibility of keeping these rivers healthy. But the increasing floods and
drought each year remind us that we have failed miserably in that responsibility.
The emphasis of our planning process is on disaster management and disaster response, not disaster
prevention. The solution to the flood problem will only be possible when we start looking to
preventive, rather than damage control methods. It is much more easy to get things right at the first
place than to get repaired the damaged ones. The cost of preventive maintenance is much lower
than the cost of repairing the damaged ones.
As an administrator, suggest various methods to be adopted for flood mitigation.
CASE- 13
The existing Act regarding termination of pregnancy known as MTP Act, provides for abortion of the
foetus when the pregnancy is 12 weeks to 20 weeks. It is allowed if two doctors certified that the
growth of the foetus is abnormal and the child born will have severe defects. The law prohibits
termination of pregnancy after 20 weeks.
But as an exception it allows termination after 20 weeks if there is a threat to the life of the woman.
There have been many instances in which the deformity of the foetus is detected only after 10
weeks of pregnancy, many individuals, organizations are asking for amendment in the act to include
not only the health of the woman but also the status of the foetus on the reason for termination
after 20 weeks. However, the government is reluctant to relax the 20-week cap on termination of
pregnancy.
The government has argued that in India female foeticide and infanticide are big problems. Any
relaxation on the present 20-week cap on account of foetus abnormality will lead to its misuse.
You are a health administrator; the matter is pending the court. The court has sought your advice
on the issue. What advice will you render on this crucial issue?
CASE- 14
You are working as DM of a district where illegal mining of sand is rampant. Recently there was an
accident between a truck illegally carrying sand and a government passenger bus. Many passengers
died on the spot because of the accident. Ever since you assumed power, you are trying to curb this
illegal mining of sand.
Because of negligence and involvement of police officers at local level, illegal mining is going on in
many parts of the district despite your efforts to curb it. These trucks which travel on narrow village

P a g e | 91
roads, have not only damaged roads, they have also caused traffic problem for passenger vehicles
frequently causing accidents.
The media and some people from a political party are protesting against you after the bus accident.
They are saying that you are working hands in glove with the sand Mafia. There is also an accusation
that you have some personal rivalry with the Superintendent of Police. Moreover, even local media
is portraying you as someone intentionally allowing illegal sand mining in the district.
In this situation, what are your options? How will you deal with accusations? And how will you
manage the situation?
CASE- 15
Suppose one of your close friends, who is also aspiring for civil services, comes to you for discussing
some of the issues related to ethical conduct in public service. He raises the following points:
(i) In the present times, when unethical environment is quite prevalent, individual attempts to stick
to ethical principles may cause a lot of problems in one’s career. It may also cause hardship to
the family members as well as risk to one’s life. Why should we not be pragmatic and follow the
path of least resistance, and be happy with doing whatever good we can?
(ii) When so many people are adopting wrong means and are grossly harming the system, what
difference would it make if only a small minority tries to be ethical? They are going to be rather
ineffective and are bound to get frustrated.
(iii) If we become fussy about ethical considerations, will it not hamper the economic progress of our
country? After all, in the present age of high competition, we cannot afford to be left behind in
the race of development.
(iv) It is understandable that we should not get involved in grossly unethical practices, but giving and
accepting small gratifications and doing small favours increases everybody’s motivation. It also
makes the system more efficient. What is wrong in adopting such practices?
Critically analyze the above viewpoints. On the basis of this analysis, what will be your advice to
your friend?
CASE- 16
You are a no-nonsense, honest officer. You have been transferred to a remote district to head a
department that is notorious for its inefficiency and callousness. You find that the main cause of the
poor state of affairs is the indiscipline of a section of employees. They do not work themselves and
also disrupt the working of others. You first warned the troublemakers to mend their ways or else
face disciplinary action. When the warning had little effect, you issued a show cause notice to the
ringleaders. As a retaliatory measure, these troublemakers instigated a woman employee amongst
them to file a complaint of sexual harassment against you with the Women’s Commission. The
Commission promptly seeks your explanation. The matter is also publicized in the’ media to
embarrass you further. Some of the options to handle this situation could be as follows:
(i) Give your explanation to the Commission and go soft on the disciplinary action.
(ii) Ignore the Commission and proceed firmly with the disciplinary action.
(iii) Brief your higher-ups seek directions from them and act accordingly.
Suggest any other possible option(s). Evaluate all of them and suggest the best course of action,
giving your reasons for it.

P a g e | 92
CASE- 17
In January 2009, in what was perhaps corporate India’s largest frauds, Satyam Computer Founder R.
RamalingaRaju resigned after admitting that the company had cooked its books and was overstating
its profits. More recently, Reebok India filed a criminal complaint against former top employees,
Subhinder Singh Prem and Vishnu Bhagat, accusing them of a financial fraud of up to $233 million.
Indian microlenders had faced severe criticism in 2010 for flouting corporate governance practices
and adopting coercive tactics to recover money from borrowers. This allegedly led to suicides in
Andhra Pradesh, prompting the state to enact a law in October 2010. All these issues, at some level
or the other, talk about the lack of implementation of corporate governance.
What is corporate governance? How is it important in the Indian corporate sector? How will the
mandatory provision of corporate social responsibility change the perception of private sector in
the eyes of common man?
CASE- 18
You are a Probationary Officer in a Public Sector Bank and you have been transferred to a branch
located in Naxal affected area. On the very first day, while returning from work, you were stopped
by a Naxal group. They sought 25% of your salary as ‘protection money’ which should be paid every
month, and if you fail, you will be killed by the group without offering you any second chance. You
are an IAS aspirant managing your preparation along with the work pressure. You are from a very
poor family and this job has brought a ray of hope to you and your parents. You are unmarried
though.
The local police is aware of this Naxal problem, which is common in the region, yet they are not
taking any action for fear of their own lives and corruption.
What will be your course of action in this circumstance ?
CASE- 19
Rameshwar successfully cleared the prestigious civil services examination and was excited about the
opportunity that he would get through the civil services to serve the country. However, soon after
joining the services, he realized that things are not as rosy as he had imagined.
He found a number of malpractices prevailing in the department assigned to him. For example,
funds under various schemes and grants were being misappropriated. The official facilities were
frequently being used for personal needs by the officefs and staff. After some time, he noticed that
the process of recruiting the staff was also not up to the mark. Prospective candidates were required
to write an examination in which a lot of cheating was going on. Some candidates were provided
external help in the examination. Rameshwar brought these incidents to the notice of his seniors.
However, he was advised to keep his eyes, ears and mouth shut and ignore all these things which
were taking place with the connivance of the higher-ups. Rameshwar felt highly disillusioned and
uncomfortable. He comes to you seeking your advice.
Indicate various options that you think are available in this situation. How would You help him to
evaluate these options and choose the most appropriate path to be adopted?
*****

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1. Ethics and Human Interface 2-22

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What Ethics is not?

Concept of Ethics in Indian tradition

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Love and Care

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Difference between administration and leadership

Leader, Administrator and Reformer: Common Values