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Ethics and Governance
 9788131770412, 9788131799741, 8131770419

Table of contents :
Cover......Page 1
Contents......Page 4
About the Editor......Page 6
Meaning and Importance of Character......Page 8
Good Character in Administrative Ethics......Page 9
Buddha......Page 11
Confucius......Page 13
Aristotle......Page 14
The Definition of Character in the Twenty-first Century......Page 15
Summary......Page 18
Questions......Page 19
Morality in Public Life in India......Page 20
Causes for the Decline of Morality and Growth of Corruption......Page 23
Dual Economy......Page 24
Relevance of Gandhian Morality......Page 27
Endnotes......Page 28
Questions......Page 29
Introduction......Page 30
Ethical Behaviour in India......Page 31
Some Ethical Dilemmas......Page 33
Issues Confronting Problem-solving and Decision-making......Page 34
Evolving a Code of Conduct......Page 35
Questions......Page 37
Introduction......Page 38
Features of Ethics......Page 39
Ethics in Public and Private Perspective......Page 40
Public Service and Community Ethics......Page 41
Accountability......Page 42
Humanism......Page 43
Impartiality......Page 44
Indian Experience......Page 45
Endnotes......Page 47
Questions......Page 48
Introduction......Page 49
Origins of the Concept of Virtue......Page 50
Definitions of Virtue......Page 51
Joining Excellence in Virtue with Excellence in Function......Page 53
A Virtuous Administrator......Page 56
The Civil Service Code of Ethics in the United Kingdom......Page 57
Summary......Page 58
Questions......Page 59
Introduction......Page 60
Ethical Crisis in Public Administration......Page 61
Enforcement of Ethics in Public Agencies......Page 62
Social Ethos and Administrative Ethics......Page 63
Benefits to Public Administrators......Page 65
Benefits to Community......Page 66
Questions......Page 68
Introduction......Page 69
Citizenship as Status and Practice......Page 70
Citizenship and Public Administration......Page 71
Ethical Guidelines Based on Citizenship Values......Page 73
Future of Citizenship Ethics......Page 76
Summary......Page 78
Questions......Page 79
Ethical Dimensions in Australia......Page 80
Three Perspectives of Ethics......Page 81
Ethics in Canada......Page 87
Civil Service Ethics in England......Page 88
Ethical Dimensions in Francengland......Page 91
Ethics in the United States......Page 93
Summary......Page 95
Questions......Page 96
Introduction......Page 97
Importance of Civil Service Conduct......Page 98
Do’s and Don’ts for Civil Servants......Page 99
American Practice......Page 100
Conduct of Civil Servant......Page 101
Comment......Page 104
Disciplinary Action......Page 106
Forms of Disciplinary Action......Page 107
Significance of Removal......Page 108
Executive Responsibility......Page 110
Penalties......Page 111
Summary......Page 112
Questions......Page 113
Introduction......Page 114
How to Ensure Accountability......Page 115
Responsibility, Accountability and Responsiveness......Page 116
Instruments of Accountability......Page 118
Steps to Ensure Good Governance......Page 119
United States of America......Page 120
Africa......Page 121
Ethics and Accountability in Africa......Page 122
Factors that Contribute to the Lack of Ethics and Accountability in African Public Services......Page 124
Efforts to Remedy the Problem of Ethical Deficit and Lack of Accountability in African Public Services......Page 128
Policies and Strategies to Promote Ethical behaviour and Accountability in Public Services......Page 129
Problems of State Revenue Mobilization in Africa......Page 132
Summary......Page 135
Questions......Page 136
Introduction to Administrative Corruption......Page 137
Meaning and Definition of Corruption......Page 138
The Four Perspectives of Corruption......Page 139
Corruption—Power and Authority......Page 140
Corruption—Law and Policy......Page 141
Recommendations of the Santhanam Committee and Vohra Committee on Checking Corruption......Page 142
Steps to Fight Corruption......Page 143
Types of Corruption......Page 145
Strategies of Corruption......Page 146
Combating Corruption in Public Life......Page 147
Strengthening the Effectiveness of the Judicial System......Page 148
Constitutional Protection to Whistleblowers......Page 149
Amendment of Article 311 of the Constitution......Page 150
Transparency and the Right to Information......Page 151
Toning Up Administrative Effectiveness......Page 152
Introduction to Whistleblowers......Page 153
Meaning and Definition of Whistleblowers......Page 154
A Tale of Two Whistleblowers......Page 155
The Necessity of Whistleblowers......Page 156
Whistleblowing in the United Kingdom......Page 158
Protection of Whistleblowers in India......Page 159
Introduction to Vigilance Machinery in India......Page 161
Roots of Corruption in India......Page 162
The Office of Lokpal......Page 163
Lokpal......Page 164
Lokayukta and its Evolution......Page 165
The Lokayukta and Upalokayukta in Karnataka......Page 166
The Vigilance Commission in States......Page 167
State Vigilance Commission in Uttarpradesh......Page 168
Central Vigilance Commission......Page 169
Consultation with the Commission Regarding Appointments......Page 171
The Recommendations of the Arvind Pande Committee Report......Page 172
Summary......Page 174
Endnotes......Page 175
Questions......Page 176
Introduction......Page 177
The Ethical Dimensions of Public Administration......Page 178
Administrative Ethics in the Era of Globalization......Page 180
Summary......Page 190
Questions......Page 191
Introduction......Page 192
Background of Indian Administration......Page 193
Ethical Issues in India......Page 194
Introduction......Page 202
The Office of Lokpal......Page 203
Lokpal......Page 204
Recent Controversy......Page 205
Salient Features of Jan Lokpal Bill......Page 207
Lokpal Bill and Jan Lokpal Bill......Page 208
(a) Structure of the Lokpal......Page 212
(c) Accountability of the Members of the Parliament to the Lokpal for their Conduct in the Parliament......Page 213
(e) Should the Anti-corruption Wing of the CBI be Merged with the Lokpal?......Page 214
Jan Lokpal Would Harm India: The Government’s View......Page 215
Decision-making will be Casualty for Fear of a Complaint......Page 216
The Ongoing Discussion......Page 217
Summary......Page 219
Questions......Page 220
Glossary......Page 222
Bibliography......Page 224

Citation preview

Ethics and Governance Co n su l t ant Ed itor

Archana Sawshilya

The Pearson–ICFAI University Series is an outcome of a collaboration between Pearson Education India and ICFAI University Press.

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Copyright © 2012 by Dorling Kindersley (India) Pvt. Ltd Licensees of Pearson Education in South Asia No part of this eBook may be used or reproduced in any manner whatsoever without the publisher’s prior written consent. This eBook may or may not include all assets that were part of the print version. The publisher reserves the right to remove any material present in this eBook at any time. ISBN 9788131770412 eISBN 9788131799741 Head Office: A-8(A), Sector 62, Knowledge Boulevard, 7th Floor, NOIDA 201 309, India Registered Office: 11 Local Shopping Centre, Panchsheel Park, New Delhi 110 017, India

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Contents About the Editor

v



1 Character in Public Service

1



2 Morality in Public Service

13



3 Ethical Behaviour and Dilemmas in Public Service

23



4 Ethics in Public Service

31



5 Public Administration: Ethics and Virtues

42



6 The Social Ethos and Administrative Ethics

53



7 The Ethics of Citizenship

62



8 Public Service Ethics in Different Countries

73



9 Conduct and Discipline in Civil Service

90



10 Accountability in Civil Service

107



11 Administrative Corruption

130



12 Public Service Ethics in the Era of Globalization

170



13 Indian Administration: Some Ethical Dimensions

185

Glossary

215

Bibliography

217

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About the Editor Archana Sawshilya is currently Associate Professor, Department of Political Science, Aditi Mahavidyalaya, University of Delhi, Delhi. She has authored several books and articles on public administration, gender in administration, the non-governmental sector and governmental policies and other related issues. She has taught these subjects for several years and contributed to academic research.

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1 Character in Public Service After reading this chapter, you will be conversant with: •  Meaning and importance of character •  Good character in administrative ethics •  Philosophical definition of character •  The definition of character for the twenty-first century

Introduction The setting under which civil servants function is very complex and integrated in such a manner that even a small thing, positive or negative, influences the entire administrative structure. In such an environment, in which public administration is connected with everything else in the society, civil servants are compelled to be more reflective and proactive. Therefore, in the process of governance, administrators should be cautious and take only such decisions which reflect concern for the welfare of the people. If welfare is to be reflected in the policies of the government formulated by civil servants, it is necessary that the character of civil servants should be good. They should be guided by social, economic, legal and moral factors rather than personal interest. Every decision made by a civil servant reflects his true nature and character. Therefore, it is necessary to understand the various dimensions of the character of civil servants.

MEANING AND IMPORTANCE OF CHARACTER According to Plato, character is enduring attitudes, sensibilities and belief in one’s action. Character is not about the physical and materialistic conditions such as beauty, rank, power and wealth. It is a display of one’s dominant thoughts and actions in ­matters

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of importance. In most of the cases, character is defined as the way in which an ­individual thinks and acts in his everyday life. The study of character focuses on personality disposition of an individual around which his thoughts and actions revolve. Most psychological theorists have identified character closely with personality. However, character is much deeper than an individual’s personality. At the same time, one should not mix up character with an individual’s temperament and intellectual capacity; instead, character has more to do with moral qualities. Character includes some types of individual thoughts and actions that are specific to an individual. Therefore, a virtuous person is synonymous to a person who has good character. Individuals in public service have an even greater obligation to exhibit good character compared to other individuals. The reason for this is that their activities impinge upon the lives of citizens. If the character of those individuals is untrustworthy, it becomes difficult for them to take welfare-oriented actions. The activities of such public servants put citizens at loss and inconvenience. For example, in Indian cities, the recent introduction of the rule to wear helmets compulsorily raised many eyebrows. The police justify this rule by pointing out the intention to save human lives during accidents. However, there are different versions to this, one being that the traffic police have received huge bribes from helmet manufacturers. The role of police personnel during the communal riots in Gujarat is another instance which shows the importance of character for public servants. Whatever be the reason, it can be stated that the decisions of public servants impinge on the lives of people. Therefore, it is necessary that public servants exhibit good character, which in turn reflects on their decisions and on the programmes genuinely aimed at the welfare and protection of citizens. However, it is not stated that public servants alone should exhibit good character; the entire society should equally possess good character. In a developing country like India, the role of public administration is predominant. Hence, it is incumbent for civil servants to guide people in the right direction as guardians of society.

