Lavkush Pandey

ETHICS, INTEGRITY, AND APTITUDE

Aptitude: It means Proficiency in a specific area. It is Specialized ability, skill set, and professional
competence concerning a particular site. It can be innate by birth and can also be acquired by
Training. It is different from intelligence. Intelligence is the ability of the individual to reason, act
purposefully, and deal effectively with the environment. Intelligence is the ability to gain knowledge
and aptitude refers to applying knowledge.

Ethics: It refers to a prescriptive code of conduct concerning righteousness or wrongness for the
actor in a situation. Example- the dilemma of a defense lawyer in case the client has committed a
heinous crime and the dilemma of a doctor when the patient is a criminal.

Integrity: When the path of righteousness is followed across time and space. That is the path of
honesty is followed consistently and there exists uncompromising adherence to ethics and values. To
ensure integrity we first need to choose the right course of conduct, Second, it should be followed
even if it is not profitable, Third, one should openly declare their stand. Example- Story of Ivan Anaya
and Able Mathai (A runner-up who won the race of integrity), Ashok Khemka, Lal Bahadur Shastri.
With the right kind of socialization, integrity needs to be developed.

Significance of ethics:
 For individual:
o peace, joy, happiness.
o Help resolve the dilemma.
o Quick decision making.
o Improve the credibility of a person.
o Improve prestige and social status.
o Reduces cognitive dissonance (It refers to mental discomfort due to inconsistency in thought
and behaviour).

 For society:
o Reduces conflict.
o Law and order/Reduce crime.
o Inclusive growth.
o Strengthen social capital (Mutual trust).
o It helps in establishing a morally virtuous society.

Value, Aptitude, Moral, and Ethics(VAME): VAME as a concept is referred to as a mental construct
that acts as an instrument of behaviour regulation. They are responsible for guiding our decision-
making, influencing our choices, and directing our behaviour.

What are they made up of?

VAME is made up of 3 components:
 Belief: It refers to an internal feeling that something is true. It can be rooted in tradition, myth,
folklore, superstition, verifiable facts, etc. They are 2 types of beliefs, core, and peripheral. Both
can be challenged and peripheral beliefs can be changed also.

 Emotion: Beliefs generate emotion. Emotion refers to body arousal which is a reaction to an
event either internal or external. It is expressed through action. And when expressed through
appropriate action, it gives a sense of relief.

 Action tendency: It refers to the desire for action, however, does not guarantee one.

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Characteristic features of VAME:

 Static Vs Dynamic: They are relatively permanent. They are the source of our identity. They are
the massive result of time, cost, and energy. Any departure from the existing value system may
create guilt feeling. However, change is accommodated by the following:
o By accepting different behaviour under the same value.
o The value system changes when there are sudden experiences in life. For example- The value
system of Ashoka post-Kalinga war and the value system of Ungulimal post his conversation
with Buddha.
o Value systems can also undergo a change when the environment changes drastically. For
example, radicalization of youth by anti-social elements.

 Absolute Vs Relative: According to the absolute perspective, VAME is constant and situational
independent, that is there cannot be a wrong way of doing the right thing. According to the
Relative perspective, it is context specific, there is nothing right or wrong for all time to come
and It depends upon the situation. Absoluteness has a touch of rigidity, whereas relativeness
provides the flexibility, which is needed to operate in the environment successfully. There are
different theoretical perspectives concerning absolutes and relatives. Hence it has been said that
to evaluate the righteousness of any action it is important to understand the intention behind it.

 Culture-specific or universal: Culture-specific values act as an adhesive that binds the people
of given culture together.
Societies to survive-> Need for stability and harmony -> Prerequisite is value consensus. However,
certain values transcend the boundaries of different cultures. For example: Love, happiness,
compassion, empathy, and integrity.

 Subjective or Objective: According to Plato values are independent of the individual, for
example, Beauty. However, it was refuted with the statement "beauty lies in the eye of the
beholder". It is believed that humans, to measure something, attach a value to it, hence
according to this perspective value should be subjective as individual differences exist based on
perception, understanding, and judgment. However, to ensure uniformity, there are some
objective values for example love, compassion, wisdom, etc.

The interrelationship between the VAME [Values, attitude, morals, and ethics]:
Note- Refer to the diagram mentioned in the class.

o Long-lasting beliefs based on preference with respect to desirable and undesirable becomes
the values.
o Values result in morals and ethics [when seen through the prism of right and wrong], {only
those values which can be seen through the prism of the right and wrong, those values. become
morals at the individual level and ethics at collective level}.
o Morals when accepted at the societal level it becomes ethics.
o Ethics when practiced at the individual level it becomes morals.

Features of values
o General determinant of behaviour.
o Denotes preference.
o Largest canvas which subsumes all other concepts.
o Expressed in terms of the should.

Values when it is tied to objects become attitude [which is a specific determinant of behaviour].

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Morals: It refers to the individual understanding of right and wrong or it refers to the standard of
behaviour that an individual has set for himself with respect to the rightness and wrongness of an
act.

Morals vs ethics:
 Concept- Ethics is what should be the right way in which the actor should act in a
situation, whereas, Morals are principles of right behaviour which we use to judge the goodness
or badness of human character.
 Source- The source for ethics is society or an external system whereas the source of morality is
individual.
 Why do we follow? - We follow ethics because society says it is the right thing to do, whereas we
follow morality because we believe something is right.
 What if we deviate? - if we do not follow ethics, it might lead to social exclusion, boycott, or
social ostracisation whereas, if we do not follow morality, it might lead to guilt, anxiety, or
remorse [emotion of sadness].
 Flexibility- Since ethics is the collective proposition of society, hence it is more objective as
compared to morals, however, morals are highly subjective as it varies from individual to
individual.

Crisis of conscience(CoC): It refers to intuitive authoritative judgment regarding the moral quality
of an action. Conscience - an inner voice.
 CoC- It is manifested in the following forms
o When we worry, if we think we have done something wrong.
o When there exists a dilemma between different options and we are compelled to take
action against our conscience.
o Feeling of Guilt.

For example- The emotional state of arjuna before the battle of Kurukshetra, the inertia to appear
as a witness in criminal cases, the dilemma between individual morality and the orders of the
superior, with respect to career choices, for example, one value social welfare but did not choose a
career in this field as it is economically not viable. Hence wisdom, integrity, and courage are required
to overcome the crisis of conscience.

Conscience is a dog that can never bite but never stops barking.

Norms: One of the sources of ethics is norms. They are referred to as informal guidelines agreed
upon by societal members. They are binding on all members of society. They are social expectations
that guide our behaviour. It is a tool of social control- uniformity, conformity, and checking
deviance. If one does not follow the norms- it will lead to a social boycott or social exclusion/ social
ridiculing. There exists a higher stage of evolution of norms which are codified with respect to
expected and unexpected behaviour which are called LAWS. Source of norms are- Customs,
traditions, folktales, folklores.

Ethics is about- What is the right thing to do? It can have different answers depending on the source
of ethics. Hence need for a minimum enforceable standard of behaviour called LAWS

Laws and Ethics: Laws are based on an ethical framework and aim to bring social order while
controlling the immoral behaviour of individuals in society. Laws act as an external set of standards
imposed on an individual by the appropriate authority. An individual disobeying the law is liable to
face penalties and punishment. Laws have societal sanction and approval and thus have an
important role in the smooth functioning of society.

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Ethics act as a moral compass in guiding an individual even when the law is silent hence we can
say ethics is the first line of defense against deviance whereas law enforcement is remedial and
reactive.

Question: - What do you understand by values and ethics? In what way is it important to be ethical
along with being professionally competent? [10 marks/150 words, UPSC 2013]

Something that is legal but not ethical and something which is ethical but not legal.

 Legal but not Ethical - Breaking promises, Passive euthanasia, Adultery, Suicide, Eviction of
Encroachment (Shakoor Basti encroachment in winter), Criminalisation of Homosexuality,
clinical trials, and slavery laws in the USA, Extra-marital affairs, Abortions. live-in -relationship.
 Ethical but not legal - Jumping the traffic signal to save a human life, Stealing by a hungry child.

Socialisation:
 Concept- It is a process through which a child is inducted into the culture of society
 Mechanism of socialization- observation learning, role taking, rewards, and punishment, trial,
and error.
 Agency of socialization- family, education system, media, religion, peer group

Mechanism of socialization:
 Observation learning- The process of learning by watching others. It occurs through social
role models for example- parents, teachers, siblings, etc
 Rewards and punishment- The agencies of socialization attach rewards and punishment
to the conduct of the children or the individuals to socialize them in the desired direction
 Role-taking- The process of imagining and visualizing oneself as someone else and acting
like him. However, while playing such roles individual is able to understand the feelings of
others and suitably modify their response
 Trial and error- Learning through experiences.

Agency of socialization:
 Family - It is an informal agency of socialization. Plays a significant role in value consensus
by socializing the child in their formative years according to values existing in society.
Values- honesty, collectivism, sacrifice, love, etc provided by family. Family through
storytelling and sharing life experiences shaping the value system of children. Over a period
of time, the structure of the family had undergone a change i.e. we are moving from a joint
family to a nuclear family.
 Joint family preferences – Collectivism, Cooperation, Delayed gratification.
 Nuclear family preferences – Individualism, Competition and Consumerism/culture of
consumption.

Question- Differentiate between the following 1). Law and ethics. 2). Values and beliefs. 3). Ethics
and morals [50 words each/10 marks].

Family as an Agency of Socialization

Style of Parenting:
Autocratic Parenting Democratic Parenting Permissive Parenting
Communication on basis of issue,
Parents Restrict the autonomy
rationality, Openness, and Too much freedom is given to children.
of the child.
feedback.

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The relationship is characterized Freedom is to the extent that it is

Impose their value system.
by trust and respect. compatible with their physical survival.
Parents exhibit values of Children are treated as a liability rather
The power distance is large.
tolerance and patience. than a responsibility.
The child is too hostile or too Positive reinforcement of display Characterized by indifference, apathy, and
compliant. of observed behaviour. neglect of the child by the parents.
Value: System: Less empathy, Value System: Lack of courage, lack of
Value System: Rational,
less compassion, and lack of responsibility, assumption, apathy,
Objective, Compassion,
proper cooperation, could be a indifference, or high probability of getting
Cooperative
rebel influenced by a negative reference group.

Role of Mother: Depends upon the attachment between mother & child - Secure and Insecure.
 Features (Secure) - Mothering is consistent. A warm relationship between mother-child. The
mother should act as a rational role model. There exists a relationship of faith/trust and respect.
Values: Cooperation, Courage, empathy, achievement orientation, responsibility, assumption,
high self-efficacy, etc.
 Features (Insecure) - Mother is impervious to the need of the child. Neglect/apathy
/indifference or Excessive indulgence. Unrealistic and unreasonable demands.
Values: Neglect, lack of self-efficacy, lack of bold behaviour, Indifference, authoritarianism,
absence of trust, High dependency orientation, lack of courage.
Self-Efficacy: Confidence in our ability to overcome our challenges.

Role of Father: Father influences the value development of the child through observation learning
& reward and punishment. Through identification with the father -
 Boys: Learns gender-appropriate behaviour.
 Girls: Learn to make heterosexual adjustments.

Question: Discuss the influence that parents have on the values of their children. Why is it that at
times values of children differ from that of parents? (10 marks/150 words).

Education System: Formal agency of socialization. It is an agency that enables a child to interact
with those who are not family. Acts as a linking pin between family and society. It instills values such
as: Competition, cooperation, tolerance, and accommodation of diversity. It also develops skills:
Social, cognitive, psychomotor, life in adulthood, etc.

Role of teacher - They act as role models for the children. They leave a grave impact on children at
their impressionable age. They use observation learning, conditioning, and role-taking for the
socialization of the children. They can influence the behaviour of the children through the following:
 Unbiased treatment.
 Walking the talk.
 Influencing self-attribution pattern of children.
 Promoting activity-based learning.
 Encouraging critical thinking.

Role of content - Culture-specific inputs, so that it facilitates the child's adjustment to the social
setup. Example - elementary education in the mother tongue, focus on vocational training, value-
based through storytelling and anecdotes. Educational content should be based on scientific temper
without any ideological coloration. There should be a sync between text and context i.e. Application
based learning. Outcome-based learning needs to be promoted. The evaluative standards should not
be parochial/narrow. NOTE: Kindly refer to the provisions National Education Policy, 2020.

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 Role of extracurricular activities - It helps in developing team-building spirit, cooperative

behaviour, commitment, leadership skills, good looser, endurance, etc. "You may encounter
defeat you should not feel defeated". Responsibility assumption.

 Value-based Education - Values are generalized preferences to lead a particular kind of

life. For e.g. Compassion, integrity, etc. Since values are learned through socialization therefore
education must help in inculcating appropriate values such as harmony, peace, compassion,
respect for human dignity, etc.

Aristotle says "Education the mind without educating the heart is no education at all."
Gandhi Ji says "Literary education is of no value if it fails to build up a sound character."
C.S. Lewis says "Education without values no matter how useful it seems, tends to create a clever
devil."

Contemporary Indian society is confronting various challenges due to the forces such as
globalization, materialism, consumerism, environmental degradation, religious
fundamentalism, etc. This has resulted in individualism, ever-increasing desires, and social
comparison leading to relative deprivation which is creating a sense of alienation. Value
Education will prepare the young generation to develop creative ways to respond to the forces of
westernization, right education towards globalization can serve as a vehicle for the promotion
of harmony among different countries. For e.g. Vaccine nationalism v/s Vaccine Maitri. It can
guide individual actions based on the principle of fairness, constructive attitude, wisdom, etc to
differentiate between the potential and pitfalls of technological advancements. For e.g. Social
Media trolls. Value Education helps us become considerate towards vulnerable sections and also
helps us in fighting the challenges posed by prejudice.

Role of the peer group - It is referred to as interaction among co-equals. The power distance is
minimum. Here the ideas are more flexible, and the range of topics for interaction is very wide. The
importance of peer groups is at its peak during adolescence. Individual life goals, behavioural
patterns, occupational goals individual tendencies, etc are influenced by peer groups. However,
there is a probability of falling into trap of negative socialization through a negative reference
group.

Difference between Integrity and Ethics- Ethics can be defined as rules and regulation that has
been formed to allow individuals to work in accordance with moral principles. Organizational ethics
tends to bring professionalism and less conflict. It is external and is imposed on the individual.
Whereas integrity is defined as the quality of being honest, it's a personal choice and it comes from
within. People with integrity do not have to be under any observation as they are self-motivated to
perform the right action.

Belief Values

Conviction /acceptance of something to be Long-lasting beliefs act as a guiding principle with

true even without evidence. respect to behaviour.

Belief affects values. Values affect behaviour.

Belief: lying is bad, cheating is immoral Truth (value), Honesty, loyalty, sincerity

Question- Ethics is knowing the difference between what you have the right to do and what is right
to do. (10 marks/150 words).

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Role of Media - Media refers to communication channels through which ideas information, news
data, education, etc. are disseminated. Neither bow and arrow nor sword do you require, to publish
a newspaper when faced with cannon fire.

How media influences socialization:

 It provides topics for discussion.
 It ensures vicarious re-enforcement.
 Cinema, and television shape behaviour through observation learning, and role-taking.
 Through debates documentaries/discussions it shapes social & political attitudes & opinions.
 It influences our aspirations.
 It provides a voice to stakeholders.
 It acts as a buffer between the government and citizens and helps in establishing legitimacy
with respect to government policy.

Question- Discuss the role of social media in impacting the social and political culture of society.
(10 marks/150 words).

 Political future refers to the perception of people with respect to their political system and social
culture refers to beliefs, attitudes, and customs prevalent in any society.

Positive impacts on social culture:

1. It provides a platform for interaction example social support during a lockdown.
2. It helps in questioning the prejudices about the groups through engagement with diverse
people on social media.
3. Use of social media has empowered voters, and customers to raise their voices against
grievances publicly.
4. It fosters awareness about different cultures and practices.
5. It facilitates the adjustment of individuals in society by providing exposure to the real world.
6. various movements on social media have helped in confronting social evils example
#MEEtoo.
7. It can help in generating compassion for a cause example ALS ice bucket challenge.
8. It helps in questioning regressive practices and democratizing social culture by providing
space to vulnerable sections.
9. It can help in reducing the instances of crime by exposing it example Adarsh Srivastava
reported about trafficking.

Negative impacts on social culture:

1. It perpetuates stereotypes example- the use of filters, beauty, and lifestyle trends in social
media are creating too much pressure on youth.
2. Social media can be weaponized or used as a weapon to promote radicalization of the youth
for example use of social media by terror organizations to recruit youth minds.
3. It leads to factionalism and the creation of echo chambers in society.
4. Cyberbullying, naming, shaming, or trolling in the name of anonymity. Diffusion of
responsibility where people are less likely to take individual action to report wrongdoing.
5. Behavioural addiction to the use of social media.

Positive impact on political culture:

1. It provides a platform for constructive dissent.
2. It strengthens democracy through accountability and transparency.
3. Mobilization of people for a cause through online campaigns.
4. It promotes participative democracy through direct interaction.

Negative impacts:

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1. Fake news on social media can lead to social unrest example vaccine hesitancy because of
fake news.
2. Paid news, propaganda, etc.
3. Divisive emotionally charged content especially on sensitive issues is detrimental to the
stability of any country.

Way forward: Hence one should focus on presenting objective truth and reduce the scope of biases
example corporatization and politicization of media need to be checked. Fact-checking of all relevant
content information. Practice information-based journalism rather than opinion based. Observe self-
restraint and sensitivity while dealing with emotionally charged issues.

