Ethics in Governance

 Public Service

·         Services performed for the benefit of the public.

·         Maintaining law and order, providing emergency services, healthcare, social security, education, and employment service

·         Peaceful, dignified, happy and meaningful life

·         Opportunity to transform socioeconomic conditions of our nation

Philosophical basis of Governance

Social Contract Theory

·         Developed by philosophers such as Thomas Hobbes, John Locke, and Jean-Jacques Rousseau

·         Governance is based on a mutual agreement between the rulers and the ruled.

·         Individuals voluntarily surrender certain rights and freedoms to a governing authority in exchange for protection and the promotion of the common good.

Utilitarianism

·         Jeremy Bentham and John Stuart Mill

·         Maximization of overall happiness or well-being for the greatest number of people.

Liberalism

·         Rooted in the ideas of thinkers like John Locke and Immanuel Kant

·         Emphasizes individual rights, freedoms, and limited government intervention.

Republicanism

·         Representative government

·         Separation of powers

Egalitarianism

·         Governance systems should address inequalities

·         Ensure a level playing field for all individuals.

Communitarianism

·         Governance should promote social cohesion, cooperation, and the welfare of the community as a whole.

 

Environmental Ethics

·         Governance should protect the environment and ensuring the sustainable use of natural resources for future generations.

Social Audit

·         Examination and assessment of a program/organization/work

·         Active involvement of people, NGO, political representatives/officials

·         Actual records vs ground realities

·         Powerful tool – social transformation/Citizen participation/ awareness/grievances

·         Reduces Corruption

Ethics Audit

·         Evaluation of organization’s ethical practices

·         Code of conduct

·         Value Training

·         Relationship with – customers, suppliers, and society

·         Procedure to address the ethical issues

Challenges of Corruption

The reasons or obstacles that make it difficult to combat corruption effectively.

·         Lack of awareness – Rights and obligations

·         Cultural and social factors – Tolerate/ignore/encourage corruption

·         Lack of political will

·         Lack of resources – Financial, technical and human

·         Complexity – Find and proving corruption

 Consequences of Corruption

·         Reduced Economic growth

·         Political instability

·         Social inequality

·         Violation of  Human rights

·         Environmental laws violation

 Information Sharing

Ex - Education

·         Present Status – literacy/reading/writing/mathematical/analytical skills

·         Teachers/parents/Schools/colleges/educational boards/officials/students - Feedback

·         Understand shortcomings/identify root causes/propose policy

·         Authority – Implementation/monitor/Correction

·         Communicate with stakeholders

·         Mutual Trust

Areas

·         Health and Nutrition

·         Agriculture and water resources

·         Financial inclusion

·         Skill development

·         Basic infrastructure

Accountability

Task => Selection of beneficiaries for a scheme

Answerability

·         As per the criteria

·         As per the procedures laid down

·         Within the time

·         Within the budgets specified

Requirements

·         Clear specification  - tasks/time/budget

·         Awareness - Concerned persons

·         Necessary capacities and resources

·         Clear procedures for reporting – progress/completion

·         Course correction and GRM

Steps to ensure Accountability

·         The roles of every employee must be clearly defined

·         Clear specification of the task, time, budget etc

·         Effective supervision by the seniors

·         Annual/monthly review meetings

·         Promotions/demotions/suspensions

·         Social audit – implementation

·         Encourage – people participation/debates/constructive criticism

 

IS, T and A = Ethical Governance

·         Prevents the abuse of power

·         Power - achievement of efficiency and effectiveness

·         It makes person more careful in deciding or acting

·         Benefits will be reached to the intended beneficiary

·         Increases the faith of citizens in the government

·         Increases citizen participation in governance

RTI – 2005

Provisions/Salient Features

·         All citizens possess the right to information.

·         30 days/48 hours from time of request

·         Public authority is under obligation to provide information

·         Certain information are prohibited

·         Restrictions made for third party information – Trade secrets/personal financial transactions etc.

Objectives

·         To empower the citizens

·         To promote transparency

·         To bring accountability in governance

·         To reduce the corruption

·         To increase the citizens’ awareness about the govt activities

·         To make democracy work for the people in real sense

Challenges

·         People – Lack of awareness

·         Poorly maintained official record

·         Culture of secrecy prevalent in the Government offices.

·         Poor quality of information provided

·         Misuse of RTI – Blackmail, publicity, frivolous

·         Insufficient number of PIOs/ICs

Official Secrets Act – 1923

·         Any info potential breaches of national security/interest

·         Spying, sharing secret info, unauthorized use of uniforms, interference with Armed Forces in prohibited/restricted areas => Punishable offences

·         Secrete info – Official code; password; sketch; plan; article etc.