GOOD CHARACTER IN ADMINISTRATIVE ETHICS It is difficult to define character when it comes to public administration. It is all the more complicated as the environment often colours the character of civil servants. However, there are certain virtues which are universally recognized as the major constituents of character with regard to public administration—honesty, justice, equanimity, compassion, prudence, sincerity, discipline and humanity. It is true that such attributes are important for every individual. But they are ­doubly important for civil servants, as their decisions impinge on the lives of every citizen. The importance of character in public administration has been recognized, and hence detailed attention is being paid to it. However, such attempts are not new as extensive literature has already been devoted to this.

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1.  Stephen K. Bailey suggested certain moral qualities for public administrators. According to him, public administrators facing various moral dilemmas need certain mental and moral qualities. The mental qualities include: i.  The public administrator should recognize the existence of moral ambiguity for all people and public policies. ii.  The public administrator should recognize the conditioning of moral principles in public administration by contextual and environmental factors. iii.  The public administrator should recognize the existence of paradoxes of procedures. Added to the mental attitudes, the administrator should have certain moral ­qualities—optimism, courage and fairness. According to Stephen, these six elements constitute the elements of good moral character of public administrators. 2.  Kathryn Denhardt provided another interpretation of the character of public servants. Denhardt made an attempt to find the foundations of morals to guide civil servants towards virtues, values and commitments towards their profession. According to her, the moral foundations are honesty, benevolence and justice. i.  Honesty is the prominent virtue and is one of the fundamental qualities of character. The confidence level of the public in governance increases based on the honesty of public servants. The attributes of honesty are compassion and acting in an honourable manner. ii.  Benevolence refers to the urge of promoting the welfare of others and, therefore, it is more concerned with the interests of others than the interests of administrators. iii.  Justice is the third virtue and implies respecting the dignity of each individual in the process of governance. It is a commitment on the part of the civil servant to ensure that the individual’s dignity is respected. Denhardt emphasized that these three elements constitute the core of character in public service. By possessing these attributes, civil servants will be able to enhance the ethical standards of public administration. 3.  David K. Hart believes that there are vast differences between public administration and business administration. Public administrators, working on behalf of the government, should possess a different set of personal characteristics for accomplishing higher level objectives such as welfare, social justice and so on. They should set themselves a higher moral standard for discharging their ­functions which are basic to the survival and progress of society. According to him, the endeavours of public administrators are essentially moral in nature. Hence, the moral character of public administrators should include superior prudence, moral authority, and care and trust of citizens.

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i.  Superior prudence refers to transcending the duty as a virtuous citizen and looking for higher honour aimed at greater and nobler purposes. ii.  Moral authority is necessary for public administrators to maintain their moral convictions when forced to oppose an unjust and immoral decision. iii.  Caring refers to the process of taking care of the needs of the people in their administrative jurisdiction. iv.  Trust in citizen virtues is another hallmark of the public administrator’s ­character, which in turn leads to the development of faith in the capabilities of public administrators in the delivery of goods and services. v.  Moral development should be the constant quest of civil servants, and they should make continuous efforts to increase their standard of morality. Hart emphasizes that it is essential that a public administrator be an honourable person and act with moral intentions. Such moral actions are considered to be exemplary when they emanate from genuine qualities of character. He further explains that public administrators with exemplary character should have four attributes. First and foremost, good moral conduct. Second, public administrators should act willingly with no compulsion from either outsiders or insiders. Third, exemplary public administrators cannot be flawless, but should strive for perfection in all the activities in which they are involved. Finally, the activities of an exemplary public administrator should result in real good. The discussion mostly pertains to virtues that should be possessed by the public administrator in the discharge of their functions. One should understand that it is not enough to possess good and moral virtues. Such virtues should be translated into action, the output of which should reach the beneficiaries. Although it is difficult to find an individual with perfect moral character, one can easily find public administrators possessing certain virtues which are beneficial to the people.

PHILOSOPHICAL DEFINITION OF CHARACTER Buddha Gautama Buddha developed the eightfold path to bring virtue and knowledge fruition. The eight factors are divided into the three following categories: morality, meditation and wisdom. These three qualities need to be continually nurtured and developed. The eightfold path is a guideline laid down by Buddha, and by following this path one can eventually become a Buddha. The eightfold path is, therefore, one of self-transformation, in which the outlook of an individual gets transformed from a selfish and narrow one to one of limitless opportunities. Buddha called the cycle of rebirth as samsara or ‘endless wandering’. The cycle of rebirth continues for eternity and will only come to an end if the person attains nirvana. The Indian view of reincarnation is distinct because it is determined by one’s actions in

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this lifetime or by one’s karma. If good karma is done by an individual, they will be able to attain nirvana in the present life itself. On the other hand, if the individual does bad karma, they take birth again and again until they fulfils all their obligations. Karma is defined as ‘action’. However, in this case, it is concerned with actions of a particular kind. Karma implies moral choices and the resultant actions. Moral actions are unique, in that they have both transitive and intransitive effects. Transitive effects are those that have immediate effect on others, such as killing or robbing someone. Intransitive effects are those that affect the agent. Through our decisions we shape our character and future. This can be summed up in the proverb, ‘sow an act, reap a habit: sow a habit, reap a character; sow a character, reap a destiny’. Therefore, every individual is responsible for their destiny. If they do good karma, they are entitled to a good destiny; else they receive only bad destiny. The nature of any action can be determined by the intention of the action, that is, whether an action is good or bad. If the intention and choice is good, an action is good, else it is bad. The impact of the decision on the person or group of people must also be considered. Mere performance of an act does not equate morality. Moral character is based on the impact an action has on the personality of the individual. The Buddha once stated, ‘Be moral or virtuous without being made of morals or virtues’. There are three good and three bad roots to motivation. Bad roots are actions motivated by greed, hatred and delusion. The actions inspired by their opposites such as nonattachment, benevolence and understanding are good actions. Therefore, good intentions must lead to right actions, which are those that do not harm oneself or others. Therefore, the Buddha emphasized that character is the result of karma of an individual. If the karma is good, the character of an individual will be good, else it is bad. The Buddha also discussed the prerequisites of a good government and spoke against corruption. He emphasized the need for a government based on humanitarian principles. In addition to this, he enunciated rules for good governance, known as Dasa Raja Dharma. Any government can apply these rules even today in the process of governance. They can also be equally applied by modern day civil servants. These rules are as follows: •  To be liberal and stay away from selfishness. •  To maintain a high moral character in governance. •  To be prepared to sacrifice one’s own pleasures for the sake of others’ well-being. •  To be honest and maintain integrity. •  To be kind and gentle towards others. •  To lead a simple life and provide an example for subjects to follow. •  To remain free from hatred. •  To exercise non-violence. •  To have patience. •  To respect public opinion. •  To promote peace and harmony.

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The Buddha’s stress on the moral duty of the people and welfare orientation of the ruler inspired Emperor Ashoka to preach Dhamma and to serve his subjects with humanity. He promoted the active practice of socio-moral virtues such as honesty, truthfulness, compassion, benevolence, non-violence, considerate behaviour towards all, non-­extravagance, non-acquisitiveness and kindness towards animals. He encouraged religious freedom and respect for each other’s creed. He went on periodic tours preaching the Dhamma to the rural people. He undertook works of public utility, such as founding of hospitals for men and animals, supplying medicine, planting trees and groves at the roadside, digging wells, and constructing watering sheds and rest houses. He forbade cruelty to animals in any form.

Confucius Confucius was born in 550 bce, and is considered to be a great philosopher. In fact, his teachings serve as the foundation for some Asian cultures. Confucius lived during the Chou Dynasty (1100 bce–256 bce). Confucianism is not a religion but an ethical code. The philosophy of Confucius is man-centric and depends on the efforts of man who is capable of attaining ideal character through education. The goal of life, according to Confucianism, is to live a good moral life. Benevolence is the virtue of goodness, and hence the fundamental virtue of Confucianism. According to Confucius, a gentleman is one who lives up to the highest ethical standards. A gentleman displays five virtues: self-respect, generosity, sincerity, persistence and benevolence. The greatest concept of virtue for Confucius was goodness, which also means humanity or human-heartedness. A good person is least worried about not being known by others but rather seeks to know them. Without goodness one can neither endure adversity for long nor enjoy prosperity for long. Good men are also courageous, but the courageous are not necessarily good. A person of good character, according to Confucius, is expressed as chun-tzu or an exemplary person. A sheng-jen is a sage and is considered as the perfect man of moral character. However, Confucius was not hopeful of meeting a sheng-jen but remarked that he would feel happy to meet a chun-tzu. According to the ethical standards of Confucius, a chun-tzu embodied the following three elements: •  Li (propriety) refers to familiarity with rules and the norms for the proper conduct of behaviour. For the accomplishment of virtue or jen, Confucius found certain set of rules or guidelines for human actions called Li. Li governs the social customs, ceremonies and relationships. Li is a standard code of conduct that regulates the unruly impulses of individuals and transforms them into civilized individuals. Therefore, it can be stated that Li is the instrument through which humanity (jen) can be evoked and developed. The word ‘Li’ implies propriety in everything: moral discipline in personal conduct of an individual, the general principle of the social order, ritual and

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c­ eremony, a system of social relationships with good attitudes towards one another, love for the parents, pity towards animals, friendliness for brothers, loyalty among friends, respect for authority among subjects and benevolence in rulers. •  Yi is both a moral outlook to do what is right and an ability to recognize what is right and what is wrong. Such ability can be understood in terms of a person’s character or uprightness. For example, if a person finds an opportunity for personal gain, it is necessary that the person should think about the moral righteousness of such a gain. Saving an individual from danger is an act of Yi, which is an expression of jen. Those individuals who act for the sake of Yi, because that action is right, are near to jen. Practising jen is nothing but acting out of love and respect for humanity. Such an act has no reason except the belief that it is right and appropriate in a given set of circumstances. •  Jen refers to virtue, love, moral character, humanity, goodness, benevolence and kindness. In Confucian literature, jen is used to refer to an all-encompassing ethical ideal and certain occasions; it implies specifically a concern for living things. In a nutshell, it refers to the well-being of all things which require the manifestation of human-heartedness towards other human beings with an altruistic outlook. Naturally, it includes respect and love for other human beings and the inclusion of other individuals in the moral community.