Role of religion: Defined as a unified system of beliefs & practices related to sacred things (worthy
of worship/devotion) which bind people into one single moral community. Religion acts as an
integrative social force that shakes the beliefs of society. Religious rituals and practices promote
group solidarity and cohesion. It gives an individual sense of belongingness. It provides a framework
to manage misery and frustration. Religion helps us to cope up with negative influences in society
example Alcoholism, drug addiction, consumerism, etc. Religious teachings help an individual in
shaping their goals. Values enshrined in your constitution are fundamental principles of different
religions example equality, justice, welfare, fraternity, etc. For example - The teachings of
Bhagwad Gita-
1. A negative mindset is the root cause of all problems.
2. Prioritize right over pleasant.
3. Being good is a reward in itself.
4. Never give up on yourself.
5. Creating an emotionally stable mindset.

Similarly, teachings of Gautam Buddha- Eightfold path, Wisdom, ethical conduct, and meditation.
However, when religion is used as a tool by anti-social elements to serve their vested interest it
becomes the reason or causes behind social conflicts.

Conclusion of topic Socialization: Different conflicting values are provided by different agencies.
Faculty socialization. Changing the nature of society from balanced to unbalanced. Relative
deprivation. Moral degradation and social maladjustment.

Attitude: Attitude is defined as a positive or negative evaluation of people, objects, events, ideas, etc.
Attitudes is defined as a lasting evaluation about a different aspect of our life.

Characteristics of attitude:
1. It is enduring (lasting).
2. They are acquired or learned through the process of socialization.
3. Attitude are held because they perform some function for us (for the attitude holder).
4. Attitude are often communicated either verbally or non-verbally.
5. Attitude confirms the principle of consistency as it does not change easily.

Components of Attitude: Stereotype, Emotion, Behaviour tendency, prejudice, belief, emotion.

 Belief- Idea/opinion of attitude holder towards attitude object e.g. I believe India has a rich
cultural heritage.
 Emotions- Feeling of attitude holder towards an attitude object e.g. a feeling of awe/respect
reverence towards India's cultural heritage.
 Action Tendency- Desire for action within the attitude holder with respect to the attitude object
e.g. Desire to promote/preserve the cultural heritage.

Prejudice: Prejudice is the negative attitude towards a particular group. It is based on a stereotype
with respect to that group. The cognitive component of prejudice is frequently accompanied by

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dislike or hatred i.e. affective component. Prejudice may get translated into discrimination i.e.
behavioural component. History contains many examples of prejudice based on race, caste, gender
identity, sexual orientation, etc. The behavioural component of prejudice still can be controlled by
ensuring the proper implementation of laws. However, the belief and emotional components are
difficult to change.

Strategies for handling prejudice: Minimize the development of prejudice (education and
information need to be spread to correct the stereotypes). If developed then change this attitude
(through social influence and persuasion). De-emphasize the development. Discourage the tendency
of violent behaviour among the victims of prejudice which justify prejudice.

Ingroup- Struggle of power/prestige/resources. Example - cornering women for certain jobs. The
group is not heterogeneous. This leads to conflict and attributed errors.

Other Strategy: The above-mentioned goals or strategies can be accomplished through the
following steps:
1. Generating awareness, and increasing intergroup contact which allows for direct
communication, removal of mistrust, and even discovery of positive qualities in the other group.
2. Highlighting the individual identity rather than the group identity thus weakening the
importance of both ingroup and outgroup as a basis for evaluating the other person.

Question- Many of the present social conflict arises due to prejudice and discrimination illustrate.
What can be done to curb discrimination and handle prejudices? (10 marks/ 150 words).

Functions of Attitude: This theory is given by Daniel Katz.

Four functions:
1. Need function
2. Knowledge function
3. Ego defensive function
4. Value expressive function

Need function- Many attitudes are formed as a result of past rewards and punishment. Once formed
these attitudes usually continue to be useful in helping us satisfy our needs. This attitude will be
abandoned the day it stops fulfilling the need and will be replaced by a new attitude. Hence this type
of attitude changes if either the need changes or an alternative attitude is suggested that can serve
the existing need better. Example- with respect to the domestic division of labour in modern societies
the attitude with respect to this division changed as the new attitude can serve the economic needs
the better.

Knowledge function- Attitude helps the attitude holder to organize and understand different
complexities of life. It just helps an individual to understand the events better however the knowledge
function of attitude does not imply that it is providing us with a factually truthful picture. In fact, it
only provides us with a picture that is meaningful and easily understood by the attitude holder. Such
attitudes are likely to change when counter-attitudinal information is provided on a sustainable
basis making it difficult for the attitude holder to continue with the existing attitude.

Ego- defensive function- This attitude helps us in enhancing our self-esteem and defends us against
various arrows of life. This attitude is helpful because it helps us to justify the actions which can make
us guilty. These attitudes are created to protect a person from threats and conflict. These attitudes
are used often by those who are insecure. For example- Social media trolls, blame culture, domestic
violence, corporal punishments the children, etc. This attitude is very difficult to change as it emerges
from an individual's personality. This attitude can only be changed if a favourable environment is
provided where unconditional respect is given to the attitude holder, when he believes that he will
not be judged by others, he agrees to lower those defenses.

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Functions of Attitude:
 Ego-defensive function - We can easily forgive a child who is afraid of the dark however the
real tragedy of life is when men are afraid of the light—Plato.
 Value expressive function- It helps in promoting our self-esteem. It helps us to exercise
impression management i.e. telling the world who we are for example status on social media,
quotations on t-shirts, through our conduct for example: Your core value is freedom hence,
at the workplace you promote a flexible work schedule or you promote democratic decision-
making. This attitude is also difficult to change as it emerges from our value system. Hence,
to change this attitude either the value system needs to change or suggest an alternative
attitude that can better express the value system.

Question- Elaborate on Daniel Katz's functionalist theory of attitude. (10 marks/150 words)

Attitude behaviour Consistency:

 Background: Your likeness for the job reflects in your attendance. If you disapprove of cheating
you will never cheat. If you have a prejudice against any group you will not rent accommodation.

 Factors affecting attitude behaviour Consistency:

o Individual: High on self-monitoring- In different situations with different people they act
like different people, hence they are good at adapting to situations, and they can easily
promote interpersonal personalities, many might consider them as fake. Low on self-
monitoring- Their behaviour is an expression of their true feelings; however, they might
appear very rigid and may not be able to present themselves in a socially desirable manner.

o Situation: Attitude as a heuristic-When there is information overload and no time to

contemplate then the behaviour is consistent with the existing attitude for example brand
impact on our behaviour or case study of recruitment in the organization. Bandwagon
effect- If an individual has X attitude and others have Y attitude and we hold those others
in high regard then very less probability of attitude-behaviour consistency. for example-
persistence of child marriage. Bandwagon effect is also visible when norms are strong and
are collectively held then everyone behaves in a similar manner irrespective of their
individual attitude.

o Attitude strength - Attitude is relevance- The attitude-behaviour consistency is

determined by the vested interest of the attitude holder with respect to the attitude object
for example blood donation for a stranger vs. a family member. Attitude specificity- Specific
attitudes are stronger than the general attitude for example - Are you religious or how often
do you visit the religious shrine. How one has acquired an attitude- If the attitude is
acquired due to direct exposure to the attitude object then it is very strong for example - the
attitude of victims with respect to social evils. Attitude accessibility- The moment the
attitude holder is exposed to the attitude object and if the attitude is immediately accessible
then it is strong and behaviour will be consistent with it. for example - your attitude or
opinion on any issue is strong or not will be determined by how quickly you respond to it.

o COREY & Lapier's study- Although it is acknowledged that attitude is a better determinant
of behaviour however it is proven not always behaviour is consistent with attitude for
example: Study on cheating behaviour by COREY in the 1930s- It was found that cheating
behaviour does not depend on attitude towards cheating but how poorly one has performed
in the exam. The study was conducted to establish racially biased attitudes in America
against Chinese people however it was found that attitude is not always consistent with
behaviour.

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o Ambivalent attitude- It refers to the simultaneously existing of both negative and positive
attitudes for example- One might enjoy the sensation of smoking but at the same time
realizes it is injurious to health. Attitude with respect to reservation i.e., on the one hand, is
considered as a means for improving social status however when politicized it might lead
to conflict in society.

Social influence (SI): SI is defined as a process where a person's behaviour thoughts or attitude
changes due to interaction with one or more persons directly or indirectly. For example- Following
the traffic rules since others are following or recruiting of influencers by political campaign
managers to influence the behaviour of the voters similarly paid promotions by the social media
influencers.

Question- How to use social influence for the successful implementation of the Swatch Bharat
Mission. (10 marks/ 150 words).

French & Raven's theory of social power:

o Reward power- Perception of the people that the source has the ability to give rewards. for
example, Rs12000 for building toilets.
o Coercive power- People have the perception that the source has the ability to give
punishment.
o Expert power- People believe sources to be superior as they have expert knowledge with
respect to the concerned field.
o Legitimate power- People believe that the source has the legitimate right to prescribe
behaviour.
o Referral power- People identify with the source as it is charismatic for people.

Mechanism through which is Social Influence manifested-

1. Conformity.
2. Compliance.
3. Obedience.
4. Conformity- It is defined as a type of social influence in which the person changes their attitude
and behaviour so that they fall in line with the existing social norms.

Why do people tend to conform-?

1. Normative social influence i.e. need to be liked by others whose acceptance we desire. The
more important the group is more would be the more adherence to norms.
2. Informational i.e. the more you are uncertain and lack the expertise the more you tend to go
with the group. When you are looking for guidance in a vague situation.
3. Self-categorization i.e. This influence depends upon how important the group for the
individual’s identity is. Hence social influence will be strong if an individual is dependent on the
group's identity.

Factors affecting conformity:

1. Size of the groups.
2. Unanimity in the group.
3. Ideological proximity with the group.

Compliance- Technically it refers to a change in behaviour and not in attitude. There exists a
satisfaction associated with compliance due to the rewards associated with accepting compliance.

Principles of compliance:
1. Friendship/liking- It is a form of social influence where we comply with a request from
friends or the people whom we like. E.g. impact of charismatic personalities in influencing
the behaviour of the common man.

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2. Commitment & consistency- Once we have committed ourselves to a position or action we

are more willing to comply with requests for behaviour i.e. consistent with that position. e.g.
social leaders or NGOs, civil society.
3. Reciprocity- We have a tendency to comply with the request of someone who has provided
us with a favour. e.g. the technique used in marketing.
4. Social validation-We comply with the request of someone for an action if this action is
consistent with what we believe a person similar to us is doing. e.g. voting behaviour, Drug
addiction, gaming disorder, etc.
5. Scarcity- We comply with the request so as to secure opportunities that are scarce. e.g.
Preparation for competitive exams.
6. Authority- We show a willingness to comply with requests from someone who has
legitimate authority. e.g. people in decorated uniforms.

The technique of Compliance- 6:04 PM

o Foot in the door- It is a procedure for gaining compliance in which we begin with a small
request and once it is granted we move to the larger one.
o This technique can be used for the implementation of UCC, the Swatch Bharat mission, the
digitization of society, or even COVID protocols.
o Door-in-the-face technique- In this technique the requesters begin with a large request but
when it is refused they retreat to a smaller one which was their actual intention. e.g. Salary
negotiations and grants asked by various ministries.
o That's not all the technique deals with providing additional benefits so as to ensure
compliance, this technique can be used to encourage female labour participation, adoption
of family planning, etc.
o Deadline technique- The target person is told they only have limited time to take
advantage of any offer & opportunity. e.g. Demonetization, preparing benefits of
demographic dividend, etc.
o Play it hard- Increasing compliance by suggesting that the person or object is scarce to
obtain for example this technique can be used in transforming youth from job seekers to job
generators. e.g. Convincing youth to participate in politics.

Obedience: It's a form of social influence in which a person obeys the direct order from another
person to perform some task or action.

Why do we obey?
o Visible badges-decorated Uniform, title, and beacon on the car.
o We have been socialized to always obey the order.
o Proximity with the authority - Ideological & Physical.
o Diffusion of responsibility - Here an individual does not consider himself independent but as
an instrument for carrying out others' desires and thus no longer perceives themselves as
responsible for actions. e.g. mob lynching, honour killing.
o Destructive obedience- Stanley Milgram's experiment (explained through the diagram on
board).

Question- Briefly discuss how to improve the work culture of an organization by using techniques
of compliance (10 marks/ 150 words).

Persuasion: Persuasion is a process aimed at changing a person's attitude or behaviour towards

some events, idea, object, or another person by using written or spoken words to convey information,
feelings, or a combination of both.

Elements: Who said to what to whom by what means- Source, message, receiver, a channel of
communication.

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Ways or steps:
o Attention.
o Comprehension.
o Retention.
o Acceptance and action.

Steps of Persuasion:
 Attention- For the source to catch the attention of the target group the message presented
should be interesting, distinct, utilitarian, and invoke curiosity in the receiver.
 Comprehension- It refers to the ability of the source to make the target group understand the
message. It is possible only when the message is designed taking into cognizance, the target
groups' frame of reference. For example, performing street plays in ruler areas to generate
awareness about social issues, Bultu experiment.
 Retention- The target group should be able to retain and retrieve the message presented and for
this, the sender should try to present the message repeatedly and highlight the salient points.
 Acceptance and action- Persuasion is said to be successful if the target group not only receives
the message but also acts upon it in a manner intended by the source.

Question- Give examples of some social evils in society and discuss how persuasion can help in
overcoming them. (10 marks/150 words).

With respect to social disharmony, the government can use speeches, interviews, etc. to preach unity.
With respect to problems such as drug abuse or smoking, persuasion can be brought about through
awareness campaigns by health professionals or pictorial warnings, etc. With respect to patriarchal
attitudes, government schemes like Beti Bachao, Beti padhao, or initiatives such as a selfie with
daughter celebration of girls' child day, etc. can be used. Social awareness through cinemas
examples- Padman movie, Tiolet Ek Prem Katha.

Aristotle's Perspective: Father of persuasion.

 Ethos - (Credibility of a speaker)- Ethos is an appeal to ethics i.e. It is a means of convincing
someone of the credibility of the persuader.
It can be done in multiple ways:
o Being a notable figure or personality in the concerned field.
o Demonstrating mastery over the specialized vocabulary of the field.
o Being introduced by the established authority.

 Logos- (Logic, facts)- Logos is the logical appeal to use logos to cite statistics, data, facts,
etc. Having logos appeal also enhances ethos because information makes the speaker look
knowledgeable and prepared. Logos can be developed by citing facts and constructing logical
arguments.

 Pathos - (Emotions)- It refers to appealing to emotions. It is a way of convincing an audience

often the argument by creating an emotional response. Speakers use pathos to invoke sympathy
from the audience. It is extremely effective if both the source and receiver have the same value
system. For example, political leaders.
Pathos can be developed:
1. By using meaningful language.
2. Emotional tone.
3. Emotion-invoking examples or making funny illustrations.

Use this technique in convincing people to adopt family planning.

Characteristics of the Elements: Source, Message, receiver

 Source: Credibility, power, Attractive.

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o Credibility- It refers to the extent to which the target group believes in the position
advocated by the source. Credibility can be assessed either through their trustworthiness or
the expertise of the source. In case of any conflict, it is trustworthiness (consistency in past
behaviour) that prevails.
o Attractive- An attractive source is perceived as more likable and therefore target group
members are more receptive to the counter-attitudinal message is more likely. There are
three sources of attractiveness physicality, ideological similarity, and communication skills.
o Power- It refers to the potential to influence the behaviour of the target group in the
intended direction. The greater the power, the greater the chances of persuasion.

 Message:
o Message discrepancy- Always select facilitators first to make your task easy.
o Fear of appeals - This is a very common way of persuading a person. One of the common
ways of persuasion is appealing to fear for example - Quite smoking or else you get cancer.
Marry within your caste else you will be socially boycotted. Do not indulge in rash driving
else you can lose your life. However, it is the mild fear appeal that works better than strong
appeals because strong fear appeal produces a defensive mechanism where the target group
insulates themselves from the message issued by the source and reduces the level of trust in
the source. Secondly, the repeated use of fear appeal also reduces the trust in the authority
that conveys the message. For example- during COVID the mild fear appeal in the form of
COVID caller tunes was more effective than the reporting on various media channels. For
example- Vaccine hesitancy due to strong fear appeal. A strong fear appeal can work if it is
issued by a highly credible source else it will be considered an act of propaganda or
manipulation.
o Drawing conclusion - This technique of persuasion is useful if the message is unstructured.
The message is not related to the core beliefs of the receiver. When the audience is not very
intelligent or informed. When the target group does not believe that drawing conclusions
implies an insult to their intelligence. When there is no mistrust between the source and the
target group.
o Sidedness of the message- One-sided communication is useful if the audience is not very
intelligent or educated. Uninformed about the other side of the message. Already agrees with
our position and our task is to make them agree further. For example- The Son of soil theory
(native vs. migrants). The two-sided message works best if the audience is intelligent and
educated. They are informed about the other side. Hold a position that is antagonistic to the
one advocated by the source. Carry an element of suspicion regarding the intention of the
source.
o Emotional and factual appeals (example- Logos and pathos of Aristotle)- The videos of
brave and courageous people during COVID actually gave hope to many. However, if there
is a choice emotional appeal is more effective than factual appeal.
o A pleasant form of distraction- Since the span of attention of the target audience is less
so to increase the effectiveness of a persuasive appeal source can refer to introducing
pleasant forms of distractions. example- Food, humour, children, etc.
o Channel factor- Channel is the medium through which information is presented and the
channel sued must be compatible with-s
1. Nature of message.
2. The gravity of the situation.
3. Frame of reference of the target audience.

For example- resorting to street plays for creating awareness in rural areas with respect to
social issues. Bultu experiment was initiated by Alex Paul Menon with respect to tribals.