·         Punishment both – Communicator and Receiver

·         No clear definition; discretion of the officials

·         2006 - Second ARC – Repeal (An official end of the act)

Whistleblower Protection Act 2014

·         Disclose to the competent authorities – CVC/SVC/CM/PM/Speaker/Chairman etc.

·         Conceal the identity

·         Police protection

·         Protect from suspension; withholding promotion etc.

·         Yet to come into force; (frame the rules and notify)

Way Forward - Whistleblower

·         Clear description – What to disclose

·         Prescription of the channel – How to disclose

·         Multiple choices if possible – Internal and external disclosure

·         Privacy of the whistle blower

·         Protection from harassment/Suspension/loss of job

·         Appreciation of whistleblowers

Citizen Charter

Principles

1.      Quality – Improving the quality of services

2.      Choice – Wherever possible

3.      Standards – What to expect, how to act if not met

4.      Value – Taxpayers money

5.      Accountability – Individual + Org

6.      Transparency – Rules/procedures/schemes/Grievances

Importance

·         Change in attitude of the public officer

·         Public service delivery - rights based

·         Administration => Accountable and citizen friendly

·         GRM => Easy and transparent

·         Empowerment of citizen

·         Prevent/eliminate corruption

Code of ethics

·         Guiding principles and vision of the organization

·         There are the general principles and values that org must strive to achieve.

·         It guides the decision making of the org

Seven Principles of Public Life

Committee on Standards in Public Life/Nolan Committee – 1995; UK

1.      Selflessness: Public interest

2.      Integrity: No financial or other obligations - influence

3.      Objectivity: Decisions based on facts and evidences

4.      Openness: Disclose the decisions/logic behind the decision; restrict – only public interest

5.      Accountability: Answerable decisions/actions; open to scrutiny

6.      Honesty – Conflicts of interests – declare; public interest

7.      Leadership – Promote and support these principles; by leadership and setting examples

Second ARC

·         Commitment to the Constitution

·         Impartiality and non-partisanship

·         Objectivity

·         Commitment to the citizens’ concerns

·         Empathy for the vulnerable/weaker sections of society

Code of Conduct

·         A set of instructions - regulate the actions

·         Specific rules and guidelines - expected to follow.

·         Apply to both official and personal life

·         Violation => warning/disciplinary action

·         Differ from service to service - Central Civil Services (Conduct) Rules, 1964 and All India Services (Conduct) Rules, 1968

 Key Points

·         Respecting the hierarchy

·         Subordinates show integrity and devotion to duty.

·         Must not engage a private person to perform his official duties

·         Cannot do social / charitable service during office hours

·         Needs to show respect, courtesy, cooperation to everyone

·         Public speaking – embarrass – union/state/international

·         Book/newspaper/ TV/radio – literature, arts, science

·         Vote – preference

·         Spending public money.

·         Demand funds - even for good / charitable cause.

·         Must not take any Private trade or employment

Case Study

Saraswati was a successful IT professional in USA.  Moved by the patriotic sense of doing something for the country she returned to India. Together with some other like-minded  friends, she formed an NGO to build a school for a poor rural community. The objective of the school was to provide the best quality modern education at  a nominal cost.

She soon discovered that she has to seek permission from a number of Government agencies. The rules and procedures were quite confusing and cumbersome. What frustrated her most was delays, callous  attitude of officials and constant demand for bribes. Her experience and the experience of many others like her has deterred people from taking up social service projects.

A measure of Government control over voluntary social work is necessary. But it should not be exercised in a  coercive a corrupt manner.

What measures can you suggest to ensure that due control is exercised but well meaning, honest NGO efforts are not thwarted?