Aristotle The ethical theory of Aristotle focuses on the good life. It also emphasizes on what is desirable and what is undesirable in an individual’s character in pursuing the good life. If the individual possesses good character, they strive towards the good life. A  good life is one in which an individual strives towards caring for his fellowmen and a commitment towards leading a good life. Aristotle focused on the development and refinement of virtues. Every person with a good character possesses some important virtues. According to Aristotle, virtue is the ability to select and reason correctly. An individual possessing good character knows how to act in specific circumstances. According to Aristotle, there are some natural virtues such as intention of doing some justice, courage and temperance. Such virtues are isolated examples of virtues. He compiled a list of virtues, which include truthfulness, friendliness, gentleness, generosity and self-control. Therefore, good character, according to Aristotle, is not only possessing virtues that guide the life of an individual but goes much beyond that. Possession of virtues is only one side of the coin; the translation of these virtues into action is what distinguishes one with good character. Such excellent activity is not one type of activity that can be repeated many times to get good character. One common element in persons possessing good character is that they possess practical reason considered to be the foundation of productive actions. Practical reason centres on moral perception, choice making and collaboration.

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•  Moral perception is considered as the first stage of practical reasoning. This stage is critical because before an individual decides to do some activity they should recognize that the situation requires some action. •  Choice making is the second stage of practical reasoning. Once the situation is identified, that is—that some activity should be undertaken—it should be decided how to do it. •  Collaboration is the third element in practical reasoning. A person with good character can conceive their well-being and the well-being of others. The wellbeing of every individual depends on their interaction with other members of the society and, therefore, an individual with good character engages in collaboration or collective action towards good life. According to Aristotle, practical reason distinguishes one of good character and, over a period of time, practical reason and other virtues can be learnt. Every individual is endowed with the ability of receiving and practising virtues. Therefore, it can be stated that the term ‘character’, as defined by philosophers of yore and by modern day philosophers, has certain similar features—humanity, piety, selflessness, kind-heartedness, self-respect, generosity, sincerity, persistence and benevolence. Although great physical and geographical distances separated the philosophers, they nevertheless enunciated almost the same meaning to the term ‘good character’.

THE DEFINITION OF CHARACTER IN THE TWENTY-FIRST CENTURY Right from Gautama Buddha to Aristotle, character is considered as the sum total of all good virtues. Although it is difficult to define the meaning of a good virtue, the main element of good virtue is benevolence towards living things. If one were to extend such a definition, it would include all those activities which ensure the wellbeing of all living beings. It is not enough to have benevolent attitude, but the individual should be in a position to judge the difference between what is right and what is wrong. The individual should have the moral strength of maintaining good relations with other beings and extend necessary help to them in case of need. Good character necessitates empathy and caring for others’ well-being. Therefore, it can be stated that character and community are interrelated and interdependent concepts. Such integration is all the more important for civil servants as they are the guardians of citizens’ welfare. A good character is one of the important prerequisites for civil servants of the twenty-first century, as they shoulder the responsibility of human welfare and progress. However, it is not wrong to say that civil servants of earlier centuries did not shoulder such responsibilities. They also made attempts for the upliftment of the poor and downtrodden. The difference is that present-day civil servants are integrated with the process of liberalization, privatization and globalization.

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Although from one perspective, the role of public administrators has decreased in the twenty-first century (particularly licensing, control, discretionary powers and public enterprises), their role has increased from the perspective of social, welfare, development and health administration. Therefore, good character is all the more necessary for civil servants of the twenty-first century, where governments are being reinvented for delivery of good and qualitative services to people. Strength of Character: A civil servant requires strength of character to understand the rules and norms of the society and profession. It is true that civil servants should adhere to social and professional norms. In fact, the strength of character is symbolized in the adherence to rules and norms. However, it does not mean that civil servants should stick to such rules during all times and all places. Such an adherence may actually stunt the growth of the society and may negatively influence it. It is here that the strength of character of civil servants is displayed. Civil servants should be able to distinguish between different times during which they should adhere to rules and principles. On many occasions, civil servants face such moral dilemma of sticking or not sticking to social and professional rules. In this context, it can be stated that in developing countries like India, strict adherence to rules will not work. On certain occasions, social and professional rules should be diluted for the larger benefit of the society. It is here that civil servants should have strength of character to bend rules and face the consequences. If civil servants have strength of character, then it becomes easy for them to do any thing aimed at the larger welfare of the society. Strong character has certain core elements, which are as follows: •  Ego Strength: An individual with good moral behaviour possess ego strength. With this strength, the individual is able to control his impulses. Such control of impulses is necessary for civil servants to check sudden outbursts and also allows them to have reasoning powers in the course of action. An individual with weak ego and character may not control his impulses and may fall prey to immediate pleasures. Therefore, it can be stated that ego strength provides inner strength to the individual to make a self-introspection and make himself a reformed individual. At the same time, ego strength provides self-respect and dignity for the individual and paves the way for doing things, which are morally right. •  Commitments: Morality is a collection of commitments along a predetermined line of thought and action. For an individual sticking to such morality symbolizes some sort of commitment towards accomplishment of a good objective. If an individual is steadfast to his commitment, he can be termed as an individual with strong character. Therefore, it can be stated that strong character is always equated with commitments. First, commitment involves sticking to certain set of moral principles by the individual. Commitment towards moral principles implies being different from what one would have been if he had not been committed. Besides, commitments are normally made to such principles, causes and ideas, which are ideal and worthy for the individual. An individual

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with weak character cannot commit himself to any idea or moral principles. Such individuals easily may break their commitments with the first sight of strong resistance from others. Thus, it can be stated that individuals with strength of character are the ones, who have strong ego and are committed towards their professed ideals and principles. Goodness of Character: It is true that an individual should have strength. He should possess ego strength to stick to the above stated principles. He should have commitment to avowed principles. All these things do not guarantee good character. It is necessary that he possesses the intention of doing good things to the people. In fact, doing good things was at the heart of good character of the ancient and modern day philosophers. All of them have emphasized that goodness of character in terms of benefits given to them by the individual possessing good character. For such goodness of character, it is necessary that the individual should shift his focus away from self-interest and ponders over benefits pertaining to the society. Once such shifting takes place, civil servants will be in a position to think in terms of society’s benefit and progress. They will perceive every activity from the perspective of social ­benefits—how to use resources effectively, where the resources should be spent and so on. Such an attitude also brings care and concern for others. When applied such attitude to the whole civil service, every activity of the government will be directed towards people’s welfare and upliftment. If it is applied at a personal level, the interaction between civil servants and people will be smooth and friendly. Empathy is an important element of good character. Empathy refers to appreciating any idea from the viewpoint of others. It is related to a sense of kinship and concern for others. If civil servants have empathy for the common man, it implies that they have concern for them. This is particularly true regarding developing countries like India, where civil servants have less empathy for citizens. It is the concern for the common man through which civil servants exhibit their character, as it is all about evincing interest in the welfare of human beings. Without such empathy for its citizens, no civil service may survive for a long period. It is found that civil servants with good character experience some sort of belongingness to citizens. Such belongingness naturally leads to some sort of personal affection and makes civil servants to exhibit concern for them. High Character: The strength of character and goodness of character are important for every civil service system. There are diverse ways of exhibiting strength and goodness of character by civil servants. They have to possess multiple competencies, commit themselves to the welfare of the people, exhibit concern and care for citizens. Such diverse activities necessitate the integration of reason and emotions. Civil servants with high character often exhibit sympathetic interest in others. Although the conduct of such individual is influenced by social and professional rules, they have the following characteristic features:

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•  They reflect on the ends of their actions. •  They embody the feeling of empathy. •  They emphasize collective interests of the society. •  They take into consideration the larger picture of the society while formulating policies. Such features can be found only in those individuals who possess high character and leadership qualities. Such individuals are not confined to civil service system alone, but are spread in the entire society. At the same time, it is difficult to find individuals with such features. There may be only a handful of individuals who possess high character. It is such individuals, who possess high character, make positive difference in the lives of people. In conclusion, in can be stated that the role of character in an individual’s life right from the ancient days is very important. It is particularly important for civil servants as they hold such positions from where they can make positive contribution to the lives of the poor and downtrodden. Character is not an exhibition of physical beauty or appearance, but a display of attitude of humaneness and benevolence for others. It is such an attitude on the part of civil servants that leads to overall upliftment of the society. In fact, the tenets of good character enunciated by Buddha for good government long back hold relevance even today. It is only the application of such tenets that are missing. Hence, there is a need for the application of such tenets which pave the way for good character among civil servants.

SUMMARY

  Individuals in public service have an even greater obligation to exhibit good character compared to other individuals. The reason for this is that their decisions impinge upon the lives of citizens.