 Receiver: Selective exposure, attention, and interpretation. Many times, the target group
members do not intentionally avoid information but because of the culture in which they live,
they get exposed only to that information which happens to support their existing view. Even

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when we are able to overcome the cultural barrier there can be the possibility of selective
attention and interpretation which might make the counter-attitudinal ineffective hence we can
address these issues by making the message interesting and providing illustrations to make the
message comprehensible. Persuasion also depends upon the intelligence of the receiver.
Although initially, it might be challenging to persuade them when presented with logical appeals
they tend to get convinced.

Question- Differentiate between persuasion and social influence. How can persuasion be made
effective to bring about an attitudinal change? By giving one example from your personal life
illustrate how you brought a positive attitudinal change through persuasion. (10 marks/150
words).

Cognitive Dissonance: The concept was given by 'Leon Festinger. Refers to the
emotional/psychological discomfort created by discrepancy/inconsistency between thought and
behaviour.

Means to alleviate discomfort-

 Change the thought
 Change the behaviour
 Add a thought to justify the behaviour.
 Trivialize the inconsistency between thought and behaviour.

Examples- Let's take the example of X a 25-year-old graduate, unemployed who voted for a
political party based on the promises made by them.

However, despite five years of governance, no significant changes have occurred in the
employment sector and X is still unemployed. As the next election approach now X is experiencing
cognitive dissonance where he believes that the political party has not fulfilled the promise of
employment but is asked to vote for the party.

In this situation, X has four options -

 Change the thought-he thinks that although the job is not created in the conventional sense
still his neighbours are employed as they have opened tea and snack shop.
 Change the behaviour - X accepts that the promises were fake and decides not to trust them
anymore.
 Adding a thought- He analysis the activities of the government and concludes that although
jobs have not been created there has been infrastructural development, hence I can still vote
for the party.
 Trivialising the inconsistency-X compares the state of his country with economically poor
countries where employment is relatively higher in this case X trivializes the faults in his
political party's governance.

Question-Thousands of aspirants come to Delhi for UPSC preparation from different parts of the
country influenced by the culture some do get addicted to smoking. They this thought that smoking
is injurious but the behaviour of smoking continues. In such a situation how to resolve cognitive
dissonance?

Types of Attitudes- 5:13 PM

 Positive attitude- people who carry this attitude -
o Always focus on the good in people, situations, events, etc.
o They have an optimistic approach.
o They always see opportunities rather than limitations.
o They focus on problem-solving.
o They pay attention to the virtue of other beings.

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o They can achieve long-term goals since they exhibit values of patience and optimism.
Examples- socio-religious reformers, Thomas Edison, JK Rawling, Steve jobs, etc. A negative
attitude is just the opposite of a positive attitude.
 Democratic attitude- Attitude of a person which encourages participation of all in decision-
making.
o Attributes- participation, tolerance, bottom-up, compassion, humanistic, empathy, etc.
o Merits- It encourages people's participation, improves efficiency, promotes flexibility, and
more internalization of decisions as people view their contribution to those decisions, people
are treated as the focal point of this approach, etc.
o Demerits- Time-consuming, difficult to arrive at a consensus, lack of informed participation,
etc.
 Bureaucratic attitude- An attitude held by an individual where decision-making is based on
established rules and guidelines and it is known as a bureaucratic attitude.
Attributes- Objective, rigidity, impersonality, rules oriented, top-down, etc.
Merits- Quick decision-making, easy-to-fix responsibility, accountability, consistency,
impartiality, etc.
Demerits- red-tapism, status quo, lacks inclusivity and alienation, lack of ability to handle an
emergency situation.

Conclusion- Both (Democratic and bureaucratic) attitudes if considered in isolation have their
share of merits and demerits hence it should be the combination of the two for example- while
making rules at the macro level it should be a bureaucratic attitude whereas while implementing at
the micro level it should be the democratic attitude. Similarly, areas having larger public interfaces
require a democratic attitude for example in the case of field posting but in day-to-day functioning,
one can resort to a bureaucratic attitude. For issues related to core beliefs, the attitude should be
democratic in order to bring about any change whereas if it is an emergent situation that involves
time paucity then it should be a bureaucratic attitude.

Moral attitude and political attitude:

 Moral attitude- It is defined as an attitude that is based on a moral conviction of what is right
and what is wrong. It is not a neutral concept as it is biased towards righteousness. This attitude
indicates one reasoning about morality, the attitude towards moral lapses for e.g. corruption,
fraud, etc., and the behaviour when faced with moral issues. Being the agent of socialization,
family, religion, and education plays an important role in framing moral conviction.

The virtues which define moral attitude are as follows-

o Reverence - It is a feeling of deep respect for others e.g. folding hands to greet others in our
culture when we promise to abide by the principles of the constitution it shows our
commitment and respect towards the constitution.
o Faithfulness- Regardless of the circumstances one would remain loyal to someone or
something, for example, the individual would refrain from cheating in a relationship.
o Awareness of responsibility- A morally conscious individual is always aware of its
responsibilities e.g.- voting in elections.
o Veracity- A person with a moral attitude will always observe truth in speech or statement
for example- fact-checking news in the backdrop of fake news, paid news, and the post-truth
world.
o Goodness- The person would have the qualities like empathy, generosity, care, kindness,
willingness to make sacrifices for others, forgiveness, selflessness, etc.

 Political attitude- The attitude of an individual toward a political party or a political issue or
a political system of the country is governed by the political attitude of an individual. Based on
the functionalist theory of attitude political attitude is developed based on rewards and
punishments. Since attitude is a specific determinant of behaviour, political attitude helps us in
determining people's participation in politics and their voting behaviour.

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Factors that shape the political attitude of an individual:

o Social determinants- caste (politicization of caste and casteisation of politics), region (son
of soil theory), religion, gender (e.g.- the state which aims to expand opportunities to women
or third gender will positively shape their political attitude).
o Economic determinants- For example- have-nots will prefer a welfare state with policies
like freebies, subsidies, etc whereas haves will prefer a liberal state.
o Political determinant- Political ideology plays a key role in shaping one political attitude.
o Socio-cultural background of an individual like family, friends, colleagues, etc.

Emotional Intelligence (EI):

 Concept of emotions- Types of emotions
 Myth with respect to emotions
 Building blocks of EI- Concept of EI- Can the concept of EI be learned
 Role of EI in administration - EI in the Indian context
 Emotions are defined as personal experiences which arise due to complex interplay between
physiological, cognitive, and situational variables.
 By virtue of being humans, we all have the capacity to experience emotions.
 Primary emotions- Direct emotional response to a situation is referred to as the primary
emotion e.g. you are sad because your friend said something hurtful however because of the
sadness you have experienced you became angry. This is a secondary emotion. i.e emotional
response to the primary emotions.
 Positive and negative emotions- There are certain emotions that are pleasant and rewarding for
example- love, joy, happiness, etc. whereas there are some emotions that make you feel miserable
reduces your confidence and is responsible for your downfall. It is referred to as negative
emotions. e.g.- hate, jealousy, greed, etc.
Topic for the next class- Continuation of the topic Emotional intelligence
Ethics Class 11

Emotional intelligence (EI): The ability of an individual to reason with emotions and use emotion
in reason. It is defined as the ability to identify, use understand and manage one own emotions as
well as the emotions of others in a positive way to:
o Relieve stress
o Communicate effectively
o Empathise with others
o Overcome challenges
o Decrease anti-social behaviour
o Diffuse social conflict

Building blocks of emotional intelligence:

 Four branches of Mayer-Salovey
o Emotional perception - Ability of the individual to identify and express them accurately.
o Emotional assimilation - Ability to understand complex emotions and understand these
transitions.
o Emotions understanding - Ability to identify which emotion is facilitating the thought
process.
o Emotional management- The ability of an individual to manage emotions by attaching
and detaching with them in any situation.

This theory can be applied in the context of Mahabharat where before Kurukshetra Arjun
developed the first two blocks of emotional intelligence i.e. perception and assimilation. However,
it was lord Krishna who helped him in developing the other two stages of emotional intelligence

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i.e. understanding and management. That ultimately made Arjun an emotionally stable person
also known as Sthithapragyna.

Daniel Goleman's building blocks of EI:

 Self-awareness - It is referred to as the core of emotional intelligence. It is defined as the ability
to accurately perceive our own emotions, strengths, limitations, motivation, etc, and understand
how they affect the people around us.

Benefits- It helps in self-evaluation and accepting constructive feedback. It helps in

understanding one motivation and values and remaining focused even in case of a setback. Those
who are aware of their limits will refrain from setting unrealistic goals for themselves as well as
the organization. The ability to relate and empathize with those in a similar situation creates
sensitivity towards any issue. It also helps in dealing with external factors that cannot be
controlled and behaving appropriately in every situation.

Examples- Parents who failed to identify their own motivations and responsibilities to inculcate
values and affection in the family might end up with their children falling prey to drug abuse,
bad influences, etc.

An administrator who is not aware of their motivation for delivering public services might
indulge in corrupt practices for individual gains but this action not only has the consequence for
the individual but also for the larger society. Hence self-awareness is the beginning of all wisdom.

 Self-motivation- It is defined as a persistent and energetic approach towards goal achievement.

It can be ensured through the following techniques:
o Remembering the loved ones.
o Creating a guilty feeling.
o Reading motivational stories or quotations.
o Make working towards a goal a habit.
o Set small goals.
o Track your progress.
o Reward yourself even on small victories.
o Embrace positive peer pressure and practice gratitude both towards self & others.

 Self-regulation- It is referred to as the ability to control impulsive behaviour, think before

acting, and ability to hold judgments about others.

Exhibit the following features: Integrity, trustworthiness, flexibility, openness, etc. E.g.- In the
context of defense forces there are challenges such as isolation from family, loneliness, a threat
to life, etc. EI especially self-regulation will help in coping with stress. Similarly, in today's time,
people compete for position, power, promotion, etc. EI helps in developing a strong mental
attitude to manage emotions, take optimal decisions and communicate effectively.

 Empathy- Ability to understand the emotional profile of others by imaginatively placing oneself
in the position of others.
They exhibit the following features:
o High level of patience and tolerance.
o Service orientation.
o Bottom-up approach.
o Demonstrating unconditional positive regard toward others.
o Effective listener.
o Acknowledging the perspective of others.
 Social skills- The skills which help in developing proficiency in managing relationships and
building networks. E.g.- Sense of humour, tactfulness, good and effective communication skills,

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politeness, self-confidence, social memory, ability to persuade, good listening, and ability to
generate compassion, should appear approachable, manifesting humility.

Question- What do you mean by Emotional intelligence? What are the building blocks of emotional
intelligence? (10 marks/150 words).
Question- 'EI is the ability to make your emotions work for you instead of against you. Do you agree
with this statement? Discuss (10 marks/150 words).

Questions:
Question 1- In the context of the COVID-19 pandemic, discuss the importance of emotional
intelligence among healthcare workers. (10 marks/150 words).
Question 2- Emotional intelligence is an important parameter as one aspires to move up the ladder
in a competitive environment. Discuss (10 marks/150 words).
Question 3- What are the main components of emotional intelligence (EI)? Can they be learned?
Discuss. (10 marks/150 words).
Question 4- In case of a crisis of conscience does emotional intelligence helps to overcome the same?
Critically examine. (10 marks/150 words).

How EI can be learned: Learning EI skills requires commitment i.e. conscious practice and training
can improve EI. Willingness to honestly evaluate your own emotions and driving factors. There has
to be a well-designed intervention so that the person can get accurate feedback about how others
perceive him. This will help us to pause and contemplate our own behaviour. Hence, individuals will
get a clear picture of what needs to be improved. E.g.- Different research methodologies such as
Questionnaire, and interviews can be used to provide accurate feedback about the individual's
behaviour.

Flexibility in attitude: People with better social skills empathy and self-awareness are better
equipped to change hence early socialization plays a significant role. Incorporating these theoretical
thoughts into real life.

Role of EI in governance-
o FW Taylor- A classical thinker known for scientific management theory, developed one best
ways of performing a task.
o Max Weber- legitimate authority, charismatic authority, legal rational authority
(bureaucracy).
o Structural -Hierarchy, division of work, a system of rule, the role of specificity.
o Functional- Impersonality, rational, objectivity, rule orientation.
o Elton Mayo
o Mayer-Salovey
o Daniel Goleman

FW Taylor theory - The perspective of Taylor was based on the following assumption i.e. The
efficiency of the organization can be improved through the application of scientific methods. A good
worker is one who does not initiate action but only accepts orders. A worker is an economic man
motivated by economic ways.

Principles of scientific management- It focuses on the best way of doing the task. Selecting and
training the workmen. To ensure that work is done according to the best way. A piece rate system is
adopted to keep the workers motivated however the theory has been criticized-
 It is referred to as a mechanistic theory because it neglected the human aspect of the
organization.
 it is referred to as a monistic theory of motivation as it underestimated and oversimplified human
motivation by considering it only in monetary terms.
 It has been criticized for treating workers as mere cogs in the wheel.

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 Max Weber-
o Power- Ability to exercise will in community action despite resistance.
o Legal Rational- (Rational) When means are designed to achieve ends,) legal) it is based on
written rules.
o Weber's impersonal management- It is defined as management through a system of
official authority and predefined rules rather than emotions. It constitutes the core of
Weberian bureaucracy which aims to maximize efficiency.

The necessity of impersonal management-

o It will ensure equality in the treatment of the people.
o Fairness and objectivity will be observed in bureaucratic functioning.
o It will lead to efficient, consistent, and rational decision-making.
o It will help us in creating precedence which can shape future decision-making.
o It will ensure loyalty in the conduct to words the organizational goals and will also help in
self-regulating any impulsive behaviour which goes against the predefined rules.

Challenges-
o Blind rationality- Strict adherence to rules and over-obsession with the rules it leads to
displacement of goals. e.g. Starvation death in the context of Jharkhand. It is being criticized
for leading to 'trained in capacity.
o Since people are asked to strictly follow the rules they become incapable of dealing with
changing conditions.
o It is also being criticized that it would also lead to 'occupational psychosis. (when do some
work for a long time, you develop your preferences and antipathies. So, people do not
embrace the changes. In the absence of the ability to take initiative or innovation, it leads to
self-alienation also referred to as the prostitution of personality.
o Strict adherence to rules leads to a lack of compassion or apathy among the officials towards
people which aggravates the vulnerability of the weaker section.
o Since they are not aware of their rights.
o They do not have the platform to voice their concern.
o There is a lack of strong pressure groups which can support their cause.

The classical thinkers were criticized for ignoring the human element in the organization and
only focusing on the formal structure of the organization. This resulted in the emergence of the
human relation school of thought and the father of human relations theory is Elton Mayo.

 Elton Mayo- Elton mayo conducted the experiment known as the Haw thorne experiment. The
experiment was conducted in different phases e.g. illumination, relay assembly test room, etc.
The findings of the experiment are as follows-
o Social and psychological factors rather than physical conditions at work determine
efficiency.
o It is the non-economic rewards that affect the output of the worker.
o Since workers are social animals hence interpersonal relations, the attitude of superior and
subordinate impacts their efficiency.
o In every formal set up there exists informal organizations which determine efficiency by
setting up the norms and behavioural patterns of the workers.

Participative management results in higher productivity as-

o It develops a sense of participation among the workers.
o It creates a pleasant environment.
o It prevents alienation.
o It ensures acceptance and internalization of the organizational goals by the workers.

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It was this idea of Elton Mayo that was further studied by Mayer and Salvour and Daniel Goleman
to establish the significance of emotional intelligence.

Significance of EI in administration- All governance is people's governance. All service is people's

service. Relationships are the basic premise of governance. Hence if we fail to develop a trustworthy
relationship we cannot ensure good governance.

1. More awareness about the needs of the citizens hence targeted policy making thereby
challenging once size fits all approach. For Example- Avnish Saran's idea of a bike ambulance.
Armstrong constructed a 100 km road in Manipur without government support.
2. EI officials possess social skills which can enable them to diffuse conflicts in society and ensure
legitimacy for government policies by creating acceptance among the people towards the
policies. Through their conduct, they can act as a role model and help in establishing a virtuous
society.
3. Emotionally intelligence officials are self-motivated to ensure good governance and hence they
act as change catalysts by enabling innovative responses to emergent situations.
4. EI administrators are not the prisoner of their emotions hence they get swayed away by corrupt
offers. We have numerous examples of honest officers like - Rajni sekari Sibal (JBT scam),
Poonam malakondiah ( Pulled Mosanto to lower prices).
5. EI official is self-aware of his motivation, and responsibilities with respect to public service.
Hence will take actions not under the pressure but with the goal of establishing good in society.
Sandeep Naduri- Established a cafe runner by PwDs.

Question- What do you mean by EI? Discuss the role of EI in administrative practices. (10
marks/150 words).

Question-Write a short note on each of the following: (10 marks/150 words)

o Impersonal management
o Human relation theory of Elton mayo
o Traits of emotionally intelligent official
o Taylor's scientific management

EI in India context- Mentioned in bhagwad Gita. EI person is referred as 'Sthithapragyna'.

Reasons- Desire and anger are two voices responsible for the turmoil. It starts with desire which
leads to attachment to someone/something. When the desire is not fulfilled. This leads to anger
which cripples the ability of an individual to differentiate between right and wrong. What are the
qualities of an emotionally intelligent person-

According Bhagwad Gita Desire and anger are reasons for emotional turmoil however if an
individual develops the ability of emotional perception assimilation, understanding, and
management then he will become emotionally intelligent. For example, Arjun

Qualities of EI people- One who remains unaffected in the face of calamity. One whose mind is not
shaken by adversity. One who takes both good and bad equally i.e. neither too happy when successful
nor too demotivated when confronted with failure. However, this does not mean that they are
sensitive, it is that they have the ability to keep their emotions under check. It also prescribes how to
develop EI.