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What do you understand by the terms ‘governance’, ‘good governance’ and ‘ethical governance’? (150 words; 10 Marks)

Governance

·         System of rules and regulations

·         Defines the power and functions of stakeholders

·         Exist in all forms of government – democracy, monarchy or dictatorship

 

Good governance

·         Rule of Law 

·         Effectiveness and Efficiency

·         Accountability

·         Transparency

Ethical Governance

·         Citizens are the kings

·         Government exist to serve for the people

·         Respect the cultural practices of diverse sections of the society

·         Inclusive growth – beneficiaries as well as participants

Utilization of Public Fund

Issues

·         Lack of proper planning

·         Lack of sufficient staff

·         Political Rivalry

·         March Rush

·         Lack of Coordination

·         Poor accountability mechanisms

·         Crisis of ethical values

·         People – awareness, concern, time, participation

Implications

·         Quality of work

·         Public trust

·         Extremism

·         Investors sentiments

·         National and international rankings/National goals - IG and SD

Steps

ž  T and A

ž  Ensure – Competent authorities; Same purpose

ž  Wider publicity for tender

ž  Citizen report card

ž  Community Awareness - Public expenditure/Officials responsibilities

ž  Social Audit

Quality of service delivery

·         Inclusive growth

·         T and A; Citizen charter; GRM

·         Easy; Information center

·         Feedback; Compare – expectation – performance

·         Continuous improvement

·         Effective training of employees

·         Employees – knowledge; skill; will; empathy

Service Delivery

·         Competence  - knowledge and skills

·         Courtesy  – respect and politeness

·         Credibility  – quality and safety

·         Communication – language and empathy

·         Accessibility -location and time

·         Responsiveness  – readiness +willingness to help

E – Governance

Examples

·         Arogya Setu – Essential health services

·         Sakala – Guarantee of Services

·         NMMS – To increase transparency in NREGA

·         Digilocker – Storage, sharing, and verification of documents

·         DBT – Reforming the delivery system

Positives

·         Transparency - Websites

·         Easy and Convenient

·         Less time - Huge information

·         Reduces geographical barrier

·         Decreases Corruption

Challenges

·         Digital divide – age/place/economy; English-speaking/urban/rich people

·         Lack of Empathy - Ground Realities

·         Machine Errors – NMMS

·         Cyber Crimes – Privacy/loss of money

Sevottam model

·         2009 - Improve the quality of public service delivery in the country (2^nd ARC)

·         3 Components + 7 Steps

Three components

1.      Citizen charter – realistic and formed through consultation

2.      Public grievance redressal – complaint handling

3.      Excellence in service delivery – good management and continuous upgradation

Seven Steps

1.      Define services

2.      Set standards for each service

3.      Develop capability to meet the set standards

4.      Perform to achieve the standards

5.      Monitor performance against the set standards

6.      Evaluate impact through an independent mechanism

7.      Continuous improvement based on monitoring and evaluation

Strengthening of ethical values in governance

·         Love for the nation

·         Know the values

·         Laws and regulations

·         General guidance

·         Try to expose wrongs

·         Decision making process

·         Deal with the misconduct

·         People awareness

Probity in Governance

·         Having higher ethical standards in governance

Prerequisite

·         Absence of corruption

·         Pragmatic laws, regulations, rules

·         Effective and fair implementation

 

 

Characteristics of probity

Politicians and officials

·         Not involving in corruption;

·         Fulfill the society’s expectation

·         Judicious use of resources

·         Compassion towards weaker section

·         Tolerance towards the diversity of our nation

·         Dedication towards our national goal

Case Study

Rampura, a remote district inhabited by a tribal population, is marked by extreme backwardness and abject (extreme) poverty. Agriculture is the mainstay of the local population, though it is subsistence due to the very small landholdings. There is insignificant industrial or mining activity. Even the targeted welfare programs have inadequately benefited the tribal population. In this restrictive scenario, the youth has begun to migrate to other states to supplement the family income.

Plight of minor girls is that their parents are persuaded by labour contractors to send them to work in the Bt Cotton farms of a nearby state. The soft fingers of the minor girls are well suited for plucking the cotton.

The inadequate living and working conditions in these farms have caused serious health issues for the minor girls.

NGOs in the districts of domicile and the cotton farms appear to be compromised and have not effectively espoused the twin issues of child labour and development of the area.

You are appointed as the District Collector of Rampura.

a)      Identify the ethical issues involved.

b)      Which specific steps will you initiate to ameliorate the conditions of minor girls of your district and to improve the overall economic scenario in the district (250 words)

Key Points

Ethical Issues

·         Lack of political will and administrative skill; 

·         Lack of Proactive governance

·         Lack of sufficient conditions to attract industries

·         Corruption (Nonperformance of duty)

·         Child labour – against law and ethics; Means vs End - Immanuel Kant;

·         NGOs  – Extended hand of govt – civil society – crucial role;