  One should understand that it is not enough to possess good and moral virtues. Such virtues should be translated into action, the output of which should reach the beneficiaries.



  Gautama Buddha emphasized the need for a government based on humanitarian principles.



  The greatest concept of virtue for Confucius was goodness, which also means humanity or human-heartedness.



  According to Aristotle, practical reason distinguishes one who has a good character, and over a period of time, practical reason and other virtues can be learnt. Every individual is endowed with the ability of receiving and practicing virtues.

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  A good character is one of the important prerequisites for civil servants of the twenty-first century as they shoulder the responsibility of human welfare and progress. Civil servants should have strength of character, goodness and high morality.

Q u es t i o n s 1. Defining the meaning of character. Discuss why good character is essential for administrators. 2.  Give a brief history of philosophical definition of character. 3. If good character is a prerequisite for civil servants of the twenty-first century, what should be the important components of good character?

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2 Morality in Public Service After reading this chapter, you will be conversant with: • Morality in public life in India • Causes for the decline of morality and growth of corruption • Relevance of Gandhian morality

Introduction Morality is a very important element in public life. The issue of morality in public affairs is in existence since the dawn of independence in India. It covers several aspects of social life such as politics, public administrative systems, business activities and the academic world. Morality has to be sustained in our political and administrative culture. According to L. P. Singh, morality is of crucial importance to the future of India’s democratic system and to the quality of the life of our people. A code of conduct is formulated by the society to regulate the lives in an ethical manner. It distinguishes between the right and the wrong. The rulers should know what is right and what is wrong. When a discussion takes place about morality, it is pertinent to trace its roots to the ancient times when the concept of righteousness was formulated.

MORALITY IN PUBLIC LIFE IN INDIA The issue of moral, ethics or righteousness in political philosophy can be traced back to Plato’s Republic during the fourth century bce. Right from that time, moral philosophy has always been concerned with how individuals ought to live. A moral act should confirm to the standard quality of what is right. What are their aspirations and goals? Another question is duties and obligations that individuals should have for each other. In India, King Janaka of the Ramayana was revered as an ideal ruler combining in him

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sovereign temporal powers with high spiritual attainments. Morality demands that a ruler should perform his duties with philosophic detachment not succumbing to petty allurements. They must not be intoxicated with power or wealth and should stick to the moral path. Those in power, especially the ministers and the bureaucrats should conduct themselves in an exemplary manner, and nobody should raise a finger against them. They should earnestly practice the principles of righteousness. If rulers were made accountable, then morality in public life would be enhanced. In a parliamentary democracy, the minister is responsible to the Parliament, and it is this ministerial responsibility that can also be looked from the perspective of moral responsibility. T. N. Chaturvedi writes, ‘It is through ministerial responsibility that control on bureaucracy or administration is exercised. Answerability of the minister for his department is the hallmark of democracy’.1 After independence, the attitude of politicians and civil servants has undergone a drastic change. The values that they cherished had been diluted mainly due to power and pelf. L. P. Singh said: There is a yawning and continuously widening gap between the uniquely noble ideals and values bequeathed to us by Mahatma Gandhi, the vision and aspirations of the Founding Fathers of the Constitution and the standards set by Jawaharlal Nehru during the first seventeen years of our independence, and the state of affairs that has come into being.

It is said that in a parliamentary democracy, civil servants are responsible to the minister who in turn is responsible to the Parliament. It is also called constructive or moral responsibility. During the 1950s, politics in India was relatively clean and free from corruption to a large extent. In 1957, the then Union Finance Minister T. T. Krishnamachari came under a cloud due to the Mundhra scandal. A Commission of Enquiry was constituted under the chairmanship of M. C. Chagla, the then Chief Justice of Bombay High Court and it held T. T. Krishnamachari responsible for certain transactions of the L.I.C. of India with the Mundhra firms and he had to resign as union finance minister. Commenting on his resignation, L. P. Singh said, ‘He was known for his ability and there was no doubt about his personal integrity and it was considered proper for him to quit his high office’. But he became a minister again after a few years. In 1965, he had to resign again at the instance of the then Prime Minister Lal Bahadur Shastri, when the prime minister received a memorandum making allegations against the son of the minister and casting aspersions against the minister’s conduct. Later, in the 1960s, a Commission of Enquiry was appointed with S. R. Das, a retired Chief Justice of the Supreme Court to enquire into the corruption charges against the then Punjab Chief Minister Pratap Singh Kairon. Though Nehru did not insist on Kairon’s resignation during his tenure, the latter had to quit on the advice of Lal Bahadur Shastri, India’s second prime minister. Lal Bahadur Shastri was a man of high principles and integrity. By resigning as the Union Railway Minister after a railway accident in the 1950s, he set an example of high moral standards. Today, only the negligent railway staff is suspended if there is any accident in any part of the country and the railway minister is not held responsible for it.

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In another case, the Central Bureau of Investigation came across some documents showing payment of Rs. 10,000 to K. D. Malaviya, apparently for political purposes. S. K. Das, a judge of the Supreme Court gave an adverse report against Malaviya and the latter had to put in his papers. In 1964, there was allegation of abuse of office by the Chief Minister of Orissa Biju Patnaik, the Deputy chief Minister Biren Mitra and some other ministers. After scrutinizing the relevant records, the Central Bureau of Investigation stated in its report that actions of the Chief Minister and his Deputy were ‘Improper, irregular, unwise, indiscreet and imprudent’.2 However, basing on the available material, it absolved Biju Patnaik of having derived any pecuniary benefits but charged the minister and his deputy for misuse of authority. But both of them had to resign at the instance of Lal Bahadur Shastri. Morality in public affairs covers several dimensions. One such dimension is tax evasion. There is a tendency among a large number of high-income groups to evade taxes. Evasion of tax is a penal offence. In some countries, non-payment of taxes is considered as a serious offence and is punishable by imprisonment, but in India, that is not the case. Those with political influence go scot-free. The tax officials have to obtain the permission of the minister concerned if they want to conduct raids on tax evaders. Bureaucratic and political corruptions hamper the collection of taxes in a free and fair manner. Largescale tax evasion led to increases in the rates of income tax, increasing burden on the honest taxpayer and reducing the revenue resources at the disposal of the government. In a democracy, the rulers have to be made accountable to the electorate and to the general public. Also present in a democratic society is the free press and judiciary, which play a very important role in moulding public opinion and protecting the rights of the people. Any deviation from ethics and morality are highlighted. In India, democracy was hit by the immorality of political defections. This trend gained momentum in the 1960s when members of Parliament and legislators started freely switching their loyalties from one party to another to become ministers. Such incidents took place in Haryana where the politics of Aya Ram and Gaya Ram became popular and soon it spread to other states including the national capital. This was because coalition governments were formed in many northern states after the 1967 elections. Political morality stipulates that an elected member must resign his membership of Parliament or Legislative Assembly if they want to join other political parties. But unfortunately, a majority of the people were not adhering to this principle. Even at the national level, the Janata government fell in July 1979 owing to political defections and another government, Janata (S) under the dispensation of Charan Singh, was formed by the breakaway group. But this government also did not last long. After the fall of the Charan Singh government in August 1979, the then President N. Sanjiva Reddy dissolved the Lok Sabha and ordered fresh elections, which paved the way for the return of the Indian National Congress to power under the leadership of Indira Gandhi in January 1980. On account of political defections, two governments fell within a span of 3 years. In order to arrest this trend, an anti-defection law was enacted by the Rajiv Gandhi government in 1985, which stated that if a person wants to join another political party, he must resign his membership of Parliament or legislature. However, if more

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than one-third of the members resign, then it does not come under the purview of the anti-defection law and it is recognized as a split. The moral decline in administrative circles started when officials started taking bribes to bend rules. Further, they give advice that is musical to the ears of the ministers though it is wrong. Administrators should be committed to the Constitution of India and to the people and not to any political party in power. But, unfortunately, some officials try to please their political masters so that they would be rewarded with plum posts. If they do not toe their line, they get transferred to some remote corner of the state. Most of the officials try to avoid this risk, although there are upright officers too among civil servants. Officials have to discharge their duties without fear or favour. For example, we can take the case of P. N. Haksar who wielded enormous clout during the early years of Indira Gandhi’s Prime Ministership. Harish Khare writes, As Indira Gandhi’s Principal Secretary, Haksar had come to be known as the most powerful man in the country, until he rubbed Sanjay Gandhi the wrong way. No other civil servant, before and after, ever got to exercise so much influence on men and matters as did Haksar. And he did all this by simply making the Prime Minister’s secretariat a fountainhead of ideas and polices. And no other civil servant can be deemed to have served India so dedicatedly and so honestly as did this karmayogi.3

In January 1973, Haksar rejected the Padma Vibhushan award conferred on him by the Government of India. In a letter to the then Union Home Secretary Govind Narain, he stated, All these years, I have often said to myself that one should work so that one can live with oneself without regret. This gave me a measure of inner tranquility and even courage. Accepting an award for work done somehow causes an inexplicable discomfort to me. I hope I will not be misunderstood. I repeat I am grateful for the thought that my services should be recognized. For me this is enough. I would beg of you not to press me to accept the award itself. I shall be grateful if you will kindly convey to the Prime Minister my deep and abiding gratitude for the privilege I had to serve under her.4

According to Haksar, was the civil service as an essential tool of statecraft—an instrument that needed to be rescued from the politician. Politics, as it is played in our country, has wrought havoc with the morale and integrity of the civil services. Unless selection, appointments, postings, transfers, promotions of civil servants are ruthlessly objective and not criminally politicized and corrupted as at present, we will be witnessing the collapse of the administrative apparatus.5

CAUSES FOR THE DECLINE OF MORALITY AND GROWTH OF CORRUPTION When policy-makers take a decision under the influence of personal gains and illegitimately making profits, morality in public life suffers. For example, industrialists who are able to establish close links with politicians and bureaucrats flourish with the help of

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their black money, which remains undisclosed. There will be dishonest dealings among them. This leads to decline in moral standards.