Nishkaam Karam- It is the philosophy of performance of duties without any expectation in return.
It teaches us that duties have to be performed without any selfish motive, desire or anxiety with
respect to the result of the actions. Nishkaam Karam as quality is an asset in civil services-
o A certain set of duties have to be performed selflessly and without any expectation.

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o There should not be any conditions to services such as based on caste, religion, ethnicity, etc, and
only sincerity with respect to their duty.
o The result of action should not agitate the mind even in a tense situation, this is only possible
when an individual performs their action with detachment.
o However, there is a focus on accountability honesty, and integrity.
o Selfish action may lead to unethical practices such as corruption, nepotism abuse of power, etc.
o Many times, situation is not in the hand of an individual and one can only put in the effort
without any guarantee of the result, in such a situation this philosophy helps the civil servant to
remain focused and motivated.

 Ethics and Human Interface-

o What is ethics- It can be referred as the set of do's and don'ts which govern human conduct
in a social setting. The entire conceptualization of ethics can be summarised in the principle
'Never impose anything on others that you would not want to go through thus ethics may be
defined as the systematic study of human actions from the point of view of rightfulness or
wrongfulness as a means of attainment of ultimate happiness.

"Atmah Pratikulani Paresham na Samacharet" which can be translated as Never impose

anything on others which you yourself don't want to go through.

o Characteristic features of Ethics - Ethics never dictates a single course of action but
prescribes/provides the means for evaluating the options and deciding among those
competing options. Every society needs a 'code of ethics' to prevent social conflicts and
ensure peace/harmony and stability along with the ability to resolve the dilemma among
competing values. Ethics tends to remain consistent within the context, but changes with
every change in the context. Hence, ethics is contextual. For example - it changes from society
to society such as homosexuality or live-in relationship or abortion. Ethics is maintained and
sustained with a sense of responsibility and not mere accountability to some external
agency.

o The essence of Ethics -

(Most important quality of something, which defines its character)
⇓
Every individual is capable of making
intelligent and informed choices
⇓
Every choice that they make has implications
for both the individual and collective
⇓
Hence, every individual should be responsible
for their choices
⇓
And, it is 'Ethics' which helps individuals in making the right choices.

Resolving dilemmas. Examples - branded v/s generic medicines, selfish interest v/s collective
welfare. Ethics help in establishing a morally virtuous society by acting as the first line of defense
against deviant practices. For example - it will help in reducing discriminatory behaviour based
on prejudices or will prevent acts of misappropriation of funds or violence against vulnerable
sections. Since it helps in resolving dilemmas, it facilitates quick decision making especially
during an emergency situation. For example - saving someone's life. It helps in ensuring good
life. A good life is one that is full of virtues. According to Bhagavad Gita, the purpose of human

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life is to fulfil its duties and adhere to virtues. In today's time, people are not happy with wealth,
power, or position but it is ethical behaviour that is the source of ultimate happiness.

The concept of ethics is only applicable with respect to voluntary actions (Those actions which
are performed of free will without any coercion). Another important quality of ethics is it is
neither absolute nor universal. Ethics are abstract with respect to what is the right thing to do
and it does not have a concrete manifestation hence many times people are not able to
understand its meaning and significance and hence drift towards unethical behaviour.

Determinants of Ethics - Determining what is right or what is wrong is neither absolute nor
universal. There is no objective way of justifying any ethical principle to be valid for all the time to
come. Hence, we can determine what is ethical based on the following -

God and Religion - Religion-based ethics praise the source to God that something is right because
God says so. Hence, these determinant advocates universal ethical standards. For example - the
eightfold path of Buddhism, and the philosophy of anekantvad in Jainism, nishkamkarma according
to the Bhagavad Gita. However, we shouldn't identify ethics with religion as it also applies to
atheists. What is good is good because it is good. Hence, you don't need any justification for it.

Culture - The ethical principle of the individual is also influenced by their culture. For example -
individualism and rationality in the context of the west whereas in our society, collectivism,
cooperation, strong familial obedience, etc. It can be summarised in one statement - Be a roman in
Rome.

Society - Although society is one of the major determinants of ethics, but, one should not equate
being ethical to whatever society accepts as sometimes, society can also deviate from what is ethical.
For example - untouchability, child marriage, dowry, etc.

Agencies of socialization - Example - family, teachers, life experiences, media, etc. help in shaping
ethical values. Media played an important role in determining the ethics of society. Hence, one
should create cinema with a social bend of mind. Example - Dangal, Pink, Article 15

Leadership - The leadership also helps in determining the conduct of their followers. For example -
rationality and vision (Sardar Vallabhbhai Patel), integrity from Mahatma Gandhi, and
perseverance from Abraham Lincoln. endurance amidst adversity from Nelson Mandela. However,
leaders are also prone to unethical practices. Hence, one should not blindly follow them. Example -
Hitler.

Philosophies - (It will be covered under normative ethics).

Constitutionalism - It is a way to establish the moral disposition of society. For example -

fundamental duties, preamble, and DPSPs. In case of any dilemma, it has to be the constitutional
morality that should govern the human/individual's conduct.

Whether the human action is ethical or not? It can be determined based on the following -
 Object - Nature of fact whether it is morally right (telling truth), morally wrong
(cheating/lying), or indifferent (running, jogging, sitting).
 Circumstances - It deals with the persons involved, situation, time, place, occasion, etc. It can
impact the morality of the action. Example - It can make a good action even better ⇒ providing
food to a starving person. It can make an indifferent act good ⇒ sitting with a lonely person. It
can make a bad action even worse ⇒ robbing a beggar of his only meal of the day.
 Intention - It refers to the intention behind the action.

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Example - lying to help someone (bad to good), telling the truth to embarrass a friend, and deriving
sadistic pleasure (good to bad), a doctor running in the traffic to save the life of a patient (indifferent
act to good)

Consequences of Ethics -
Individual Collective
Ethical life is a source of ultimate happiness. For Equitable and Inclusive development as ethics will
example - the act of blood donation makes us feel ensure fair opportunities and fair distribution of
good resources.

Ethical behaviour makes a person a higher-order

Ethics of care, justice, and rationality will motivate
being who is beyond the lower-order needs. For
society to bring reforms of change. For example - the
example - Lord Ram did not care about the lower
progressive laws (decriminalization of sections 377,
order needs such as power, wealth, kingship but
497, 309 of IPC), and recommendation of SC to treat sex
focussed on the virtues of compassion,
workers and their children with dignity
responsibility, and courage etc.

Ethical person is acknowledged, appreciate,d Ethical behaviour helps in establishing sustainable

and has credibility in the society. For example, social order through the socialization of the younger
honest civil servants generation with respect to ethical values.

Ethical behaviour leads to mutual kindness and It will ensure good governance. For example -
hence good interpersonal relations Armstrong Pame, Alex Paul Menon

Dimension of Ethics:
o Descriptive ethics - what people think is right.
o Meta ethics - what does right even mean.
o Normative ethics - what is the right thing to do.
o Applied ethics - application of moral knowledge in the real life.

1. Descriptive analysis - It is the study of people's beliefs about morality. It tries to explain the
moral and ethical practices of societies and cultures. It involves empirical investigation as
to what actions society rewards or punish. It is a value-free approach to ethics, that is, it
does not make any judgments about the morality of the practices and beliefs. One example
of descriptive ethics is Lawrence Kohlberg’s theory on stages of moral development.

Lawrence Kohlberg Stages of Moral Development: He was an American psychologist who

believed that like cognitive development, moral development also follows a series of stages He used
a storytelling technique to tell people about the stories involving moral dilemmas and the way in
which an individual reason and respond to the dilemma will determine the stage of moral
development One of the best-known dilemmas created was the Heinz Dilemma which discussed the
idea of obeying the law versus saving a life

Heinz Dilemma: Heinz's wife was dying due to cancer. However, a chemist discovered a new drug
that might save her. But he was selling the drug at 10 times the cost of the drug which Heinz could
not afford. He requested the chemist to provide a drug at a cheaper price but he refused. Hence out
of desperation Heinz broke into the chemist's shop and stole the drug

Lawrence Kohlberg asked the following questions:

o Should Heinz have stolen the drug.
o Will anything change if Heinz did not love his wife.

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o Should police arrest the chemist, if the woman died.

o By studying the answers from children of different ages, Kohlberg identified 3 stages of
moral development.
Right and wrong are defined by what they are punished for; for
Stage 1
example, if you get scolded for stealing then it's a wrong act
Pre-Conventional
Right and wrong are determined by what we are rewarded for;
Stage 2
however, any concern even for others is motivated by selfishness
Individuals possess a conformist attitude to morality i.e. right and
Stage 3
wrong are determined by the majority
Conventional
Obey laws without questioning and respect authority. Most adults do
Stage 4
not progress beyond this stage
Right and wrong are determined by personal values. Individuals believe
Stage 5 that laws exist for good but sometimes they may infringe on an
individual's own sense of justice and hence they ignore them. E.g. Heinz
Post
conventional People at this stage have their own set of moral guidelines which may
or may not fit the law. These principles are universal and people are
Stage 6
ready to defend them even if it goes against the rest of society. E.g.
Socio-religious reformers

Normative Ethics:
o How people should act?
o What is the right thing to do?
o Also known as "Perspective ethics"

The morality of the action can be determined based on the following perspectives:
o Action based ethics.
o Virtue based ethics.
o Justice based ethics.

Action-Based Ethics: It is the moral worth of action and is determined by:

o Means (Deontology): The action is considered morally right if action per se is right irrespective
of its consequences e.g. Niskama Karma which focuses on the performance of duties and does
not emphasize the consequences. Hence the focus is on the duties of self and the rights of others.
However, it is criticized for being rigid as it believes in an absolute concept that there is no wrong
way of doing the right thing
o End (Teleology): Also known as consequential ethics. It is the moral worth of action and
determined based on its consequences. Hence the focus is on the outcome rather than the process
because "end justifies means". E.g. the concept of Robinhood; jumping the traffic signal to save
someone's life. However, it has been criticized on the grounds that no one can predict the
consequences of the action with certainty. Trolley Dilemma (1967) by Philippa Foot.

Teleology:
o Psychological egoism (Thomas Hobbes).
o Ethical Egoism (Ayn Rand).
o Utilitarian Approach (Jeremy Bentham).
o Revisited Utilitarianism (JS Mill).
o Concept of Common Good.

Egoism: Egoism refers to when the behaviour is solely motivated by the desire to benefit self.

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o Psychological Egoism: It states that self-interest motivates all human actions. It is a

descriptive approach. One of the major philosophers of this theory is Thomas Hobbes
o Ethical Egoism: All Individuals should be motivated by self-interest while performing their
action. It is a prescriptive approach. The major philosopher is Ayn Rand.

Thomas Hobbes: He was an English philosopher who gave his theory during the time of the English
Civil War.
His Philosophy: According to him, human by very nature is selfish, brutish, self-preserving, etc. He
cannot maintain peace and stability therefore, people come together through a social contract to
form a state or govt. He also believed that human beings will engage in a fierce struggle for scarce
resources to fulfill their vested interest. Hence, he called for a Leviathan State with the following
provisions:
 Absolute power to govern.
 People will have no right to revolt against the state.
 People will not have absolute rights.
 The state should emphasize education to induce obedience in the people.
 E.g. - North Korea comes close to Leviathan State

Ayn Rand: She was a writer and a philosopher who was a supporter of ethical egoism. According
to her, individuals should exist for their own sake i.e. neither sacrifice themselves for others nor
others for your own self. She referred to egoism as the virtue of selfishness. According to her ethical
altruism is incompatible with happiness

Utilitarianism: It is a "doctrine of ethics"; according to which an action is right:

 If it benefits the majority
 If it brings happiness
Bentham and JS Mill were the pioneers of this approach.
Applications:
o At Individual Level - self-interest.
o At the societal level -
o At Governance Level - Maximise the benefit of govt schemes, policies, etc.

Jeremy Bentham: According to him, the moral worth of an action is governed by, "Greater
happiness for the greater number". For example, if you need to establish a power plant and the
interest of tribal families is at stake, Bentham will not consider it since there is no place for liberty,
dignity, and rights in his approach. Hence, it is the interest of the majority which will determine
whether the action is right or not. according to him, happiness was always about quantity and not
quality because according to him, "Pushpin is the same as poetry"
His work was criticized:
o For overlooking the interest of minority.
o Value-based happiness did not appear in his theory.

JS Mill: In order to defend utilitarianism, he put forward his perspective.

Philosophy of Mill: He supported utilitarianism but stated pleasure of an individual should not
bring displeasure to the society. He distinguished between higher and lower pleasure, for example,
hard work versus entertainment. He provided quantitative utilitarianism while mill provided
qualitatively. According to him, "It is better to be a Socrates dissatisfied rather than a fool satisfied".
He gave the idea of liberty where he mentioned that the interest of minorities should never be
compromised. Hence in the above-stated example, taking the consent of tribals is mandatory.
Because of his perspective, it was written, "He was peter who denied his master".

Utilitarianism versus Concept of Common Good:

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Utilitarianism Concept of Common Good

The individual is taken as a unit. Society as a whole as a unit.
The focus is on promoting the happiness of a The focus is on promoting welfare, and the
maximum number of individuals e.g. CCT, development of society e.g. construction of
DBT, Subsidies. roads, Hospitals, etc.
Based on the principle of "Giving a dole". Based on the principle of "Lending a hand".

Normative Ethics:
 Threshold Deontology- Let us consider two situations on one hand it refers to the example of
people stranded on a boat where in order to survive three people killed one person. In another
situation, there was a bomb planted by a terrorist in a populated area. It was believed that
torturing the person's information can be extracted and thousands of innocent lives can be saved.
According to deontology, both actions are wrong as killing and torturing someone is immoral.
However, to reduce the rigidity in the approach the concept of threshold deontology is put
forward. It is a theory that an act that is wrong if produces the best consequences can be morally
justified if those consequences surpass a certain threshold of seriousness as in the second case
mentioned above.

 Emanuel Kant- He is referred to as the father of the deontological approach the moral worth of
the action is based on the action which is performed. Emanuel Kant introduced the principle of
the categorical imperative (CI) which is considered the fundamental principle of morality. CI is
defined as unambiguous duties or non-negotiable needs of an hour. It is based on four
principles:
o Principle of Universality-Acting in such a way that it can be made into a universal law.
o Principle of equality- These universal principles should be applied to all including self-i.e.
no exceptions hence 'you show me the man and I show you the rule does not apply here'.
o Humanism principle- People should never be treated as means but as an end in themselves
therefore child labour, bonded labour, objectification and commodification, surrogacy, using
humans in clinical trials, etc are not justified.
o Principle of duty-Acting in the right manner because it is the right thing to do and not
because of any fear or rewards attached to the action. For example- Charity is a good action
however when celebrities indulge in charity to increase their public engagement then it will
not be considered an ethical act.

Virtue-based ethics: It is referred to as a character-based approach to ethics. Here it is dealing

with WHAT' action is performed but who is performing the action. It is not an evolutionary
approach. It is focused on building the moral character of the individual. It believes of a virtuous
society to be established you need to create virtuous people (inculcating virtues and eliminating
vices). It is believed that virtuous people always make the right choices when confronted with moral
dilemmas. These virtues can be inculcated through the process of socialization by means of different
agencies. Hence, value based moral education is the need of the hour.

Socrates: He was a Greek philosopher from the classical period. He is credited as one of the founders
of western philosophy. An unexamined life is not worth living i.e. one should always question accept
and reject the facts as it will help in building a scientific temper and critical thinking. For example,
the current issue of fake news paid news, post-truth journalism (based on emotions rather than
facts), echo chamber effect of social media, lack of strong opposition in politics, etc. C. Raja. Gopal
Chari wanted to establish an opposition wing within the congress to ensure a constructive opposition
as it is said opposition delayed democracy denied. Socrates in his philosophy also talked about
courage which is the freedom to speak one mind, the ability to speak the truth, and objectivity.

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Many believe in China's aggressive policy but they don't dare to speak due to their financial
dependency on China. According to Socrates, an individual should find the meaning and purpose of
their life. They should know whether the actions they are performing are right or wrong, or else will
never be able to progress because self-knowledge is the source of ultimate happiness. A similar
thought process is there in the context of Indian philosophy for example respect Buddhism believed
in achieving Nirvana through meditation and introspection. Similarly, Bhagavad Gita also
maintains that God gives the human body to our soul so that it can perceive, feel and examine the
world. The path toward moksha is through the path of knowledge that is nothing but Gyan marg.

Plato: Plato was the student of Socrates, he identified four cardinal virtues that are necessary for a
happy individual and a good society.
o Wisdom- It refers to the application of knowledge in the right direction in fact it plays a vital
role in regulating all other virtues. For example, Praveen Kaswan Indian forest service official
made use of social media to create awareness about the organic honey collected from the forest
Sunderbans. He also helped in promoting indigenous products like water bottles made of
bamboo.
o Temperance-It is a strength that protects us against excess and consists of self-regulation, It
talks about moderation in thoughts, emotions, and actions in the current context in the absence
of temperance there are problems such as consumerism, McDonaldization of food habits,
lifestyle diseases, credit card culture (shop now pay later) resulting into a debt trap, gaming
addiction, social media obsession, racism, outsourcing the personality to technology.
o Courage- It is referred bravery to do justice, to remove obstacles that come on the path of justice.
The ability to speak the truth acknowledge the truth and stand against the wrong. For example-
Freedom fighters, social religious reformers, honest administrative officials, etc.
o Justice- According to Plato justice resides at two levels one at the level of human beings and one
at the level of the state.

Humans have three qualities but in different proportions.

o Reason- (it resides in the person's head).
o Spirit- (it resides in a person's heart).
o Appetite- (it resides in the person's stomach).