Steps - Minor Girls

·         Rescue and rehabilitation

·         Provision of healthcare

·         Implementation of Right to Education

·         Vocational training + Skill development

·         Consult - Bachpan Bachao Andholan – Kailash Satyarthi

·         Effective implementation of Child labour law

·         SABLA – Adolescent girls – Nutrition and Skills

Steps - Overall Economic Scenario

·         Stakeholders - NGOs, SHGs, Media, Local/religious leaders

·         NGO – Regulation and motivation; positive collaboration

·         Political will – persuasion; reports; generates funds;

·         Modernization of Agriculture – Irrigation; method; transport; price; marketing;

·         Welfare Schemes – Meeting with employees; motivation; steps

·         Industries – Agri-based; small scale; food processing; labour intensive; Ease of doing;

·         Employment - MGNREGA; Self employment, Skill development

Ethics in International Relations

·         Neighboring Countries

·         War Ethics

·         Refugee Crisis

·         Funding

Ethics in International Relations

Panchsheel Treaty

·         Mutual respect – territory and sovereignty

·         Mutual non-aggression.

·         Mutual non-interference - internal affairs.

·         Equality and cooperation for mutual benefit.

·         Peaceful co-existence.

Gujral Doctrine

·         No reciprocity (B,B, M, N, S – big heart)

·         Territory – against the interest

·         No Interference

·         Respect each other’s territory + sovereignty.

·         Settle all their disputes – Peaceful - bilateral

General Points

·         Golden rule of ethics

·         Respect the diversity of the world

·         Support the larger representation - multipolar world

·         Utilitarianism

·         Peaceful development - realize common dreams

Just War Theory

·         Developed by various scholars over the centuries

·         Last option – when no other option is left

·         Right reason – Injustice/self defense/restore peace

·         Realistic chance of victory

·         Should be declared by a legitimate authority

·         Common civilians should not be harmed

·         Transparency – Reliable information sharing

·         Continue the negotiation

·         Humanitarian assistance – food, cloths, water – continued

·         Stop the war as early as possible

Refugee Crisis

Ethical dimensions

·         Vasudaiva Kutumbakam

·         Right to live in a safe environment

·         Opportunities for development

·         Empathy and compassion

National concerns

·         Limited national resources

·         Acceptance from local community

·         Security  issue - extreme groups

·         Poverty/inequality

Ethics in International Funding

·         The voice of – receiving country

·         Help - financial resources + technology

·         No stringent rules - full opportunity to develop

·         Dependents vs self dependents

Corporate Governance

Ethical Corporate Governance

·         Compliance of law in true letter and spirit

·         Adherence to ethical standards

·         Discharge of social responsibility

·         Sustainable development of all the stakeholders

·         Truthful and reliable advertisement

·         Encourage feedback from customers

·         Free and open competition

Corporate Social Responsibility (CSR)

·         What? – Businesses contribution to the social development

·         Why? – To support the govt’s effort – Inclusive and sustainable dvt; Corporate is the key stakeholder in the society

·         Who? – Companies Act 2013 - Net worth - 500 Cr +/Turnover – 1000 Cr+/Net profit 5 Cr +

·         Where? - Hunger and poverty/Education and / Promoting gender equality/Ensuring environmental sustainability

Way Forward

ž  Infosys, Tata, Ashok Leyland

ž  Many companies do not fall within the ambit of law – Voluntary

ž  Corporate – should select the sectors which society needs vs Company’s comfortable

ž  Legal obligations and ethical concerns

ž  Role of Media and NGOs.

 

 

 

Case Study

An apparel manufacturing company having a large number of women employees was losing sales due to various factors. The company hired a reputed marketing executive, who increased the volume of sales within a short span of time. However, some unconfirmed reports came up regarding his indulgence in sexual harassment at the workplace.

After sometime a woman employee launched a formal complaint to the management against the marketing executive about sexually harassing her. Faced with the companies’ indifference, in not taking cognizance of her grievances, she lodged an FIR with the police.

Realizing the sensitivity and gravity of the situation, the company called the woman employee to negotiate. In that she was offered a hefty sum of money to withdraw the complaint and the FIR and also give in writing that the marketing executive is not involved in the case.

·         What options are available to the woman employee?