Dual Economy Malaise of unofficial economy: morality in public life would not improve if the parallel economy or the black money were not properly regulated. The Santhanam Committee opined that under the Indian conditions, companies should not be allowed to participate in politics through their donations and had concluded that there should be a total ban on donations. Political parties clamour for such donations, and in turn have to please the corporate bosses. Thus, there has been an enormous growth in the black money. The parallel economy, which runs on black money, has acquired a labyrinthine character. Large-scale tax evasions fuel the parallel economy and make its material fruits available to its operators and their collaborators. There are some cases in which even big business houses indulge in tax evasions by concealment of incomes and falsification of accounts. There is no doubt that a large part of the taxable income escapes the tax net. This is the reason why black money worth thousands of crores go unaccounted into the parallel economy resulting in corruption and fall in the moral standards of the society. It requires a lot of political will to unearth black money. Usually, governments do not want to displease industrialists who donate large amounts of money to the political parties. Gross under-invoicing of exports, over-invoicing of imports and incomes saved through such fraudulent devices result in evasions of income tax and other types of taxes. In its report, the Direct Taxes Enquiry Committee under the chairmanship of K. N. Wanchoo stated that these processes lead to the growth of illegal and clandestine foreign exchange reserves held abroad in different forms. Export of ghost firms and non-realization of the price in India and using the proceeds illegally are another form in which black money operates. Smuggling of narcotics and silver out of India and gold into India also fuels the parallel economy. Other ways by which black money operates are through the clandestine shifting of antiques to other countries, the acquisition of foreign exchange from non-resident Indians and making payments in India. Unauthorized factories were set up in different parts of the country by flouting rules and regulations. Large amounts of stocks are hoarded for the purpose of black marketing. Adulterated foodstuff and spurious stuff were also being sold. Incomes earned by such dishonest means are not accounted properly and add to the black money. The repercussions of black money and the parallel economy are manifold and they affect the lives of the people adversely. Large-scale tax evasions lead to increase in tax rates, thus overburdening the honest taxpayer. This, in turn, leads to the reduction of revenues in the government treasury and the government would not be in a position to implement development policies. Black money has harmful economic and social consequences. Commenting on the impact of the parallel economy and the black money, L. P. Singh writes: The object of government controls and regulations, and of credit and fiscal policies are frustrated to a significant extent; inflationary pressures are increased; investment of black

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money in real estate pushes up land prices in around urban centers abnormally and efforts to reduce income disparities and gross inequalities in society through taxation are largely set at naught.6

There are some people who argue that high rates of income taxes result in high rates of tax evasion. Therefore, it is better to lower marginal rates of income tax so that people would pay honestly. Soft State: Gunnar Myrdal described India as a soft state. Such a state cannot take harsh measures to implement laws nor can it inflict punishment on tax evaders or prosecute them. A democratic and federal state would normally be disinclined to take harsh measures. In a soft state, the government is not strict in implementing laws. There is laxity among government officials to implement laws pertaining to corruption. Usually, a democratic and a federal state would be disinclined to take harsh measures against the corrupt. This result in corruption and decline in moral standards. The Direct Taxes Enquiry Committee had stated that the malady of black money could be effectively wiped out by resorting to harsh measures like demonetization which would compel the hoarders, tax evaders and black marketers to disclose their ill-gotten wealth. But between demonetizations and schemes of voluntary disclosure and special bearer bonds, the government had chosen the latter. This will strengthen the feeling that black money cannot be controlled or regulated. Generally, a soft state lacks the will power to take decisive action. Ambivalence on Ombudsman: In order to check corruption and misconduct among ministers and senior civil servants, a legislation was introduced in 1969 to establish an independent ombudsman type of authority under the designation of Lok Pal and Lok Ayukta. The legislation was drafted on the basis of recommendations made by the Administrative Reforms Commission but the scope was restricted. After being scrutinized by the Joint Select Committee, it was passed by the Lok Sabha. But while it was under consideration by the Rajya Sabha, the Lok Sabha was dissolved and the Bill lapsed. Though it was introduced again with some minor modifications in the Lok Sabha in 1971, it again lapsed when the Lok Sabha was dissolved in 1977. Once again, a legislation with much wider scope bringing within its purview, the prime minister, the chief ministers and members of Parliament was introduced in the Lok Sabha in 1978, when the Janata Party was in power. It was referred to the Joint Select Committee, which recommended certain changes in the provisions of the Bill. Unfortunately, this Bill could also not see the light of the day with the dissolution of the Lok Sabha in August 1979. The Lok Pal Bills were gain introduced in the Lok Sabha in 1985 and 1989 but without much success. Those Bills were simply allowed to lapse. The governments lacked the requisite political will to establish the institution of Lok Sabha. There was no agreement on who should be brought under the purview. Some of them do not approve the idea of the prime minister’s office coming under the ambit of the Lok Pal. In 1998, during the post-budget session, the Lok Pal Bill was again introduced by the then Prime Minister Atal Behari Vajpayee, that also agreed to bring the prime minister under the purview of the Lok Pal.

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However, instead of proceeding with the Bill to its logical conclusion, it was again referred to a Parliamentary Committee on Home Affairs. In turn, the Committee said that the House should first discuss the report of the Ethics Committee of the Rajya Sabha and also the report of the Committee of Privileges of the 11th Lok Sabha. Along with these, it should also discuss the issue raised by some of the members of the standing committee members that there was no need for Lok Pal as the Supreme Court has stated in its judgement that members of Parliament and legislators are public servants and are liable to be prosecuted under the Prevention of Corruption Act. With the formation of the new government at the Centre in May 2004, the interest was again revived in constituting an institution like the Lok Pal to check corruption at higher levels. In January 2005, the Union Law Minister Hansraj Bharadwaj announced that the government intends to set up the Lok Pal. The Lok Pal will be an authority similar to the Lok Ayuktas functioning in different states of the Indian Union. The minister declared that ‘from the prime minister to the peon’7 all will come under the ambit of the Lok Pal. He also stated that the government wanted to bring all the three branches, that is, the legislature, executive and the judiciary under the purview of the Lok Pal. To make the necessary recommendations, a group of ministers will be set up. A group of four or five ministers including the law minister and the minister for science and technology would be formed. Shared Power and Shared Reward: Describing the relationship between the government and large industrial houses, John Kenneth Galbraith said, ‘Between the modern corporation and the modern state, there is deeply symbiotic relationship based on shared power and shared reward’. The existence of large sums of black money is major source of corruption. The growth, accumulation and power of black money are having wider ramifications on the economy and polity and this has to be looked into. In India, black money was being tolerated and black incomes were being legitimized. For those individuals who have successfully forged close links with the political and bureaucratic hierarchies are able to flourish well. But to have such links is illegal and will adversely affect the economy. There is a widespread belief that people can get economic contracts if they bribe the concerned bureaucrats. Socio-moral Context: With the increase in corruption and decline of morality, the rich are becoming richer and the poor are becoming poorer. There has been a conspicuous growth of acquisitiveness bordering on rapacity.8 There is a feverish pursuit of wealth, untrammelled by moral considerations. Money has become a major criterion on a person’s social status. People are running after their ill-gotten wealth. L. P. Singh said ‘There is, in fact, a view that economic energy with political liberty tends to engender some immorality and selfish advancement of private good at the expense of public weal’. Making a statement in the Lok Sabha, India’s first Prime Minister Jawaharlal Nehru said, ‘Corruption, if I may say so, is a result of the democratic process, and I am a little afraid that as the process grows corruption is going down to the village’. But the majority of the politicians and bureaucrats have thrown the Gandhian legacy to the winds thereby weakening the moral fabric of the nation. They do not have respect for the laws of the land nor the larger interests of the society.

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Speaking at the centenary celebrations of the Indian National Congress, the then Prime Minister and Congress President Rajiv Gandhi said out every rupee spent on the poor, only 15 per cent is really reaching the needy and the remaining 85 per cent was being pocketed by the intermediaries. He said the Congress would make efforts to get rid of the brokers who were eating into the moral fabric of the nation.

RELEVANCE OF GANDHIAN MORALITY It is important to remind the present rulers of the relevance of Gandhian philosophy in conducting practical affairs of politics and administration. Gandhiji has left us a unique legacy and it is for the rulers to make use of it to maintain purity in public life. According to L. P. Singh, Gandhiji used Dharma in the sense of truth and righteousness. He declared that Truth and God are one and the same. He said there was no conflict between the country’s political and material interests and the fundamentals of morality. On the other hand, moral decay leads to material and physical degeneration. Means are as important as the ends. ‘It is absolutely wrong to say that if the motive is pure that means are justified; whatever they may be. For realizing a pure end, the means must be pure.’ Means are after all everything; as the means, so the end. Indeed, the Creator has given us control over means, none over the ends. In one of the prayer meetings, Gandhiji exhorted the Congress leaders to be pure to words and deeds and not be tempted by wealth that pours in through illegal sources. Unfortunately, the politicians of all hues have thrown the Gandhian ideals to the winds. Money and muscle power have come to play a very important role in the politicst of the nation, especially during the time of elections. What the country needs are men of character and integrity. Such people are vanishing from the polity. The strength of the nation lies in the moral fibre of the people, and this is largely determined by the conditions that the state provides. The moral fabric of the nation can be strengthened if the conditions such as cleaner politics, honest administration, an economy free from ­corrupt influences, and a respect for the principles and values enshrined in our Constitution are followed scrupulously. In conclusion, it can be stated that in order to arrest the trend of declining in ­morality certain harsh steps have to be taken, however, unpalatable they are. For this, the ­government should have the will power and courage to implement laws strictly. A parallel economy exists in the country where black money circulates freely. The government has failed to act on the recommendations of the commissions or committees, which examined the issue of corruption. Public opinion was not very assertive or vigilant. The public has become complacent and they are not taking enough interest in combating corruption because of the fact that they firmly believe that it has become a global phenomenon. Public opinion should be vigilant and well-informed. Good people should be encouraged to contest elections and come to power. ‘Ultimately, the strength of a nation lies in the conditions which the state provides, a state which itself does not have respect for moral values cannot foster such values among its citizens’.9

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Although it is not possible to establish an ideal state of Gandhiji’s dream, people should make efforts to establish cleaner politics, a more honest administration, an economy, which is free from gross abuses, and respect the principles and values enshrined in the Constitution.