Justice is ensured when all these qualities perform their rightful purpose to make humans as a
whole. Secondly, these three parts existing in every individual should be reflected in the state
which is a collective of human beings through the formation of three classes, the ruling class, the
military class, and the economic class only then the ideal state would be created.

According to Plato the three major parts:

o Intellect- to reason and learn.
o Emotion- to be motivated.
o Appetite- to know when we are in need of something.

According to him, wise people use their emotions to motivate them to do what intellect finds valuable
but unwise people use their emotions to motivate them to overindulge in appetite which leads to
various problems such as consumerism, abuse, and addiction. According to Plato some people
knowing what is wrong still do it because their emotions side with their appetite.

Aristotle: According to Aristotle 'the golden mean is the virtue which can also be referred to as the
'middle path' of Buddha.
 Indecisiveness- Coward, stinginess, apathy, humility, quarrelsome.
 Self-control-Courage, generosity, modesty, friendship, composure.
 Impulsiveness - Pride, flattery, rashness, extravagance, irritability.

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According to Aristotle, it is the character that determines the ethicality and not the actions, motives,
or consequences. According to him, it is the doctrine of golden mean which is the virtue i.e. he
emphasized avoiding the extremes for example- in case of any discontent let us say with the
constitution one should not resort to violent protests or should not stay silent in case of any
discrimination. The favourable middle path is fighting the legal constitutional battle.

Justice-based ethics:
1. With respect to crime –
o Retributive justice- It refers to exchange/reciprocity quid pro quo i.e. if a criminal will be
punished if he has committed a crime. The following principle has to be observed -
Proportional justice, no retrospective law, and no double jeopardy. It does not focus on
reforms and there is a very high probability that a person might fall into the spiral of
committing crimes. That's because the focus has not been laid on reforming the value system
and hence may lead to further criminal tendencies due to the revenge-seeking attitudes or
naming and shaming of the person which makes it difficult for them to be socially integrated.
o Reformative justice- it focuses on rehabilitation of the criminals by introducing reforms by
means of counselling, meditation, knowledge of ethics, vocational training, etc. Example
initiative was taken by Kiran Bedi in the context of Tihar jail. This is based on the idea of
Mahatma Gandhi i.e. hate the sin and not the sinner. Even in the context of capital
punishment in various judgment apex court has observed that every saint has a past and
every sinner has a future. Hence it should be given in the rarest of the rare case. Reformative
justice should be complementary to retributive justice but should not replace it else there will
be a lack of deterrence. For example- Juveniles are being used to commit crimes which lead
to the amendment of the juvenile justice act.
o Deterrence- prevention of crime by creating deterrence which can be ensured both through
stringent laws as well as the certainty of law. It is not the stringency of the law but the
certainty of the law which act as a deterrence factor. In order to ensure certainty there is a
need for proper infrastructure, the numerical strength of the workforce, professionalism,
proper training, sensitization of stakeholders, and separation of law and order from the
investigation wing.
o Compensation- In order to ensure justice, especially in the context of vulnerable sections or
in the case of communal atrocities, compensation constitutes an important element of justice
as it is required for their basic survival.
o Distributive justice: Aristotle- It is unjust to treat equals unequally as it is unjust to treat
unequal equals. He proposed the theory of distributive justice where the distribution of
wealth or resources among the community or individual will be directly proportional to their
merit. This justice is the virtuous meaning between the vices of giving more or less than
deserving. However, his theory was criticized for being elitist in nature as it has not taken
into account the historical injustice, social barriers, and socio-economic position of the
individual in society. Hence to renew the discussion on justice Rawl put forward his theory of
justice.

John Rawl's theory of justice- According to him an individual is capable of making rational
decisions and based on this assumption he gave the theory of justice.

It is the standard used in decision-making by considering the facts and without any
prejudices. Also known as the veil of ignorance. It is a hypothetical situation prior to starting
the society when people decide the principles on which the society is built. The principles are
said by the people who are unaware of the social position they will occupy in the future
society i.e. they are unaware of being rich, poor, minority, majority, strong, weak, etc. This
ensures just and fair principles will be developed as each individual will contribute to making
the provisions that will benefit the entire society keeping in mind the worst-case scenario.

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The distributive justice proposed by Rawl was based on the following principles:
o People's liberty should be preserved in distribution.
o Equality of opportunity for all i.e. formal equality.
o Difference principle - it is valid as long as it benefits the weaker section, it creates
scope for the intervention of the state to remove inequalities in society.
o For example- Affirmative action, progressive taxation, subsidies, Dalit capitalism,
stand up India, etc.

Amartya Sen's idea of justice- According to him resource distribution is not enough to
ensure justice in society as it is not sustainable and also makes the individual dependent.
However, he considers Rawl's theory of justice to be quote progressive but revised it by
suggesting the idea of capability. According to him, we should focus on developing the
capability of the individual so as to empower them. Hence, the policy prescription of the
development of social infrastructure was suggested (human capital formation, demographic
dividend, longevity dividend).

Contemporary application Amartya Sen- Human capital formation. Promoting

entrepreneurship. Nurturing demographic and longevity dividend (Economic growth
potential created due to increase in life expectancy, by 2050, 20% of the population will be
above 60 years hence to make them productive assets we need to invest in their capability).
Attainment of sustainable development goals.

Story- A question posed before Amartya Sen that there is one flute and there were three
children to whom the flute shall be given: one who made the flute, one who knows how to
play the flute, and the third one who needs the flute. Amartya Sen didn't answer the question
and he says there cannot be one answer to the question that what is justice.

Rights-based ethics: The moral worth of an action is determined by whether it is infringing upon
the rights of an Individual /group of individuals.

o Rights- If is defined as entitlements enjoyed by individuals identified by the society, backed

and sanctioned by State.
o Natural rights- These are the rights enjoyed by the individual due to their mere existence.
They are given by the nature. They are abstract in nature, since not written anywhere
therefore there was a need to codify them so that accountability can be ensured. It led to the
emergence of human rights.
o Human rights- basic minimum rights enjoyed by an individual by virtue of being human.
They are fundamental to the existence of an individual and a dignified life. The idea emerged
during the inter-war period due to the emergence of a fascist State (the German state under
Hitler which killed Jews). Shook the collective consciousness of the International community.
Trials under crime against humans. Passage of UDHR 10 Dec 1948.
o John Locke- He was a huge advocate of freedom and governance by consent. According to
him, there are three inalienable natural rights- Life, Liberty, and property.

Meta ethics: What does right even mean? Meta-ethics is defined as a sub-discipline of ethics that is
concerned with the meaning of ethical concepts for example what is morality? or why stealing is
considered immoral? or why practices such as Santhara exist and what is the belief system behind
this practice etc. Hence, we can conclude that meta-ethics is the evaluation of ethics itself.

There are different philosophies such as:

o Moral absolutism - It is a philosophy that says there exists an absolute definition for moral
conduct. The definition does not change with circumstances. For example- Many religions

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have morally absolutist positions as they travel their ethical belief from god and hence
consider them absolute and unchangeable. The golden rule of life - treat others as you want
to be treated by them.
o Moral relativism - It holds the position that ethical propositions are not universal moral
truths. In fact, there is no objective way of justifying some ethical beliefs to be right for all
time to come. It varies with respect to social, cultural, and historical circumstances for
example- the practice of cross-marriage, similarly, beliefs with respect to live-in
relationships, abortion, etc. In some communities, families are patrilineal and patrilocal
whereas in some they are matrilineal and Matrilocal.
o Moral subjectivism - They are of the view that moral judgments depend upon the
perspective of the individual i.e. morality does not depend on rules or societal norms but on
the individual. Example- According to X development projects is justified as they will lead to
economic growth. However, according to Y, it is not justified as it is causing an
environmental hazard and rehabilitation issues.
o Moral Objectivism -It holds the position that certain acts are right or wrong independent
of individual opinion for example- upholding the dignity of women, and compassion towards
the vulnerable sections.
Moral Nihilism - It's a philosophy that believes nothing is inherently right or wrong. In fact,
according to them, ethical claims are false because they can change and can be given
different meanings by different individuals. These ethical beliefs or standards are
constructed by society so as to act as a method of social control for example- According to a
Nihilist murder is not wrong but neither it is right. For example - capital punishment is
prohibited in many countries on ethical grounds while in many they are justified. However,
it is distinct from moral relativism which allows for actions to be wrong or right with respect
to some cultures and societies.

Applied Ethics: Applied ethics, also called practical ethics, is the application of ethics to real-
world problems. It attempts to answer the question of how people should act in specific situations.

Bio-Ethics- Bioethics is a field within applied ethics that focuses on ethical issues that relate to
biology and biological systems.

Medical ethics- Ethics that govern the ethics of medical practitioners

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ETHICS IN GOVERNANCE
Topics to be covered:
o Foundational values of civil services
o Code of conduct and code of ethics
o Corruption
o Utilization of funds
o Public service delivery
o Corporate Governance
o Ethics in IR
o Ethical dilemma by civil services
o Work culture
Sources-
o 4th report of 2nd ARC-Ethics in governance
o 10th report of 2nd ARC- Personnel Administration
o Vision value added material
o Lexicon
o Examples- Padma awards for excellence, betterindia.com, newspaper
o Previous year questions

Foundational values of civil services (CS):

 Values - values are intrinsic beliefs of an individual that guide and motivate one's attitude,
thinking, and behaviour. Every individual has a different set of values to which he or she gives
importance. Some of the universally desired values include- Truthfulness, honesty, courage,
loyalty, helpfulness, and compassion.

 Spatial and temporal differences in values- values vary spatially and temporally, for example,
it may not be wrong to wear an undergarment printed with the national flag in USA but it may
be considered as objectionable and disrespectful in India. Generally, people are predisposed to
adopt the values they are raised with. People also tend to believe that those values are 'right'
because they are the values of their particular culture and may not necessarily apply to other
cultures. Ethical decision-making often involved weighing values against each other and
choosing which values to alleviate.

 Meaning of foundational values- These are those values and principles that form the very basis
of an organization, in other words, they form the core identity of an organization. Foundational
values permeate across the entire work culture of an organization from the top to the bottom.
These values are set by the leadership of the organization and guide the internal and external
behaviour of that organization.

 Significance of defining foundational values for CS- Civil servants possess wide discretionary
power and by following the foundational values they can maximize the public good. Following
foundational values can help in achieving the desired objectives of civil services. Civil servants
often face ethical dilemmas and relying on foundational values can help them arrive at quick
decisions. They ensure consistency and uniformity in decision-making and actions. They can help
in establishing or re-establishing the lost trust between the civil servants and the citizens. They
help in ensuring the maximum utilization of limited resources for the well-being of society. They
also promote the idea of good governance.

 Some of the foundational values of CS -

1. Selflessness.
2. Accountability.
3. Honesty.
4. Integrity.

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5. Transparency.
6. Impartiality.
7. Courage.
8. Compassion.
9. Objectivity.
10. Perseverance.
11. Dedication to public service.

 Sources of the foundational values of Civil Servant -

1. Constitution of India, DPSP, fundamental rights.
2. Code of conduct for the CS.
3. Religious and spiritual texts.
4. Memoirs of retired civil servants.
5. Historical events.
6. Cross-country comparisons.
7. UN code of conduct.
8. Autobiographies /Biographies of leaders.
9. Public service code suggested by the 2nd ARC.

Sympathy/empathy/compassion:
 Sympathy refers to a situation where an individual recognizes the pain and the agony of other
individuals
 Empathy is putting oneself in the shoes of others as if it is one's personal pain, in empathy an
individual engages himself cognitively.
 Compassion means taking action to relieve someone from the pain and suffering, the person is
experiencing.
 Compassion is a four-step process:
1. Being aware of someone's feeling
2. To be moved emotionally by someone's suffering/feeling
3. Developing a desire to resolve someone's suffering
4. Taking necessary steps to resolve the suffering.

Compassion shows the highest level of kindness of a person, who is ready to endure pain for the
sake of others. It requires a person to be self-aware and to be attentive to the needs of others and
to be committed to the care of others. Dalai Lama says 'Love and compassion are necessities, not
luxuries and without them, humanity cannot survive'.

 Significance of compassion for civil servant- All the other values are meaningless without
compassion. The very purpose of public services is to relieve pain and the suffering of the people
and that cannot be achieved without compassion. We are often victims of various stereotypes in
society which can be overcome by showing empathy and compassion. It helps in building the
trust of the citizens in the functioning of the government. It plays a crucial role in ensuring
citizen-centric administration.

 Methods to inculcate compassion in civil servants- Organizing regular field visits for civil
servants. Organizing Janta darbar to have a first-hand perspective of the problems of the people.
Organizing sensitivity training for civil servants throughout the course of their careers.
Organizing role-plays activities such as the ones conducted at the national police academy.
Cultivating interest in the culture of communities through activities such as Bharat Darshan and
India day etc.

 Objectivity- It refers to taking decisions and actions on the basis of analysis of relevant
considerations. It means to be not influenced by one's personal feelings and opinions. Therefore,

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one can say that objectivity is a lack of biased prejudices and stereotypes. An objective civil
servant would take a decision on the basis of facts, evidence, figures, and analysis of these facts
and figures. The opposite of objectivity is subjectivity which means taking decisions on the basis
of one's biases.

 Significance of objectivity - Promotes merit, especially with respect to recruitment in the

government. It gives a sense of fairness to the citizens and is therefore important to protect the
trust of citizens in the government. Decision-making can be more accurate with the help of an
objective approach. It plays an important role in preventing corruption in the government.
Ignoring relevant considerations can lead to policies that are well intended. To have unintended
and opposite consequences.

 Issues with being objective at all times- Taking an objective approach is not always possible,
especially because of the lack of availability of data. A person who is always objective in his
outlook may become insensitive and may ignore the genuine problems of the citizens. It may not
be possible to be objective at all times because people by nature are partisans. Being objective
may not be always helpful, especially in resolving ethical dilemmas.

 How to inculcate objectivity in civil services? - Use of data analytics tools to take decisions.
Use of decision-making frameworks such as the SWOT Analysis. Seeking feedback from the
citizens on the service delivery mechanisms for example, the Bombay Municipal Corporation
took an initiative by the name of the Citizens' Report Card to seek valuable inputs from the
citizens on the services provided by various authorities.

 Social Audit: Social Audit can be a powerful mechanism for inculcating objectivity in civil
services. It should be institutionalized as has been done in MGNREGA and should be made an
inseparable part of service delivery. By evolving the code of conduct that should be followed
diligently by civil servants.

Courage and Fearlessness: Courage is the ability to take decisions and actions and to stick to one's
values and Principles even when there is a possibility of unfavourable outcomes. Nelson Mandela
says, "Courage is not the absence of fear but the triumph over it. Courage is the first of human
qualities because it guarantees adherence to other values. It helps an individual in taking ethically
correct decisions however tough the situations and the circumstances.

 Significance of Courage or Fearlessness - It allows the civil servants to stay on the best course
of action despite hardships and temptations. It helps one in standing up against the
irregularities in the government especially financial irregularities. Courage is important to
ensure good in society as Napoleon once said, "The world suffers a lot not because of the
violence of the bad but because of the silence of the good." It helps civil servants to stay firm
in their core values and their principles. Civil Servants do not enjoy the benefit of hindsight while
taking decisions. Being courageous can help them take quick decisions in difficult situations.

 Methods to inculcate Courage and Fearlessness among civil servants - Recognizing and
rewarding the acts of courage by the civil servants. Enacting a strong Whistle Blower
Protection mechanism for civil servants so that they can expose the wrongdoings in the
Government. Laying down the comprehensive Code of ethics so that the civil servants adhere to
basic values and principles while taking decisions. Making the process of appointments, postings,
and transfers apolitical in nature by establishing a mechanism such as the Civil Services Board.
This would ensure that the decisions of the Civil Servants are not driven by Political
considerations. We may also consider providing a fixed tenure for important postings and
appointments. An independent Constitutional Body such as the UPSC may be given a bigger role
in deciding the appointments, postings, and transfers of Civil Servants.

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Dedication to Public Services: It is the quality of being able to apply or give one's time and
attention entirely to public service. It refers to a commitment, passion, and a personal urge to do
something for the public good without any external force. It essentially refers to internalizing the
cause of the public good. The very purpose of civil services is to serve the people and to
contribute to society which would get defeated in case there is no dedication to public service. It
can help in overcoming adverse situations especially when there is a shortage of resources. Civil
Servants enjoy wide discretionary powers which may be used for personal gains without this value.
Without this value, a civil servant would eventually run out of motivation. The job of a civil servant
is a 24*7 job and the will to continue for long hours can come only when one is dedicated to the cause
of public service.

 How to inculcate dedication to Public Services? - Recognition and rewards for the best-
performing officers to create inspiration for others. Organizing regular training sessions and
exposure through field visits to sensitize the civil servants towards the challenges faced by the
citizens. Volunteer Sundays can be organised to address specific issues faced by the citizens.
Inspiring young civil servants through stories and examples of exemplary civil servants from the
past. We may adopt Performance Linked appraisals as is done in the private sector. We may
consider setting up objective targets to assess the performance of civil servants in the form
of Key Result Areas and Key Performance Indicators.

Impartiality and non-partisanship: Impartiality refers to the act of not supporting one person or
a group over others. An impartial civil servant would give a fair chance to all sides without allowing
his personal biases to creep into his actions. Even though impartiality and non-partisanship are used
interchangeably with each other, non-partisanship has a special meaning that connotes apolitical
behaviour by civil servants. A civil servant is expected to remain politically neutral and implement
the policies irrespective of who is in power. Bhishma on his deathbed
in Mahabharata told Yudhishthira that the most important duty of the king is to be impartial
towards his subjects. If the king does not treat his subjects as his children, they would lose faith in
the king and the state.