·         Evaluate the options and suggest the best course of action

Syllabus

This paper includes questions to check the candidate’s’ attitude and approach to issues relating to integrity, probity in public life and his/her problem solving approach to various issues and conflicts faced by him/her while dealing with society. Questions may utilise the case study approach to determine these aspects

Ethics and Human Interface

·         Essence

·         Determinants

·         Consequences of Ethics in human actions

·         Dimensions of ethics

·         Ethics in private and public relationships

Human Values

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

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

·         Contributions of moral thinkers and philosophers from India and world

Attitude

·         Content/Structure

·         Function

·         Relation with the behavior

·         Moral and political attitudes;

·         Social influence and persuasion

Aptitude and foundational values for Civil Service,

·         Integrity

·         Impartiality and non-partisanship,

·         Objectivity,

·         Dedication to public service,

·         Empathy, tolerance and compassion towards the weaker-sections

Emotional intelligence-concepts, and their utilities and application in administration and governance

Ethics in Public administration

·         Ethical concerns and dilemmas in government and private institutions;

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

·         Accountability and ethical governance;

·         Strengthening of ethical and moral values in governance;

·         Ethics in international relations and funding;

·         Corporate governance

Probity in Governance

·         Concept of public service;

·         Philosophical basis of governance;

·         Information sharing and transparency in government, Right to Information,

·         Codes of Ethics, Codes of Conduct,

·         Citizen’s Charters,

·         Work culture,

·         Quality of service delivery,

·         Utilization of public funds,

·         Challenges of corruption

Case Studies on above issues.

 

 

 

 

Case Study

Prabhat was working as Vice President (Marketing) at Sterling Electric Ltd., a reputed multinational company. But presently the company was passing through the difficult times as the sales were continuously showing a downward trend in the last two quarters. His division, which hitherto had been a major revenue contributor to the company’s financial health, was now desperately trying to procure some big government order for them. But their best efforts did not yield any positive success or breakthrough.

            His was a professional company and his local bosses were under pressure from their London-based HO to show some positive results. In the last performance review meeting taken by the Executive Director (India Head), he was reprimanded for his poor performance. He assured them that his division is working on a special contract from the Ministry of Defence for a secret installation near Gwalior and tender is being submitted shortly.

            He was under extreme pressure and he was deeply perturbed. What aggravated the situation further was a warning from the top that if the deal is not clinched in favour of the company, his division might have to be closed and he may have to quit his lucrative job. There was another dimension which was causing him deep mental torture and agony. This pertained to his personal precarious financial health. He was a single earner in the family with two school-college going children and his old ailing mother.

            The heavy expenditure on education and medical was causing a big strain to his monthly pay packet. Regular EMI for housing loan taken from bank unavoidable and any default would render him liable for severe legal action. In the above backdrop, he was hoping for some miracle to happen. There was sudden turn of events. His Secretary informed that a gentleman Subhas Verma wanted to see him as he was interested in the position of Manager which was to be filled by him in the company.

            Prabhat was absolutely stunned. It was a mixed feeling of shock and thrill. He was uncomfortable and perspiring. If accepted, all his problems would vanish instantly and he may be rewarded for securing the much awaited tender and thereby boosting company’s sales and financial health. He was in a fix as to the future course of action. He was wonder-struck at the guts of Subhash Verma in having surreptitiously removing his own company papers and offering to the rival company for a job. Being an experienced person, he was examining the pros and cons of the proposal/situation and he asked him to come the next day.

1.      Discuss the ethical issues involved in the case.

2.      Critically examine the options available to Prabhat in the above situation.

3.      Which of the above would be the most appropriate for Prabhat and why?  (Answer in 250 words) - 20 Marks

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Key Points

•      Essential quality - Integrity

(a) Ethical issues involved in the case

·         Professional  Values vs Personal benefits

·         Lack of integrity in Subhash Verma

·         Ethical corporate governance

·         Prabhat’s crisis of conscience

(b) Options available to Prabhat

1)      Accept the offer made by Subhash Verma

Advantages

·         His company may win the tender

·         Improvement in the company's financial health

·         His financial health will improve

Disadvantages

·         Against the professional ethics

·         Crisis of conscience

2)   Resign from the job

Advantages

·         Not anymore answerable to the company

·         He may find some other better opportunity

Disadvantages

·         Running from his responsibility

·         Bad examples for others in terms of leadership

 

 

 

 

3) Reject the offer and inform Unique Electronics Ltd. about the leak of the bid price

Advantages

·         It shows exemplary leadership qualities for colleagues.

·         A fair procurement process.

Disadvantages

·         Losing the tender may lead to the closure of his division

·         He may lose his job.

·         He and his family may suffer due to financial problems.

(c) The most appropriate option for Prabhat

·         Knowledge without character is a sin.

·         Should reject his offer

·         The tender is very important for his company; Best possible effort to get the tender

·         He can discuss it with his seniors and take their advice.

·         He may get promoted to a higher level due to his Integrity, honesty, and leadership qualities.