SUMMARY

  Morality is a very important element in public life. The issue of morality in public affairs has been there since the dawn of independence in India. It covers several aspects of social life such as politics, public administrative systems, business activities and the academic world.



n  There has been an erosion or decline in the standards of morality after independence.



n  In order to weed out corruption, the Government of India wanted to establish the Lok Pal institution at the national level but it failed every time. However, Lok Ayuktas were set up in the states.



n  Political defections resulted in the fall of moral standards in public life. Members of Parliament and Legislative Assemblies freely switched party loyalties to become ministers. However, the Parliament enacted the Anti-defection Law in 1985 through the 52nd constitutional amendment to curb defections and to arrest this trend. But that law allowed splits in political parties.



n  There are several factors responsible for the decline in the moral standards in ­public life. They include the prevalence of black money and the running of parallel economy, power obsession of politicians, avarice and greed of civil servants, loopholes in the existing laws dealing with corruption, love for easy money, ­weaknesses of a soft state and illiteracy and cynicism of a large number of people.



n  Politicians should try to emulate Gandhiji’s ideals to strengthen the moral fabric of the nation.

E n d n o t es 1.  Ramesh K. Arora and Tanjul Saxena (ed.), Ethics and Accountability in Government and Business (Jaipur, India: Aalekh Publishers, 2003), p. 115. 2. Ibid., p. 147. 3. Harish Khare, The Hindu, 16 September 2004. 4. Ibid. 5. Ibid. 6. Arora, Ethics and Accountability in Government and Business.

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7.  The Telegraph, Calcutta, 8 January 2005, p. 16. 8. Arora, Ethics and Accountability in Government and Business, p. 158. 9. Ibid., p. 162.

Q u es t i o n s 1. Why has there been a decline in the standards of morality after Independence? Give your viewpoint. 2. What are the factors responsible for the decline in the moral standards in public life? 3. Discuss the relevance of Gandhian morality to strength the moral fabric of the nation.

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3 Ethical Behaviour and Dilemmas in Public Service After reading this chapter, you will be conversant with: • Ethical behaviour in India • Defining ethics and ethical behaviour • Changing role of public administrators • Evolving a code of conduct

Introduction After independence, the Government of India has taken several measures towards attaining the constitutional goals of social justice, equality and economic development. It was a moral or ethical obligation on the part of the government. It had a social commitment in establishing an egalitarian society. The public administrative system in the country served as an instrument to realize such goals. However, over the years, there were several deviations from the defined objectives. Therefore, a great need was felt to introduce some ethics while running the government. Corruption has taken deep roots into the political and administrative systems of the nation, at the Central, state and local levels. Bribery has become the order of the day. As early as in the 1950s, the country was bogged by the Mundra scandal, and earlier in 1948, the jeeps scandal. When the Mundra scandal was exposed in 1957 by Feroze Gandhi, a member of Parliament and the son-in-law of the then prime minister Jawaharlal Nehru, the then finance minister T. T. Krishnamachari had to resign.

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DEFINING ETHICS AND ETHICAL BEHAVIOUR It is not easy to define ethical performance in public administration in clear terms. Also, it is not easy to set up standards of ethical behaviour in deciding what is right or what is wrong. Morality and ethics are relative terms. However, a public administrative system, which responsive or accountable should follow certain norms or ethical principles while discharging its functions. It is not proper to separate morals or ethics and the administrative system. Values or morals are necessary in running the administration. Ethics is the science of moral and principles of ethics aims at developing standards of human conduct. According to Johnson, ‘ethics is a systematic enquiry into human conduct in order to discover both rules that ought to govern our actions and the goals we should seek in life’. Although ethics is the science of morals, it is not just confined to the right rules of conduct. Now, ethics is being more and more associated with professional standards that are followed in organizations, and not merely to philosophical studies. In the sphere of public administration, ethics lays emphasis on how concerned officials should act in a responsible manner. They should be in a position to reflect on what is right or what is wrong. Officials should not forget the obligations of the organization. The element of ethics involves inquiry and contemplation into truth, seeking the right answer to one’s question through ethical deliberations. In order to keep pace with the new pressures or demands that are arising on public administrative system, an administrator has to draw a line somewhere between what ought to be allowed and what not. According to Kathryn G. Denhardt1, if an administrator has to be ethical, he has to engage independently in the process of: 1.  Examining and questioning the standards in the light of which administrative decisions are made. 2.  Relating with the social concerns and organizational goals and reflecting a commitment of these goals. 3.  Adapting to the changes in the environment. 4.  Preparing to be held responsible and accountable for the decisions made in the individual and professional capacity. Unfortunately, such guidelines for governing ethical behaviour are not found in the present public administrative system. Also, there is no mechanism to ensure that administrators discharge their duties keeping in view the overall interests of the people and the nation. Priority should be given to values and obligations. Such ethics should help in conflict resolutions. Administrators have to be made accountable to the people.

ETHICAL BEHAVIOUR IN INDIA Today, many scandals of heavy magnitude such as security scam, fodder scam and coffin scam, housing scam and hawala scam have rocked the political system but nothing

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much seems to have happened excepting the resignation of the concerned ministers. Later, they were taken back into the Union cabinet. Political corruption can be directly linked to the nexus established between the politicians and criminals. Politics has been criminalized. Several kinds of unethical activities have been taking place at all levels of the government, including the bureaucracy. Describing the state of corruption in India, Alka Dhameja writes: Corruption has been projected as the most visible form of unethical conduct and the so-called forte of the political and permanent executive, quite oblivious to the fact that this growing menace has manifested itself far and wide in almost every profession, the non-governmental and the other para-statal bodies are also not insulated from it.2

There is no guarantee that the situation would change for the better in the age of liberalization, globalization and privatization as the country has been witnessing new scams at regular intervals. The Indian political system and the administrative system are plagued by many ills such as corruption, favouritism and flouting of rules by the vigilance commissions. The scope of public administration has expanded enormously and became complicated with administrators getting more and more involved in making public policies and resolving conflict situations arising from time to time at different levels. People’s expectations have risen enormously putting lots of pressure on the administration to deliver goods and services. Therefore, it is imperative that administrators follow certain ethical guidelines, which would go a long way in helping them to identify a problem, choose an alternative course of action and implement the best among the chosen few. The service rules should prescribe penalties or punishments for deviating from the ethical guidelines. Administrators should be familiar with the process of ethical decision-making. The moral factor involved should not be sidelined. ‘They should know how to handle a problem situation, the role of facts and values in solving them and recognize the ways of protecting themselves from extraneous pressures, identifying alternatives and projecting consequences’.3 Though it is very difficult to formulate an ethical code for every form of action, a broad idea should exist dealing with the best possible way through past experiences and established conventions. So, without going into debates on the causes and remedies regarding corrupt practices, it is better to evolve a code of conduct for pubic servants while discharging their duties. There are different types of unethical or corrupt activities taking place. They include bribery, nepotism, graft, patronage, influence peddling, use of official property, documents, or position for private gains and non-compliance with rules and regulations. The service conduct rules for administrators prevent them from indulging in these activities. These conduct rules only talk of the Don’ts and not so much about the Do’s. Major part of the service rules book deals with the classification of posts, conditions of services, penalties, appellate authorities and forms of appeal.

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Some Ethical Dilemmas O. P. Dwivedi raises several fundamental questions that can arise out of unclear conduct norms, He calls them ethical dilemmas. These are as follows: 1.  The favours that can be accepted without being rude. Should any and all kinds of gifts and hospitality be avoided? Or should it be limited to a specific minimum. What should be the minimum number of gifts that can be acceptable? 2.  Can a public servant deviate from ethical norms outside office hours or outside the office premises? Are they public servants only during office hours inside the office? Should they practice ethical norms outside the office? 3.  Should public servants interpret the official policies and programmes according to their personal perceptions of what is right and what is wrong or should they only adhere to the values of the institution that they serve. 4.  What should public servants do if their personal honesty and integrity appear to be out of place in their work and environment? If there are no clear-cut guidelines regarding norms of behaviour among the employees, they tend to deviate from the right path. A gift can be transformed into a bribe. ‘In a system that tends towards ascriptive rather than achievement-oriented pattern of working, favours from people of the same caste or region are not considered unethical by anyone’.4 If rules and procedures are extremely stringent, the staff may become corrupt. They may tend to bypass the rules. Sometimes, public officials are subjected to political pressures, litigations, tight deadlines, media exposure and people’s expectations. Such pressures may force officials to bypass ethical norms. It may have an adverse affect on their performance, thereby leading to conflict situations. The nature of public administration has undergone several changes over the years and as a result, the ethical questions pertaining to it have also changed. The need of the moment is the serious updating of the service rules and regulations in the backdrop of the changed social and political contexts. Bureaucrats and politicians blame each other for the deviation in ethical norms and the growing corruption in public services. While bureaucrats say that administration has been politicized, the politicians allege that administration has been over-bureaucratized. Officials allege that politicians punish them by denying them promotions and transferring them to remote places if they fail to toe the line. Therefore, a new policy should be devised to coordinate the relations between them. Politicians, particularly the ministers, should not use pressure tactics to bend the rules for narrow political gains and the administrators on their part, should give honest advice to them. They should not try to transgress their jurisdictions. The roles of administrators and politicians should be clearly demarcated.