 Significance of impartiality/non-partisanship - It is crucial in maintaining the trust of the

citizens in governmental institutions. A number of problems such as Naxalism have emerged
precisely due to the breakdown of faith in the government system. Only when a civil servant is
non-partisan can he or she show courage to suggest alternatives to the political executive.
Transformation in society cannot be introduced with a biased mind. India is a diverse society
with varying interests and therefore civil servants are expected to be neutral while
implementing the policies. In a democracy, major decisions should be taken by the elected
representatives of the people and the civil servants should only be the medium to execute those
decisions. Therefore, Civil servants should be as unbiased as possible.

 How to inculcate impartiality and non-partisanship? - Setting up a civil services board as

directed by the Supreme Court in TSR Subramanian versus Union of India. This board would
decide on appointments and transfers in an impartial manner. A similar suggestion has been
given by the 2nd ARC in the form of setting up a Public Services Authority. 2nd ARC
recommends objectively defining the relationship between the civil servants and the ministers
to minimize the day-to-day interference in the functioning of the administration. Providing a
minimum duration of postings and a fixed tenure for important postings and
appointments. A mandatory cooling-off period should be provided to civil servants before
taking private sector jobs or political appointments after quitting the services. Setting up a
comprehensive code of Conduct and laying down strict guidelines to regulate the acceptance of
gifts from individuals and organisations. A strong emphasis should be laid on inculcating the
values and responsibility by training young civil servants under retired senior civil servants of
repute.

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Tolerance: It is giving respect to the views and opinions of others even though they may be in conflict
with one's own views. It is a very important value to have in a multi-cultural society such as India. It
is based on the idea of living together in peace and harmony with one another despite dissenting
viewpoints.

 Significance of tolerance - To protect the multi-religious, multi-lingual and multi-ethnic

character of Indian society. It is crucial in protecting the Fundamental rights of freedom of
speech and expression and allowing the growth of ideas in society. A long-lasting solution to any
problem can be achieved only through discussion, deliberation, and a consensus-based
approach. Public officials should be secular in their outlook and to ensure this the value of
tolerance is non-negotiable. All India Civil Services such as the IAS, and IPS call on civil servants
to serve culturally diverse sections of society. For example, a civil servant hailing from Punjab
may find it difficult to serve the people of Nagaland if he does not have an attitude of tolerance.

 Ways to inculcate tolerance? - Through activities such as Bharat Darshan, field visits, etc.
Cultural events focussing on creating awareness about different cultures for example
celebration of India day at LBSNAA. Encouraging a culture of debate, discussions, and
deliberations during the training. Organising team sports, for example, inter-services sports
meet. Interacting with people from different communities in one's own locality and sphere of
influence.

Honesty and Integrity: Honesty and integrity are often considered synonymous with each other,
but there is a significant difference between the two. Honesty refers to the quality of being truthful
and sincere in one's conduct. It is an external concept and doesn't guarantee the highest standards
of behaviour. On the other hand, integrity is the mother of all values and refers to steadfast
adherence to values and principles It means following the highest standards of behaviour and
consistency in one's actions, thoughts, and behaviours irrespective of time, circumstances, and place.
Integrity has the following aspects:
 Choosing the right conduct.
 Acting consistently with the choice made, even when it is inconvenient to do so.
 For Example, Gandhiji withdrew non-cooperation movement after the Chauri Chaura incident.
 Openly declaring one's stance.

For Example, a Person not jumping a traffic signal at night irrespective of the presence or absence of
traffic police can be termed integrity. Integrity implies several values including reliability and
consistency in one's thoughts, actions, and behaviour. One can say that honesty is necessary though
not a sufficient criterion for integrity. To be a person of integrity, one has to be honest, but being
honest doesn't make an individual a person of integrity. For example, accepting that one has taken a
bribe, would be called an honest act. Whereas a person of integrity would not even think of taking a
bribe.

 Significance of integrity for civil services - Civil servant enjoys wide discretionary powers, and
in the absence of integrity, they may end up using these powers for personal and political
reasons. These values go a long way in building the trust of the citizens, towards the government,
and the civil services. Without, integrity corruption thrives in society and other values also get
compromised in adverse and challenging circumstances. Civil Servants are role models for
society and therefore, it is expected that they would show staunch adherence to values and
principles. It is important for the effective and efficient utilization of limited resources available
in the country.

 Ways to inculcate honesty and integrity in Civil Servants - Assigning mentors to civil
servants at the early stages of their careers, so that they can learn how to react in an adverse
situation. Exemplary punishment for corrupt civil servants, and appropriate reward

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mechanisms for those showing conduct with integrity. Inculcation of values and ethics in society
in general at an early age with the help of school and the family. Laying down the code of conduct
and code of ethics for the civil servants. Inclusion of value-based training curriculum as a part
of career-long civil services training.

Nolan Committee:
 Selflessness - Holders of public office should take decisions based on public interest only. They
should not do so for gaining benefits for themselves, their families, or their friends.
 Accountability - Civil servants should be ready to answer the question concerning their actions
and decisions. They must be ready to submit themselves, to whatever scrutiny is appropriate for
their office. It doesn't mean only being answerable for one's actions but also includes the
components of scrutiny and punishment, in case of violation of public trust. For example, in 2006
Andra Pradesh government instituted a management information system for tracking the
implementation of MGNREGA. Information is fed into the system at every step, making
monitoring possible through various reports and analyses, generated by the system. some of
these reports allow comparison and tracking of the progress of works, undertaken at various
levels.
 Openness - Holders of public office should make the basis of all their actions and their outcomes
public. They should hide information only when larger public interest requires them to do so.
Civil servants should also be open to sharing the outcomes of their decision and actions, with the
public.
 Leadership - Holders of public office should be ready to lead by example. They should guide the
team in achieving common objectives. A leader is someone who inspires others through his/her
actions, and behaviour, to ensure that the team can achieve the common goal. A leader acts as
a friend and a guide to the team members in adverse and difficult circumstances. A leader is
focused on getting the best out of every member of the team. For example, Gandhiji, Nelson
Mandela
 Objectivity: (Already covered in the foundational values).
 Honesty: (Already covered in the foundational values).
 Integrity: (Already covered in the foundational values).
 (Acronym for remembering these values: SAHIL-00).

Ethical Dilemma in Civil services: It is a situation in which a choice has to be made between two
morally valid options. In such a situation, it is difficult for the decision-maker to choose one path.
Civil servants, often face ethical dilemmas during the course of their work. In such situations, societal
and personal ethical guidelines may not provide a satisfactory outcome, to the person making the
choice. Some of the situations in which ethical dilemmas may be created are:
o Situation in which compliance with ethical conduct, may come at a significant personal cost.
o Situations where two or more sets of values are in conflict with each other. For example, Whistle
blower's dilemma. A person who has come to know of wrongdoings in defence deals but is
apprehensive about sharing the details publicly, as it may compromise national security.
Similarly, civil servants may be in dilemma to keep some information secret, which may cause
significant embarrassment to the government.
o Conflicts between the direction of senior officials and what a person thinks are the right thing to
do. For example, a police officer who believes in the value of non-violence has been asked by his
supervisor or senior, to use force against an angry mob
o When individual values and the organization's obligation clash with each other. For example, if
the environmental guidelines provide that industries should set up a waste treatment plant. But
the exorbitant cost associated with such a setup would result in creating financial difficulties for
the industry, and even may result in the laying off of a large number of employees.
o When one's personal values clash with one's professional values. For example, A lawyer who
comes to know of a heinous crime committed by his client vs. his personal value of not promoting
crime and the criminals.

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Steps to Resolve an Ethical Dilemma (6:54 PM)

Step 1: Identification of the options available in a situation
Step 2: Analyze the consequence of choosing one action over the other.

A person should consider the number of positive and negative consequences connected with the
options -
a) who would get the benefit by choosing that course of action.
b) Who would be adversely affected by choosing that course of action.
c) What are the long-term consequences as well as short-term effects of decisions taken?
d) What is the scale of harm and benefits associated with various options?

After considering all the options, which of the option produce the best combination of
maximization of benefits, and minimization of harm?
Step 3: Analyse the actions - In this step, one should concentrate on evaluating, the actions
against certain moral principles like honesty, integrity, morality, equality, transparency, fairness,
selflessness, accountability, etc. Analyzing if any of the actions may be violating any ethical
principle. Rank these principles, according to their importance.
 Step 4: Take the final action/decision based on steps 2 and 3.
 Step 5: evaluation of the situation or root causes, which led to the ethical dilemma, to address the
root causes

Tools that may aid the resolution of ethical Dilemma - Gandhiji's talisman so that the interests
of the poor and marginalized should be given priority over anything else. Following constitutional
morality –
o Keep one's personal values aside and follow the code of ethics or one's profession.
o Follow the principle of maximum good for the maximum people, especially maximum good
for the weakest.
o Following one's duty irrespective of the consequences.
o You can also use Gandhiji's 7 sins principles, the Eightfold path of Buddhism, etc.

Ethical governance: Ethical governance refers to governance that is carried out, with ethical
concerns in mind. It is a step ahead of the concept of good governance, given by the world bank It
seeks to realize certain universally desirable values, and not merely the values of administrative
efficiency. Therefore, ethical governance is concerned with efficiency as well as universal human
values.

Elements of ethical governance -

o Compassion.
o justice and fairness.
o Integrity.
o Dedication to public service.
o Selflessness.
o Rule of law.
o Transparency.
o corruption-free public service.
o Decentralization.
o Involvement of various stakeholders including civil society.

Significance of Ethical Governance - In the age and era of globalization, ethical governance is the
only way to achieve the goal of meeting the expectations of citizens. It plays a pivotal role in
protecting the interest of the weak and the marginalized. Issues such as corruption, nepotism,
favouritism, etc have become commonplace in present-day governance, which can be overcome with
ethical governance. Ethical governance ensures the governance is citizen-centric where a citizen is
at the centre of all governance processes It can play a crucial role in bridging the trust deficit

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between the citizenry and the government. To ensure not only efficient but effective utilization of
limited resources in the country.

Challenges associated with Ethical governance:

o Political hurdles- Excessive political interference in governance processes where the

emphasis is on populist considerations and not the elements of ethical governance. Politicians
often expect civil servants to perform unethical tasks which compromise ethical governance.
Favouritism and nepotism have become common practices in Indian administration,
compromising the neutrality of the civil services.

o Institutional hurdles- Civil servants are more concerned about How to impress their political
bosses rather than what the citizens need. The concept of career civil services compromises
dedication to public service resulting in complacency among civil servants. Civil servant
enjoys wide discretionary powers which often come without checks and balances. Bertrand
Russell in his book ‘the power’ stated that it is innate human nature to try to achieve and
exercise power, especially over others. In such some scenario civil servants are often focused on
preserving their power and finding ways to perpetuate it further rather than focusing on ethical
concerns of the governance.

o Operational hurdles- In the bureaucracy, secrecy is the norm and transparency is an

exception which results in a lack of accountability and therefore breeds corruption. Complex
procedures which have been designed to avoid errors in decision-making often result in
excessive delays in the decision-making process leading to loss of time and opportunity. Civil
servants often tend to develop a lack of empathy and compassion due to the hierarchical
nature of bureaucracy that creates distance between them and the citizen, as a result, they lose
sight of reality and get drifted from their main goal of serving the people.

o Societal hurdles- Dwindling morals and values in society have made civil servants focus more
on greed and accumulating material resources rather than the cause of public service. Often
civil servants are tempted to use the power for selfish gain resulting in unethical governance.
Further lack of any external checks and balances disincentives them to focus on ethical
behaviour.

Probity in governance: It is the quality of having strong moral values and principles such as
honesty and Integrity in governance processes. probity as a term is used in the context
of institutions in the same way integrity is used in the context of individuals. Essentially it means
the absence of corruption in public life, the other requirements of ensuring probity in governance
effective implementation of laws, rules, and regulations.

Methods to inculcate probity in governance: Adherence to principles enshrined in

the constitutions and code of conduct for the civil services. Ensuring accountability to the citizens
through effective implementation of social audit mechanisms. Integration of information
technology in public service delivery mechanisms and innovative use of modern means such as
social media to keep the public informed about the activities of the government. Effective
implementation of citizen's charter and public service delivery standards through the public
service guarantee act.

Effective implementation of the RTI and Suo Motu disclosure of information by the government
departments. Setting up institutions such as the CVC, the CICs, Lok pal, etc to investigate and punish
those who misuse or abuse power. Reforming and strengthening the criminal justice systems to
ensure the effective functioning of courts and the police. Reforms in anticorruption laws to provide
exemplary punishment in case of abuse of power and position. Enacting a simple yet effective code
of ethics and code of conduct for the civil servants

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Code of conduct and code of ethics: A code of conduct refers to a specific set of
guidelines provided to the members of organizations as to how they should conduct themselves in
certain specific situations. Therefore, one can say that code of conduct defines dos and don’ts for the
civil servant. For e.g. the All India civil services conduct rule, 1968 lays down that every member
of the service shall maintain the highest ethical standards, and political neutrality, promoting
principles of merit and fairness, accountability and transparency, responsiveness to public courtesy
and good behaviour with the public. At the same time, it provides specific dos and don’ts in certain
situations for e.g. civil servants are not supposed to be involved in criticism of the government in any
form.

They are not supposed to take part in public demonstrations in honour of government servants
without prior permission. Civil servants are supposed to remain sober and not appear in a public
place in a state of intoxication and not use such drinks and drugs to excess. they are also supposed
to observe strictly the existing policies regarding crime against women and observed the two-
children family norm. An all-Indian civil servant should not enter into a marriage with a person
having a spouse living and a member of the service having a spouse living shall not enter into a
marriage with other people. Civil servants are also expected to manage their private affairs in such
a manner to avoid insolvency. No member of the services should abet the giving or taking or give
or take dowry.

Civil servants should not engage directly or indirectly in any trade or business or any other
employment or participates in the making of sponsored media or any such programs Civil servants
may accept from near relatives or friends having no official dealing with them on certain celebratory
occasions but make a report to the government if the value of the gift exceeds 25000rs in other
cases, a civil servant shall not accept the gift without the permission of the government if the
value exceeds 5000rs

Code of ethics: A code of ethics is a loose set of principles that should be guiding one's behaviours.
It is a general set of values and principles that should be adhered to by the members of an
organization. They do not have any legal backing but rather a moral force behind them. for
e.g. code of ethics may prescribe that civil servants should follow the principles of accountability and
transparency in the functioning of their office but it does not have any legal implications in case
one does not do so.

Difference between codes of conduct and code of ethics: Both codes of conduct and code of ethics
are an attempt to enrich the professional qualities of an organization. But there are significant
differences between both of them. The code of conduct is specific in nature and the code of ethics
is generic in nature. Code of conduct is legally enforceable and minor punishment may be imposed
for not following the same whereas the code of ethics is not legally enforceable and has only a moral
sanction behind them.

A code of conduct is explicit and clear in nature whereas a code of ethics is usually implicit in
nature. It means that the code of ethics implies actions but does not give any specific directions. The
code of conduct focuses on compliance with rules and regulations whereas the code of ethics
focuses on compliance with values and principles. Temporally, a code of conduct can only
guide the behaviour over a short period of time whereas imbibing the code of ethics can ensure long
terms sustainable changes in the behaviour of civil servants

Significance or importance of code of conduct and code of ethics: Civil servants enjoy
wide discretionary power and following a code of ethics and a code of conduct can ensure the use
of these powers in the public interest. Civil servants often faced an ethical dilemma in the exercise
of their function and without such a code, the behaviour of the civil servants would be determined
by individual morals in such situations code of conduct and code of ethics may help in navigating
their such dilemma. They can ensure consistency and uniformity in the action and the behaviour

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of government institutions. A well-laid-out code of conduct and a code of ethics would attract
the best talents and only those candidates who are ready to adhere to such values and principles.
Therefore, it can help in addressing the problem of expectation mismatch and high attritions in
government organizations. Civil services are often accused of having poor work culture which can
be addressed by diligently following a code of ethics. This code mandates principles such as
transparency, accountability and selflessness etc in the conduct of civil services which can go a long
way in addressing the trust deficit between civil servants and society. Organisations can survive and
sustain ethical behaviour only if accountability is more internal than external. A code of ethics can
help in achieving the ideal of internal accountability. Civil servants are often entrusted with
the resources of the community and following these codes would ensure that these resources are
used effectively for the public interest alone.

Limitations of the code of ethics and code of conduct: The enforcement of the code of conduct
depends upon departmental discretion whereas the code of ethics has no legal enforceability at
all. Not only that Code of ethics is too vague and subjective in nature and therefore its enforcement
and interpretation are individual-centric. It is often said that the erosion of moral values has
happened to such an extent in public services that the code of conduct and code of ethics would have
a negligible impact on probity in governance. There are no incentivize for the civil servant to follow
the code of ethics or code of conduct. A code of ethics does not define which principles would apply
in which circumstances and a code of conduct on the other hand itself have limited application in
certain circumstances. It can be very difficult to adhere to these codes in present circumstances
when excessive political interference in administrative matters is a routine practice

Second ARC on code of Ethics and Public Services Code Bill 2007: The second administrative
reforms commission has proposed the enactment of a public service code in the form public service
bill 2007. A similar concept has been included in the laws of other countries such as Australia,
Poland, Canada, etc. This bill highlights some of the specific values that a civil servant must observe
in his or her behaviour.

Some of these values of public services include -

o Patriotism and upholding national pride.
o Allegiance to the constitution and the law of the nation.
o Objectivity, impartiality, honesty, diligence, courtesy, and transparency.
o To maintain absolute integrity.

These values may be revised from time to time upon consideration of the central public service
authority to be constituted under section 19 of this law.