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CHANGING ROLE OF PUBLIC ADMINISTRATORS There has been a sea change in the role of public administration during the last five decades. It is no longer concerned with monitoring and implementing government policies. In the age of liberalization, globalization and privatization, administration has to be more innovative and citizen-centric. There should be a higher degree of accountability and transparency. The legacy of neutrality, anonymity and commitment to the political party in power has been relegated to the background. A new type of political and administrative culture has emerged in India. Administrators have to experiment with new methods in the different organizational sub-cultures that are emerging gradually. Officials have to take appropriate steps to make the public administrative system more flexible, accountable, self-regulatory and achievement-oriented. Max Weber, the German sociologist, clearly distinguished between the private and official lives of bureaucrats. Though they were free personally, they were subjected to legal rational authority regarding their impersonal official duties. The departmental heads in the civil service would normally have a clear schedule of duties for which they were responsible and this would normally exclude activities outside those that were listed. However, this view was refuted by administrative scholars like Robert Merton, Elton Mayo, Peter Blau and others. There are other thinkers like Chester Barnard, Chris Argyris, Renis Likert and Douglas McGregor who viewed administration in a different perspective. Herbert Simon also enriched administrative thought in the arena of decision-making in administration. Although serious research studies were conducted in the area of administrative behaviour, no clear-cut guidelines or principles were formulated for the functioning of administrative officials. Though several administrative reforms committees made recommendations in this regard, they were not implemented by the government. Ethical performance, thus, has to be viewed in this context.

Issues Confronting Problem-solving and Decision-making The task of making decision is very complex even in a more or less conducive atmosphere. Administrators have to cope up with new challenges regularly, which are both routine and non-routine in nature. To cope up with the non-routine situations effective alternatives and divergent problem-solving techniques have to be devised so that it would be easy for administrators. The pattern of problem-solving also varies from a reactive to a proactive orientation. If the organization is stable and predictable, administrators can be reactive, but in conflict situations, they have to be proactive because in such type of situations, anticipation of future tasks and creation of viable alternatives become crucial. While solving problems, public officials have to take values into consideration. There are several factors that affect the values of officials. They are influenced by the Constitution of the country, legal norms, organizational rules, ruling party’s pressures, caste and family obligations, public interests, media exposures and time constraints.5

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These factors influence the perceptions of administrators. It is difficult to judge which value is superior and which is inferior. Therefore, there is every need to prepare a broad framework of guidelines. It is not easy to establish a direct connection between facts and values and on many occasions; facts and values demand different kinds of responses from administrators. Bridging the two elements is not an easy proposition. Public administrators or civil servants work in a world of facts and values. Facts are like the raw data which help them in providing the necessary information. They simply exist. On the other hand, the values are the moral choices that the officials have to make. If an official faces an ethical dilemma, they have to choose between the competing and mutually exclusive values. Application of facts and values in the process of decision-making is a very complex and complicated exercise. David Hume opined that reason could not alone serve as the foundation of morality. Reason cannot grasp moral differences. Decision-making becomes complicated because administrators are influenced by desires, biases, perceptions and attitudes to achieve particular tasks and tend to get influenced by their responses to specific situations. Since it is very difficult to arrive at decisions that are highly satisfying, Herbert Simon says that the decision should be ‘satisfying’, a combination of satisfying and sufficing. It is the nearest best solution. Values cannot be done away with. They are required in decision-making to determine whether one condition is better than the other. Reforms and ethical training should now attempt at making public servants identify decision-making rules, project positive and negative consequences, understand the appropriateness of ethical principles and their value assumptions and underlying moral basis. For an ethical proposition to be useful in rational decision-making, the values taken as organizational objective must be definite so that their degree of realization in a situation can be assessed; and it must be possible to form judgements as to the probability that the particular action will implement these objectives.

EVOLVING A CODE OF CONDUCT Evolving a code of conduct for administrators to resolve conflicting situations or for regulating ethical behaviour is a difficult proposition. But still, a code of conduct has to be evolved among officials to regulate their behaviour. Otherwise, performance evaluation becomes difficult. A code of ethics serves as a written standard of behavioural norms. Major characteristics of any code are as follows: 1.  A code should serve as a norm of behaviour, according to which fresh entrants could be counselled. 2.  It must serve as a comprehensible guide for everyday behaviour at the workplace, a standard on which sanctions could be based and by which behaviour could be evaluated. 3.  It must serve as a tool of administrative control.

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The administrative culture prevailing in any country is composed of many factors, beliefs, interests, viewpoints of not only public servants but of all those who interact with them. The administrative culture and sub-cultures have to be taken into consideration while trying to introduce reforms and evolving any type of code of conduct for the officials. In order to make the reforms effective in the administrative system, each and every rung or level should be revamped. It must be remembered that administrators have ­preconceived ideas or notions about the code of conduct at the time of joining civil services. No amount of ethical training can totally erase what they have imbibed in their earlier years. Already their minds are conditioned to think in a particular way. But, taking into consideration the interests of the organization, their attitudes can be moulded to a certain extent through training. Also, since every type of behaviour cannot be confided or codified, a written code must also be accompanied with an unwritten code depending upon the discretionary powers of the civil servant and the rising expectations of the people. Ethical standards of a civil servant have to be in tune with the general standards prevailing in the society. Also, they should be based on certain moral norms or standards in the society, such as truthfulness, discipline, fairness, tolerance and justice, which form the basis for any moral order in the society. If it is not easy to formulate principles to govern ethical behaviour, then confusion and amorality would prevail. According to Kathryn Denhardt, the intention is not to evolve some principles which are static and never changing. While the broad moral order remains the same, the understanding and interpretations of the order changes with time. For every new development, new set of standards cannot be formulated. The broad sets of outlines remain unchanged and the only thing is that the existing standards of morality have to be reinterpreted in the light of new developments. The Research Committee on Political Corruption of International Political Science Association and the International Institute of Administration Sciences focus on different aspects of official misconduct and prepare professionals of ethics. In India, an organization consisting of eminent citizens called Sadachar Bharati is focusing on issues such as maintaining discipline, standards of morality and electoral reforms. However, serious efforts were not made to formulate a code of ethics. Even departments of public administration of Indian Universities should take interest in formulating ethics or a code for public servants so that they become more accountable. In the late 1990s, an organization called Lok Satta headed by Jayaprakash Narayan, who resigned from the IAS to fight for social causes, was formed. Ethical behaviour among civil servants cannot be sustained for long or in a vacuum divorced from the other strata of society. Society is not a vacuum. There are several citizens, private sectors, voluntary agencies, foreign corporations and members of the political parties. All these organizations have to play an important role in ushering in an ethical environment. Merely introducing a code of conduct will not suffice. It cannot be a substitute for the Central Bureau of Investigation, Lokayukta and Central Vigilance Commission. But a code of conduct can help officials in following the right track.

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SUMMARY

  Ethics is a science of morals, and all public officials should practice it while discharging their duties.



  Ethics develop the standards of human conduct. It is a systematic enquiry into human conduct in order to discover both rules that ought to govern our actions and the goals we should seek in life.



  An administrator has to independently engage in the process of examining and questioning the standards in the light of which administrative decisions are made. They should be made accountable and responsive.



  A code of conduct should be evolved to regulate the ethical behaviour of public officials.

E n d n o t es 1.  Ramesh K. Arora and Tanjul Saxena (ed.), Ethics and Accountability in Government and Business (Jaipur, India: Aalekh Publishers, 2003), p. 91. 2.  Ibid. 3.  Ibid. 4.  Ibid. 5.  Ibid.

Q u es t i o n s 1.  A great need has been felt to introduce some ethics in governance. What type of ethical behaviour is expected from administrators? 2.  Corruption is the most visible form of unethical conduct. ethical dilemmas in the light of it. 3.  In the age of liberalization, From where did you get this word? the roles and ­performances of public administrators have changed. Discuss. 4.  There is a need of higher degree of accountability and transparency in administrative behaviour. Discuss the code of conduct to regulate the ethical behaviour of public officials.

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4 Ethics in Public Service After reading this chapter, you will be conversant with: •  Features of ethics •  Ethics in public and private perspective •  Public service and community ethics •  Ensuring ethical standards •  American experience •  Indian experience

Introduction The evolution of popular and representative form of government is a significant milestone for better governance during the course of human civilization from ancient times to modern period. Although popular governments were found in India during ancient times, they were not truly representative in modern sense. Rulers personalized their rule and administration, to a large extent, with less concern for people’s welfare. Some rulers like Ashoka paid attention to welfare aspects to a limited extent and administration was also channelled to perform such activities on a limited scale. The administrative system was mainly geared to fulfil the needs of the rulers and the state administration as such was tuned to perform all such activities which pleased the ruler and the government, and accountability towards people was non-existent in true sense of the modern government. The administrators collected revenue, the major part of which went to the ruler. The simple ethics during that period was to follow to a large extent, dictates of the ruler and the state, and these traditions continued into the beginning of the modern period. The modern era began with the end of feudalism and the rise of liberal and democratic ideas. These ideas were spread across by intellectuals and awakened people against autocratic rulers and administrators for their excesses and lack of accountability of administrators.