This body (Central Public Service Authority) shall discharge the following functions:
o Aid and advise the central government in all the matters related to the organization,
control, and management of Public Services and Public servants.
o Provide recommendations on the Public Service Code of Ethics and Public Services
Management Code.
o Provide recommendations on policies of good governance in public service and ensure
transparency in the same.
o Provide recommendations on Grievance Redressal Mechanism for civil servants.

The code can be divided into three levels:

o Level 1 - Clear statement of values that the civil servant should observe. (In terms of values).
o Level 2 - Broad principles that should govern the behaviours of Civil Servants. (Public service
code).

Under Public Service Code, Every public service employee shall:

o Discharge official duty with competence and accountability-

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 Care and diligence.

 Responsibility.
 Objectivity, honesty, and impartiality.
o Every public service official shall - have the opportunity for professional growth and
leadership development.
o Every public service official shall avoid misuse of official positions or information and use
public money with utmost care.
o public service officials shall serve as an instrument of good governance, and promote socio-
economic development with due regard for the diversity of the nation but without
discrimination on the grounds of caste community religion, etc.
o The government in consultation with the central public service commission authority shall
prepare a public service code for ethics according to the principles highlighted above.
o Any breach of this code would be dealt with in form of sanctions or disciplinary actions by
the concerned disciplinary authority.

 Level 3 - A specific code of conduct providing a list of acceptable and unacceptable behaviour.
(Code of conduct) (Public service management code). The third level prescribed by this bill
includes a public service management code on the basis of the following principles-
o To establish public services as a professional merit-based institution for promoting good
governance.
o Mechanisms and incentives to maintain high levels of productivity, efficiency, and
excellence.
o Policies to promote sustainability of public services, keeping in view the finances of the
government.
o Determination of the interface between the political executive and public services based
on the principles of neutrality and integrity.
o Accountability for the decision-making by the civil servants.

Code of ethics for the politician: Even though India has a code of conduct for ministers, it is not
comprehensive in nature and includes a list of prohibitions. The second ARC suggests, That there
should be a code of Ethics for the ministers so that they can uphold the highest standards of Ethical
conduct in the performance of their duties.

Some of these principles can be described below -

o Ministers must uphold the principle of collective responsibility enshrined in Article -75
of the constitution.
o Ministers must ensure that no conflict arises or appears to arise between their public duties
and private interest.
o Minister must uphold the political impartiality of the civil servants and not ask the civil
servant to act in a way that would clash with their duties and responsibilities.
o Minister must comply with the requirements laid down by the parliament from time to time.
o Minister must ensure that public money is used for public purposes and with utmost care
and economy.
o Minister must not use government resources for party or political purposes.
o Ministers must function in a manner to serve as instruments of good governance and to
provide services for the public at large.
o The misters must act objectively, impartially, and in a fair and just manner.

Q. Even though there is a need to bring a code of Ethics to guide the actions of civil servants,
the same should be applied to ministers as well. In this context highlight some of the
important principles that should guide the code of ethics for the ministers.

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Sources to be referred to - Search "Restatement of Values in the Judicial Life" - 1997 charter -
read from the Second ARC report. Also referred to - the Rajya Sabha committee highlighted certain
values for the legislatures.

Steps to enhance the effectiveness of the Code of Conduct and the Code of Ethics:
 1) As far as the Code of Ethics is concerned the government organization may learn from the
private organization as many of them have effectively implemented the Code of ethics and have
created an environment in which the employees identify themselves with the core values and
principles of the organization
 2) The second ARC has recommended, that this Code of Conduct and the Code of
Ethics should be designed and enforced only after consultation with relevant stakeholders
including Civil Society Organizations, Citizens, Media professionals, etc.
 3) The government department must maintain a record of violation of the Code of Conduct by
the civil servant, and the same should be reflected in the service record of a Civil Servant.
 4) To make them more effective Public Service Values should be inculcated in the young civil
servant at the early stages of their career through various training modules.
 5) We may also consider the introduction of incentive mechanisms to ensure adherence to these
values.
 6) Code of Conduct and Code of Ethics should be accompanied by with adoption of
commensurate service delivery standards and strong accountability and transparency
mechanisms.
Q. Discuss the difference between the Code of Ethics and the Code of Conduct. Mention their
Limitations. (150 words/10 marks).

Corruption: The use of public office for private gains is known as Corruption. (Narrow definition).
As per the world bank - Corruption refers to the abuse of public funds or public office for private
gains. Usually, corruption is associated with the act of giving or taking bribes but there is a need to
give a broader definition to corruption. According to the Prevention of Corruption Act, POCA -
1998, no specific definition has been provided for corruption. However, Section 7 to 15 of this law
relates to the offense of bribery and associated penalties.

Some of these provisions cover activities such as -

o Acceptance of illegal gratification as a motive for doing or not doing an official act.
o Favouring or disfavouring any person.
o Obtaining a valuable thing without consideration.
o Obtaining any monetary advantage to any person without any public interest.
o Being in possession of resources or property disproportionate to income.

According to this law, the focus is on gratification or another pecuniary advantage. However, there
is a range of activities that are detrimental to the public interest, which is not covered under this
law.

Therefore, there is a need to expand the definition of corruption to include such acts as well
- Gross Perversion of constitutional provisions and democratic values including willful violation
of the oath of office. Unduly favouring or harming someone without any consideration or
gratification. In such cases, Nepotism and personal prejudices play a role even though no
corruption is involved in the legal sense. Obstruction of justice by unduly influencing law
enforcement agencies and prosecution. The resultant failure of justice undermines public
confidence in the system and breeds anarchy and violence. Wasting public money by spending
exorbitantly in order to maintain a luxurious official lifestyle.

Classification of corruption:
o Coercive Corruption - It refers to a type of corruption in which the victim is forced to involve
himself in the corrupt act to avail of a government service to which he or she is entitled. In this

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type of corruption, the bribe giver is a victim of extortion because if he does not submit to the
demands of the public servant, he would end up losing much more than the bribe. A citizen is
sucked into the vicious cycle of corruption to avoid harassment delays, loss of opportunity, or
loss of work due to non-compliance with demands of a bribe. The money paid is termed speed
money. A large part of it can be attributed to a lack of vigilance in public offices, an absence
of fear of the law, lack of legal awareness among the citizens. Additionally, it occurs due to a
mismatch in the supply and demand of government services and excessive discretion that
has been placed in the hands of civil servants.

o Collusive Corruption - In this type of corruption, the bribe giver and bribe taker both cheat
society. The bribe giver is as guilty and guiltier than the bribe taker. It is also called top-down
corruption and usually occurs in the higher echelons of the government. This type of corruption
is usually big-ticket corruption. Some scholars believe that this type of corruption is the by-
product of the private sector in the economy as the private players try to outgrow each other at
the expense of the public.

Some of the examples would be -

o Execution of sub-standard work.
o Distortion of competition.
o Commissions for public procurement, and tax evasion.
o Direct harm to the public by making spurious drugs and products.
o Violation of safety and maintenance norms.

Whether collusive corruption is more harmful or coercive corruption is more harmful - The
prevention of corruption act lays down that acceptance of illegal gratification is an offense. Even
though bribe-giving is not defined as a separate offense, the bribe-giver is guilty of the offense of
abetment. However, the law provides immunity to prosecution to a bribe giver if he or she makes a
statement accepting that he or she offered a bribe. As a result, the rate of Convention in cases of
coercive corruption is more than in collusive corruption. The reason for this is that the bribe giver
often comes forward to testify against the bribe taker. Even the traps set by anti-corruption bodies
are effective in such cases. But the same is not true for collusive corruption as both the bribe giver
and the taker are gaining from the transaction.

Therefore, collusive corruption is more difficult to expose but at the same time coercive corruption
is difficult to monitor and control considering the huge size of the government machinery. The
amount of money and resources involved in Collusive corruption is huge and therefore implies a
greater loss to the taxpayer. On the other hand, coercive corruption affects the citizens directly and
affects the lower strata of society the most. Coercive corruption is difficult to tackle as it becomes a
way of life and gradually people develop a tolerance towards the same making it endemic within the
system. Collusive corruption affects public expenditure on various welfare programs and erodes the
trust of the citizens in democratic institutions. Coercive corruption also does the same and
additionally demotivates the citizens to approach the government to avail the services.

Impact of corruption on society:

o Economic impact - As per the study conducted by Mckinsey, most of the corruption acts made
in south Asia are smuggled out to safe havens. As a result, tax collection suffers. It discourages
foreign investment as foreign investors don't want to invest money in those economies where
corruption thrives and the ease of doing business is low. Crony capitalism distorts the level
playing field and adversely affects small businesses and discourages innovation and
entrepreneurship.

o Political impacts of corruption - It promotes the criminalization of politics as money is the

most important factor in deciding the electoral result. At times criminals with illegally earned

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money are preferred over candidates with a clean record. It leads to the erosion of faith and
trust in institutions of democracy and therefore weakens the institution from within.

o The Societal impact of corruption - Corruption becomes a way of life and normalizes
unethical conduct in society. Therefore, establishing a vicious cycle of corruption and unethical
behaviour. It has a detrimental effect on social capital as people become more and more
distrustful of each other.

Ways to Tackle Corruption:

o The legal measures to tackle corruption - Section 7 of the Prevention of Corruption
Act should be amended to include the offense of collusive bribery. Collusive bribery may be
defined as a transaction in which the Transaction outcome leads to a loss to the state or public.

The definition of bribery and corrupt activities should be expanded to include acts such
as -
o Obstruction of justice.
o Wasting public money.
o Gross violation of constitutional provisions.
o Abuse of power for unduly favouring or harming someone.
o The prior sanction should not be necessary for prosecuting a public servant who has been
trapped red-handed or in cases of possessing assets disproportionate to the known sources
of income.
o The sanctioning authority should not be summoned to the courts to prevent unnecessary
delays in prosecution.
o In addition to penalties the public who cause loss to the states by their corrupt acts should
be made liable for the loss caused.
o In order to ensure speedy trial of corruption cases, all the cases should be tried by a
particular judge and the proceeding should be held on a day-to-day basis. We may also
consider amending the provision of CRPC to limit the time of trial in corruption cases.
o Changes should be made to the Whistle-Blower Protection Act to protect the
confidentiality and anonymity of whistle-blowers.
o Section -8 ROPA may be amended to disqualify those individuals who have been charge-
sheeted in certain heinous crimes.

o Institutional Measures to prevent Corruption- At present Lok pal is dysfunctional and there
is a need to revise it in consistency with the commitments made at the UNCAC (United Nations
Convention against Corruption). A local bodies Ombudsman should be constituted for a group
of districts to investigate cases against local bodies' functionaries. There is a need to change the
provisions of the DSPE Act (The Delhi Special Police Establishment Act) to provide autonomy
to the CBI director and to free the institution from the control of the central government. A
reasonable time limit should be fixed for the investigation agencies to carry out investigations
in corruption cases. The prosecution of corruption cases should be done by a panel of lawyers
to be chosen by the attorney general after consulting the Ombudsman.

o Social Measures - School awareness programs should be introduced highlighting the

importance of ethics and how corruption can be combated. Active involvement of CSOs (Civil
Society Organizations) to highlight the cases of corruption and to keep a vigil on the
government functionaries. Some of the examples that may be emulated are Jansunwai by
MKSS (Mazdoor Kisan Shakti Sangathan), The citizen report card by the Public Affairs
Center Bangalore, NCPRI - (National Campaign for People's Right to
Information) spreading awareness related to the RBI. Campaign for electoral reforms and
citizen Charter by Lok Satta Hyderabad. A mechanism should be evolved to screen the
allegations of complaints made by the media so that appropriate action can be taken in such
cases. Operational guidelines of all the schemes should provide for a Social Audit Mechanism.

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o Systemic Measures- Complete adoption of information technology in all government offices

to implement the concept of the paperless office. The department manuals should be revised
thoroughly to reduce the discretionary powers in the hands of civil servants. Government
organizations that simplify and streamline their process must be given suitable
rewards. Government should make it mandatory for the bidders of public projects to sign
integrity pacts. For Example- ONGC signed an MOU with transparency international and
CVC in 2006. Public interaction in government offices should be limited to designated officers.
The government should try and adopt a single window clearance mechanism with a file tracking
system for all the government departments. Risk profiling of all the jobs should be done in
order to determine positions that are highly vulnerable to corrupt activities. Only officers
with impeccable records should be appointed to man these positions.

Work Culture: It refers to the collective set of values of an organization and its employees. It
decides the manner in which the employees of an organization interact with each other as well as
their attitude toward their clients and other partner agencies. An organization possesses a strong
work culture if the employees adhere to its rules and regulations and more importantly the values
and principles of the organization.

For example- Google emphasizes the culture of innovation within the organization. Several experts
believe that a strong and clear work culture helps provide a common frame of reference for the
activities of the organization. An organization's work culture is formed over a period of time and is
often deeply influenced by the founders of the organization. One may say, that the work culture
of an organization reflects the philosophy and the character of the organization.

Characteristics of a Healthy and a Good Work Culture:

o It includes the principle of work-life balance.
o It focuses on a spirit of teamwork.
o It includes healthy competition.
o Organization would have employee-friendly policies.
o For any organization to have healthy work culture should promote inclusivity. (It should not
discriminate between men and women, between young and old)
o It should promote democratic decision making
o It should be as flat as possible not hierarchical.
o It should recognize and reward the best performers in the organization
o It should also promote healthy employee-client relationships.

Characteristics of healthy work culture in civil services:

o Simplification of rules and procedures, adoption of single window clearance, and
elimination of discretion in the hands of civil servants. For example- passport services have
been reformed completely by eliminating unnecessary steps and procedures in the
functioning of the organization.
o It should promote responsiveness and compassion towards the citizens.
o Promoting self-esteemed and pride in one's work.
o Clear-cut allocation of work and the division of tasks, so that proper accountability
mechanisms can be enforced.
o A learner's attitude toward acquiring new skills even though it may result in occasional
failures.
o Sensitization towards the value of team spirit.
o The leadership should lead by example and should be willing to make changes in
themselves before they expect others to do so.
o Should be adaptive towards the adoption of technology and the latest development. For
example- Civil servants should be willing to learn about the use of data analytics for
predicting the outcomes of the policies.

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Importance of healthy work culture in the civil services:

o It leads to better employee satisfaction and lesser attrition (people leaving the
organization,) rates, as a healthy work culture ensures consistency in thoughts and actions.
o It strengthens the spirit of teamwork and promotes trust in the workplace.
o It promotes transparency and greater accountability in the functioning of the
organization.
o It ensures legal compliance and lowers regulatory risks.
o It creates a conducive working relationship between the leadership and the other levels in
the organization.

Challenges associated with the work culture in the civil services:

o Overemphasis on rules and regulations and procedures instead of the problems faced by the
citizens.
o Emphasis on the culture of secrecy. The second ARC mentions this as one of the biggest
problems in the functioning of civil services in India. The civil servants try to hide the
reasoning behind the policies, creating a trust deficit, nepotism, and corruption leading to
the loss of accountability.
o Lack of innovation or out-of-the-box thinking. Civil servants are often status quo in
nature and therefore resist reforms. As a result, policy-making is incremental in nature
rather than revolutionary at times.
o Civil services often promote the attitude of complacency because of the concept of career
civil services.
o Civil services are too rigid in nature and unwilling at times to cooperate with civil society
organizations and public policy think tanks.
o Civil servants are often input driven rather than outcome driven
o At times the civil services are accused of being insensitive toward the needs of the citizens.
o Poor reward mechanisms to recognize outstanding contributions towards work.

Traits that civil services can learn from the private sector: Establishing better communication
with the junior officials so as establish Grapevine in the administration. Private organizations
are structured in a flat manner which helps them establish the spirit of teamwork. Government
organizations may also focus on dismantling hierarchies and promoting democratic decision-
making. Private sector organizations put a lot of emphasis on customer satisfaction and experience
and seek feedback to continuously improve their services. Private sector organization works on the
principle of rewarding individual efforts or behaviour whereas in government organizations
recognition is seldom provided for individual efforts as promotions are often based on seniority
rather than performance.

In private sector organizations, the board of directors does not interfere in the day-to-day
functioning of the organization. Public sector organizations may learn from this to keep undue
political interference out of the functioning of the organization. Private sector organizations have
a standard operating procedure and focus on the time-bound execution of the projects. Private
sector organizations have grievance redressal mechanisms to escalate complaints against the
members of the organization.

Suggestions to Improve the Work Culture in Civil Services: The government may consider
adopting of an objective annual assessment system for civil servants. Some of the tools that may be
useful includes-
 KPI - Key performance indicator.
 KRI - Key risk indicator.
 OKR -Objectives and Key Results.

Sensitization of the civil servants towards the problems of the citizens by organizing regular
interactions with the citizens through tools such as - field visits etc. Organizing a comprehensive

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mentorship program for training the new recruits under the guidance of reputed civil
servants. Inculcating a culture of transparency through the introduction of information
technology in the functioning of the organization. Promoting the spirit of teamwork through
team-building exercises.

Public Service Delivery: It refers to mechanisms and processes through which services are provided
by the government to the citizens which are in nature welfare services for the citizens. In present
times Public Service Delivery happens through two modes-
 Directly through the government machinery.
 Indirectly through various agencies and partners who worked with the government.

Some of the key services delivered by the government include- healthcare education waste
management, law and order enforcement, infrastructural development, etc.

 Healthcare sector - Public health resources in India are under tremendous pressure to meet
the needs of a large population. According to the Human development report 2020, India has
just five hospital beds / 10000 people. Only 12 countries in the world are worse than India which
includes Afghanistan, Uganda, Senegal, etc. India has 9 doctors /10000 which is less than half
the number in China. Despite the presence of the best doctors in the public health institution
(PHI), the quality of the service suffers on the account of poor management and ill-trained
support staff. The housekeeping and sanitation services are often ignored in PHIs and often the
equipment is either defective or absent. There are several reasons for such a situation.

Reasons:
o Shortage of funds in public health institutions.
o India spends less than 2% of its GDP on public health.
o Lack of ownership and accountability in the PHIs due to the presence of multiple regulators
with overlapping jurisdictions.
o Lack of awareness among citizens with respect to their rights.
o Shortage of manpower to take care of ancillary functions.

As a result, citizens end up migrating to private institutions for availing of health services.
Coupled with poor insurance coverage it ends up creating excessive pressure on the finance of a
number of families. Thereby pushing them below the poverty line.

o Some successful examples of efficient public service delivery:

 Example 1- The government of Andhra Pradesh entered into an innovative PPP to
enhance access to dialysis care in the state. In this model, the private sector was given
the responsibility of installing the equipment and making the Center functional before
transferring it to the government. Essentially it was executed in the BOT model. This
ended up in a win-win situation for all the stakeholders including the patients.
 Example 2- In Changlang district, Arunachal Pradesh, the DC successfully converged
various government schemes to upgrade the facilities available at Anganwadi centers in
the district. The unutilized funds from ancillary schemes such as MGNREGA, PMGSY, and
the national health mission were utilized for this purpose.

o Principles of public service delivery: Enforcing stricter accountability standards through the
adoption of measures such as social audit, the right to public service act, and the RTI. Continuous
innovation in public service delivery mechanisms through feedback from the citizens. Adoption
of technology to simplify public service delivery. Providing trained manpower to the local
government establishments and implementation agencies. Reengineering the government
processes so as to simplify them for the citizens. Greater decentralization of public funds.

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o Initiatives are taken to improve public service delivery.

 PM award for excellence in public administration.
 National NeGP program.
 Public service delivery act.
 Indices released by NITI Aayog.
 Public financial management system.

Utilization of public funds - Often availability of public funds alone is considered an important
factor in deciding the performance of the government with respect to service delivery for the citizens.
But the effective and efficient utilization of public funds is an equally important factor for a resource-
starved country such as India. The government is only the custodian of public funds and not the owner
and therefore it has an added responsibility of ensuring judicious use and effective utilization of
public funds. The government should ensure that public funds should be utilized only for public
purposes.

Principles that should government utilization of public funds- Money should be spent in
accordance with the law. Money should be spent only for a public purpose and objective criteria
should be used to determine the priority. Decision-making should be transparent so that the citizens
are informed about the reasoning behind the utilization of public funds. The utilization of public
funds should be driven by outcomes rather than inputs. Money spent should conform to
accountability standards i.e. the citizens should have the power to hold the public officials
accountable with respect to whether the funds have achieved their desired objectives or not.
Decentralized planning should be carried out so that the utilization of public funds should be
demand-driven rather than supply-driven. Timely release of funds as per a pre-decided schedule.
Cutting down the layers of bureaucracy and the number of approvals required for the utilization of
funds. The government approach should be utilitarian to maximize the good for the maximum
number of people and egalitarian as well to ensure the well-being of the most marginalized.

Challenges with respect to the utilization of public funds:

1. Misutilization or misappropriation of funds- Political parties often misuse public funds
to issue political advertisements which end up promoting the interests of a few people over
the general public. Political parties often compete with each other to irrationally distribute
freebies to the citizens which has negative repercussions in the longer run. Misappropriation
of funds which may include public servants misusing their office for private gains. For
example- In the past it has been found out MPs recommended MP LAD fund be executed by
an agency or an entity owned indirectly by an MP. Red-tapism and policy paralysis lead to
delays in implementation of the government projects and therefore significant to the
exchequer or to the public. According to MoSPI as many as four hundred and 25
infrastructure projects with a budget of more than 150 crores each have been hit by cost
overruns of more than 4.83 lac crores. The average time overrun in such delayed projects
was more than 42 months. Government projects are often affected by leakages created due
to multiple layers of implementation. As a result, only a small percentage of the money
allocated reaches the targeted beneficiaries.

2. Underutilization of funds- often the funds allocated for government schemes remain
underutilized due to institutional and procedural bottlenecks. This happens primarily due
to the creation of multiple layers between the implementing agency and the fund-releasing
authority. As a result, a large portion of funds allocated go underutilized in the financial
year. It often results in what is called the march rush where the administrative agencies try
to spend the money in an indiscriminate manner so that it does not lapse at the end of the
financial year. Underutilization could also be attributed to the delay in the flow of funds to
the implementation agencies which limits the availability of funds for expenditure at a
specific point in time. Underutilization may also be attributed to a lack of capital

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expenditure by the states to improve their capacity to implement government projects. The
central government has also given very less attention to this aspect of administration.

3. Inefficient utilization- The priorities of the government are also misplaced as a result it
ends up spending money on not-so-important activities. For example, building statues to
commemorate leaders from the past instead of spending the same funds on improving public
health infrastructure.

The implication of inefficient utilization of public funds:

o Social implications- It leads to the violation of rights and entitlements of the citizens. It has
led to a number of social problems such as poor health infrastructure, an ineffective
education system, and diminished social capital.
o Economic implications- Despite having double-digit growth potential India's economic
growth has revolved around 5% to 7%. Inadequate improvement in public infrastructure
such as roads, ports, etc has reduced the competitive advantage of Indian businesses.
o Political implications- Misallocation and underutilization have led to unequal
development in different parts of the country which has created a threat to the unity and the
integrity of the nation. Increased corruption and inequalities within the states have led to
unbalanced regional growth.

Suggestions- Introduction of technology to ensure greater transparency in the utilization of

public funds. Example- The public finance management system is a tool to allow real-time
monitoring of the utilization of public funds across the government. Awareness creation and
capacity-building exercises should be carried out among the citizens to ensure effective social
audits of government schemes and programs. We may consider the institutionalization of social
audit as a part of the execution of all the government schemes as done in the case of MGNREGA.
Cutting down the layers of bureaucracy and streamlining the processes to ensure the timely
release of funds to the implementing agencies. Ethical training of the civil servants to ensure
adherence to principles such as Honesty, integrity, accountability, etc.

Corporate Governance: It is a set of systems, processes, and systems that ensure that the
functioning of the corporate entity is beneficial for all the stakeholders in the longer run. The
stakeholder will include the customers, the employees, the society, the shareholders, consumers,
management, and investors. It is the duty of the management of the corporate entity to protect the
trust and the interest of all the stakeholders.

Principles-
o Transparency- A corporate entity should take all the necessary measures to keep all the
stakeholders informed about the functioning of the entity.
o Legality-A corporate entity should comply with all the laws of the land and not perform
functions contrary to them.
o Accountability- It should adhere to the highest standards of accountability to ensure its
commitment to the stakeholders to conduct its business in an ethical manner.
o Integrity- Decision-making should be free from any external influences and a corporate
entity should practice what it preaches.
o Equity and diversity- It should represent different sections of society and promote
inclusivity through the appointment of directors and employees from weaker sections of
society.

Advantages/ Benefits associated with corporate governance:

o Better Reputation - It helps in establishing a strong reputation for a corporate entity which
automatically translates into higher profits.

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o Better prospects for investment- Principles of corporate governance ensure that an entity
runs according to the laws of the land and follows the highest standards of ethics. This
creates a positive impression on institutional investors who may not want to be associated
with those companies that are involved in unethical practices.

It is one of the most important screening criteria for institutional investors as it not only
creates financial incentives for them but also justifies their decisions to invest in the
company. For example- According to a survey conducted by Mckinsey, institutional
investors were willing to pay an average of 20% more the well-governed companies.

o Improved work culture - Corporate governance has a significant impact on the work
culture of any organization. It ensures greater trust among the employees of the
organization and therefore results in a positive work environment and higher employee
retention rates. It means that a company can save money and costs associated with the
recruitment and training of employees.

o Increased role of the private sector in the Public-sector enterprise- Post the LPG
reforms private sector has a greater role to play in the delivery of services to the citizens. For
example - several private entities have been roped in by the government for the delivery of
essential public services such as electricity distribution. Therefore, due to the increased
dependence of the citizens on the private sector corporate governance has assumed
significant importance.

o Nation-building role - Corporate entities should ensure that they work for the larger
interest of the nation as well. Some of the corporate entities have been involved in several
scams and corrupt activities in the past, which has affected the image of the private sector
as well as that of India as an investment destination. To ensure their ethical functioning
adhering to the principles of corporate governance is a must.

Challenges associated with corporate governance in India:

o Most of the businesses in India were family owned before the LPG reforms. But, it has
been noticed that excessive control of the families continues despite such companies going
public. It has raised questions about the independent decision-making ability of corporate
entities.
o It has been often noticed that corporate entities often function in the interest of a few
powerful people comprising the interest of other shareholders. For example, no alarm was
raised by the board of directors over the faulty management practices prevalent at IL&FS.
o There have been several instances of the management trying to enrich itself at the cost of
other shareholders. For example - The head of the ICICI bank approved a loan to Videocon
without following due diligence measures as she had an indirect interest in Videocon.
o Insider trading has also been witnessed in some corporate entities where material
information that was not public was used by the people close to the senior management to
their advantage.
o Exorbitant executive compensation has also emerged as a major issue in the running of
corporate entities, especially in those cases where the interest of the other stakeholders has
been compromised at the expense of heavy compensation paid to the senior executives.
o Non-compliance with the disclosure and accountability norms has also emerged as a
major challenge in the functioning of corporate entities. Even though the companies act
of 2013, lays down clear standards and guidelines for bookkeeping, non-compliance with
such rules has gone unpunished in most cases in India. Often the auditing process has also
been compromised due to vested interest, therefore putting the shareholders at a risk.

Questions:

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1) Several corporate entities have been embroiled/involved in unethical activities. In this

context highlight the measures to be taken for corporate governance in India. (150
words/10 Marks).

2) What are the reforms that are required in the functioning of corporate entities in India
also mention the recommendations of the Kotak Committee in this regard? (150
words/10 Marks).

Reforms that are required in the functioning of corporate entities in India:

o Improvement in standards of financial disclosure, especially those related to the funding of
political parties by corporate entities.
o Companies must enact and follow strong whistle-blower protection norms to provide anonymity
to the whistle-blowers. We may follow in the footsteps of the USA and enact legislation such
as the Sarbanes Oxley act 2002, which provides auditing and financial regulations to be
followed by publicly listed companies. Even, the second ARC has provided recommendations on
the same.
o Employees, officers, and directors of a company must not use insider information for trading
purposes either for themselves or for others by making recommendations to buy or sell shares
based on such information.
o We need to set limits on investments that can be made by the officers or employees of a company
in shares of a publicly listed company.
o No employee should have an outside interest or employment that affects their attention or time
towards their work. Employees may be encouraged to take part in charitable, educational, and
other civic activities as long as such activities do not impair the performance of or conflict with
the company's duties.
o Appropriate disclosures must be made to all the stakeholders to make them aware of any risks
that the company may face in the future.
o Strengthening the audit exercise by giving more teeth to the audit companies and giving a bigger
role to the non-executive directors in the audit committees to maintain their independence.
o Corporate entities must make an honest attempt to provide better representation to the
marginalized and the women on the board of directors.
o We may consider evolving a code of conduct or a code of corporate governance to ensure desired
behaviour on the part of corporate entities.

Recommendations of Kotak Committee on Corporate Governance- The committee extensively

examined the existing problems and recommended swiping changes in corporate governance
structures to improve the investor's confidence-
1. The committee recommended improving the functioning of the three gatekeepers of any
corporate entity.
Gatekeepers -
 The board of directors
 The auditors
 The regulatory bodies
2. It recommended increasing the strength of the independent directors from 33% at present
to 50% to protect the interest of small investors.
3. It also recommended that no meeting of the board should be conducted without the presence of
independent directors.
4. It also recommended setting up an audit committee to look into an infusion of funds by a
publicly listed company in unlisted subsidiaries, especially foreign subsidiaries.
5. Strengthening the role of the market regulator to improve the governance practices in publicly
listed companies. The SEBI should have the power to act against the auditors in case of
dereliction of their duties.

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6. For government companies it was recommended that the board should have the final say in the
appointment of the directors and not the nodal ministries.

Corporate Social Responsibility: The term CSR refers to corporate initiatives to assess and take
responsibility for the functioning of a company in form of detrimental effects on the environment
and society as a whole. In India, the concept of CSR is governed as per the provisions of section
135 of the companies act 2013. India is one of the few countries in the world to make CSR
mandatory, along with a framework to identify potential CSR activities. CSR is also termed
corporate citizenship and is understood as a way through which a company may achieve a balance
in economic, environmental, and social outcomes. It demonstrates a company's commitment to
promoting the social and environmental well-being of society.

The mandatory CSR provisions apply to companies with an annual turnover of 1000 crore or
more or net worth of 500 crores or more or a net profit of 5 crores or more. The act requires
corporate entities to set up CSR committees that shall recommend CSR policy to the board of
directors and monitor the implementation of the same from time to time. The companies are
required to spend 2% of their average net profits of the previous 3 years on CSR activities. An
indicative list of the CSR activities that can be undertaken has been specified under scheduled -7 of
the act. For example- environmental sustainability, eradication of extreme hunger and poverty,
promotion of education, Gender equality, and empowerment of women, etc.

Advantages/positive effects of making the CSR mandatory in nature: As a result of provisions

under the act, the money spent on CSR has shown a quantum jump and opened up avenues for the
NGOs and Civil Society Organizations to seek funding for their efforts. It has helped in bridging the
trust deficit in society, especially between the citizens and corporate entities. Universalized CSR
spending has created an entire ecosystem that has streamlined the CSR work of the companies. CSR
is based on the premise that businesses can thrive only if they operate in a thriving
society. Businesses not only have an ethical and moral responsibility towards society but they would
provide greater legitimacy to their activities. Investors are likely to reject companies that develop a
reputation for being unethical. Companies that do not pay attention to social activities run the risk
of damaging their brand, which may threaten the existence of the company itself. CSR can enhance
employee loyalty and attract individuals to the corporate entity.

Challenges/Concerns associated with CSR in India: The CSR spending in India is lopsided both
sectoral and geographically. Most of the CSR spending is focused on specific sectors such as health
education and livelihood development which leaves little or no resources for other sectors. In
geographic terms as well, most of the CSR spending is focused on western and south India which
creates a risk of lopsided and unequal development in the country. It has been often noticed that
there exists no knowledge about CSR among the local communities, as a result, programs are driven
by the priorities of corporate entities rather than the community. This prevents, constructive
engagement of the communities in such efforts.

Making CSR mandatory has shifted the focus of corporate entities, on merely spending the funds
rather than ensuring efficient utilization of the same. It has also killed the initiatives/incentives of
the companies to spend more than 2% on such activities. Often companies involved in murky or
grave businesses try to gain acceptance or legitimacy by spending on CSR activities. The companies
often end up spending money on their own NGOs and foundations which is then channelled back into
the company. The companies are often blindsided concerning the spending of CSR funds by the local
implementation agencies.

Way ahead - There is a need to certify the NGO partners, to ensure that the money allocated for CSR
activities is spent legitimately. The companies may adopt a more robust approach to monitor the
progress of the CSR activities carried out by the partner NGOs. The government may act as the
medium between the NGOs and corporate entities to ensure the effective spending of CSR funds. For

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example- The initiatives taken by the ministry of education in form of the Darpan Portal may
be replicated by the other ministries as well.

Q. Refugees should not be turned back to the country where they would face persecution or
human rights violation". Examine the statement concerning the ethical dimension being
violated by the nation claiming to be democratic with an open society. UPSC (150 words/10
marks).

Ethics in International relations: Ethics in IR refers to the application of morality and ethical
principles in solving the various ethical dilemmas that a nation faces in the conduct of its
international relations. The basic issue that most nation face is the reconciliation of national interest
with ethical principles and values. Most countries claim their commitment to universal values and
do their best to adhere to them but on several occasions, they find it difficult to guide their actions
as per the values they profess.

Three approaches to Ethics in International Relations:

o Realism approach- The most common approach in international politics assumes that IR
should be guided by national interest. In this approach morality and ethical principles are
secondary considerations. For example - A nation crossing into the territory of another nation
may be justified on the grounds of preserving national security against the territories sponsored
by other nations.
o The Idealism approach - As per this approach, ideals such as peace, human rights, and global
justice should drive a nation's foreign policy over and above its selfish national interests. For
example- India's policy during the cold war era, was to not align either with the west or the
Soviet bloc.
o Principled Realism- It is based on the combination of the above two approaches, according to
this, Foreign policy should pursue power as well as basic moral values. For
example- India's approach to dealing with Russia's invasion of Ukraine. Another example
would be India's Gujral Doctrine of promoting the interest of smaller nations without
asking for anything in return. However, one must keep in mind that rationality and moral duties
towards one's citizens lead the nation to do things opposite to the values they preach. For
instance, the concern for human rights shown by the European nations is contrary to their
actions in taking the refugees.

Importance of Ethics in International Relations: Following international ethics may guide

nations in the resolution of global problems such as terrorism, insurgency, climate change, global
poverty, etc. It can help evolve a strategy to aid each other in times of national disaster, pandemics,
etc. It promotes the idea of the world as a village, therefore minimizing the conflicts between the
countries. An ethical approach to IR can help in enhancing the soft power of nations which is an
important component of comprehensive national power (military power +soft power). It can help
the nation in expanding the horizons of human capital and technological development and therefore
encourage them to share knowledge to make the world a better place to live in.

Ethical concerns in IR:

o Neo-Colonialism - In the name of international aid, to promote narrow selfish interests rather
than uplifting the masses.
o Irresponsible usage of global commons- Arctic, Space.
o Ignorance of human rights violations based on political situations.
o Interventions in the internal affairs of countries in the name of democracy.
o International diplomacy is often driven by narrow national interests rather than combatting
global problems such as terrorism and climate change.

The syllabus of has been completed.

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