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The autocratic rulers were replaced by popular and representative political institutions, where people had a say in the election of their rulers; and unaccountable administration was replaced by administration with accountability to popular political institutions. These changes in the political systems and processes made public administration subservient to political system and indirectly to the people. It was gradually recognized that administration should be accountable for all its activities—public and private to the citizen as they existed for serving people. Besides, it was the taxpayer’s money that was being spent by the administration on various programme of government. Under these conditions, it becomes essential and natural for the citizen to demand accountability of public servants ­regarding their activities. The accountability factor led to control of public servants on certain established ethical and moral grounds which demanded certain qualities from public servants such as efficiency, rationality, objectivity, impartiality, integrity and discipline. It is the bounden duty of the civil servant to carry out administration keeping in view the above-mentioned ethical norms as they are endowed with authority and finances to be spent for the public welfare. The motto should not be personal aggrandizement but larger public welfare and civil servants should constantly strive to enhance citizens’ faith in administrative system and desist from such activities which negate the confidence of the latter. According to Telford Taylor, ‘There are worse things than mere graft, and one of them is the empty process of wheeling and dealing, in which the personal fortunes of the contestants loom larger than the social issues which they evade, straddle, and obfuscate in the hope of offending no one’.1

Features OF ETHICS Civil servants should imbibe the culture and dynamics of democratic form of government, under which they function, and should firmly believe in democratic values and morals. The principles enshrined in the constitutions of their respective countries should be thoroughly understood in right perspective as this enable them to adapt themselves to the democratic functioning. They should be able to understand their roles and functions under a democratic form of government, either parliamentary or presidential. Under the parliamentary form of government, the roles of civil servants is limited to tendering advice to the political executives, and implement public policy irrespective of acceptance or rejection of advice given by the former to the latter. Once a policy is formulated by the minister under parliamentary form of government, it is the bounden duty of the civil servant to implement it without any reservations. The conventions regarding functions of civil servants vis-à-vis the ministers are well established, and civil servants as well as political representatives should recognize them duly. In the book, How to Be a Civil Servant, the functions of civil servants have been dealt elaborately; the following is an extract from the book: It is important, while working with Ministers, to recognise that officials have three distinct duties, and you need to be clear which duty you are carrying out at one point of time, as each requires different skills and behaviour.

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First, you are expected to give advice, before Ministers make policy decisions. You must give them private, honest, informed advice and you are expected to face them with the truth even when it turns up in an inconvenient form. Put another way, you are employed to ‘speak truth unto power’. Second, you must help Ministers promote and defend their decisions, even if you advise against them. You must now pay much more attention to the tone and impact of what Ministers are to say and do, rather than focus on the details that underlay the policy decision. This work can be of great fun, especially when you are being proactive in arranging media exposure and so on. Equally, however, it is no fun at all when you are operating in defensive mode, drafting deadpan letters to be sent to angry correspondents, so as to avoid letting them get a shot at a weak part of your Minister’s argument. Either way, it matters little whether you think Ministers are right or wrong. It is vital that their programs are professionally promoted and defended if they have to achieve their political objectives. Third, you are responsible for implementing Minister’s decisions on the ground and/or through drafting the necessary legislation. Again, you become less analytical, and much more proactive. Indeed, although you undoubtedly continue to work for Ministers, you often have to use Ministers (I know of no better word) in order to achieve Minister’s own objectives. After all, little is as effective, in driving forward an agenda, as a strong Ministerial speech or a well-prepared meeting between a Minister and a Ministerial colleague or a powerful interest group. You will find that it is exhilarating to drive through a new policy which will do genuine good. The important thing is that you recognize when it is time to switch to this mode, so that you stop analyzing and you stop defending and you start delivering. Nothing upsets Ministers more than civil servants who cannot recognize when Ministers have made their minds up, and so fail to provide the pro-active service to which, Ministers are entitled.

ETHICS IN PUBLIC AND PRIVATE PERSPECTIVE The most important aspect that civil servants should remember during ­administrative processes is that they should adhere to the democratic norms laid down by the Constitution. If civil servants deviate from the norms established by the Constitution or personnel policies, it is considered unethical. Even employees working for a private organization are under obligation, like civil servants, to adhere to the norms laid down by the organization. Civil servants are guided by an established code of ethics regarding all matters, including their private life, marriage, gifts and property. This is particularly true regarding civil servants at higher level such as senior executives, policy advisors and managerial specialists, involved in policy formulation activities where some discretion is needed during the course of administration. Employees working in a private organization may not be restricted in private lives, but they are still regulated by some ethical code regarding their behaviour, although they may not come across the ideals of Constitution, democracy, liberalism and equality. Although it is not correct to compare the activities of the personnel of public and private bureaucracies, it is observed that at the lower level or cutting edge of administrative

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processes, one finds little difference between them. A civil engineer working in a government office is under the same ethical obligation like his counterpart in a private organization regarding designing of models and structures, drawing place of buildings, construction of structures and quality of work. According to O’ Glenn Stahl: For many routine occupations it would be difficult to distinguish between the standards to be expected of those engaged in private employment and of those working in government. The same obligations of care and integrity prevail for clerical, skilled, and technical personnel in the public service as exist for these groups in the business world. The book-keeper is under the same moral compulsions in one place as in the other. The laboratory technician’s processing of blood samples in a hospital must be viewed in the same ethical light regardless of whether the institution is publicly or privately owned. But when we think of the bureau chief, the sanitation engineer, the tax assessor, the park ranger, the police officer, the personnel examiner, the public school teacher, we see immediately categories of workers on whom special ethical obligations rest that have little counterpart in private enterprise. For it is in the hands of such persons that discretion lies in the application of the publicly (democratically) adopted laws and rules, however minor they may be, which constitute governance.2

Thus, it is observed that employees of public and private organizations are almost equally bound regarding their functions and responsibilities, whatever be the occupation—law, medicine or business—they opt for.

PUBLIC SERVICE AND COMMUNITY ETHICS A citizen’s expectations from civil servants are far higher compared to other organizations in the society. This is true regarding the delivery of public goods and services by civil servants. Added to the delivery system, citizens expect higher ethical standards from civil servants even in private life as it influences public service. It makes civil servants more cautious regarding their public and personal matters all over the world. According to the Senate sub-committee: We also believe that the ethical standards of public officials are probably higher than those prevailing in business and other walks of life. On this point also, there was persuasive testimony from men of experience who apparently are more conscious of the problem of moral standards. The resentment which public officials sometimes show when subjected to public criticism may be explained in part by their awareness of the fact that some of their critics would be even more vulnerable to criticism if the same standards were applied.3

One finds people’s thoughts dubious regarding civil service ethics. People expect moral and ethical principles from civil servants, on one hand, and expect special favours from them, on the other. This double standard of citizens regarding civil servants makes the latter’s position miserable, as they have to adhere to ethical code and at the same time bestow special favours to a few selected and privileged groups. As quoted by O’ Glenn Stahl, ‘There is a kind of public schizophrenia that pervades this subject. On the one hand, articulate citizens demand extraordinarily high moral standards of public servants, and

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on the other, they seek special action from officials favoring them against the larger public interest’.4 This unethical type of expectations of citizen from civil servants leads to inefficiency and irrational policies in administration. Citizen as individuals and groups think in terms of individual and group welfare instead of larger societal and community welfare which works against the ethics of civil service. Civil service exists for the larger benefit of society and community and in the process of implementing welfare measures they are hampered by interest groups. These interest groups garner majority benefits for their individual purposes or for their groups, which according to them is a larger societal welfare. The business executive who thinks only in terms of his corporation; the labor leader who thinks only in terms of his union; the leader of the organized agriculture who thinks only in terms of his farm organization; are all a menace to the basic integrity of the nation . . . . In a free society the responsibilities of the statesman fall on everyone, and upon each person in accordance with his power and ability.5

The functioning of civil service reflects on the ethical standards of the community. To expect highest moral and ethical standards from civil service, it is the bounden duty of citizens to cleanse the society and then expect moral and ethical standards from the former. Instead, it is the other way as community expects higher ethical standards when it is devoid of basic ethical norms. It is true that instead of individual and group interests, everybody should take a larger picture of welfare. According to Glenn Stahl: Whenever doctors look upon their own prosperity as synonymous with the status of the public health, whenever associations of manufacturers oppose legislation for the general welfare, whenever labor leaders mistake the interest of their union structures for the interest of all citizen, whenever veterans’ organizations exploit patriotism for class legislation, whenever voters view their Congressmen merely as tools to get favors and special consideration, we fall short of our goal of the highest possible public ethics. What we need is, more and more people who are dedicated to the public interest itself—rather than to special economic or social or sectional interests.6

ENSURING ETHICAL STANDARDS Scholars of public administration desire to address the problem of civil service ethics for the sake of citizen’s welfare. This search resulted in a body of administrative literature on civil service accountability to people, on one hand, and human element in organization, on the other. The literature, thus, produced by scholars intended to probe into ethical dimensions of the decisions made by civil servants regarding citizen’s welfare.

Accountability The scholarly work on civil service accountability deals with the study of decisions taken by civil servants. They study the component of public interest of such decisions and their impact on people’s welfare. At the same time, benefits to civil service are also examined

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from the ethical point of view. It is observed from the literature that civil servants are constrained to act against public interest due to the checks imposed on them in a representative form of government. The democratic form of government ensures people of bureaucratic domination as civil servants are compelled to work under ethical framework of constitution, democracy, republic, liberalism, equality, freedom, rights of citizens and civil service conduct rules. The internal checks on civil servants in the form of rules, administrative laws and civil service conduct rules make civil servants accountable for their activities. Besides, civil servants in democratic governments are under the control of political representatives. Since political representatives are elected by citizens to look after the interests of people, it becomes the bounden duty of political executives to safeguard people from bureaucratic excesses. Political representatives act like a grievance machinery solving citizens’ problems by controlling unscrupulous bureaucratic elements. The machinery of vigilance in every ministry ensures that civil servants adhere to decisions from the perspectives of legality and ethics. Civil servants are also made accountable by the legislative branch of the government. External checks also control civil servants to confine themselves to moral and ethical framework during the process of policy implementation. External checks include legislature, executive, judiciary, media, citizens, ombudsman and voluntary organizations. A combination of internal and external controls, thus, ensure that moral and ethical framework is adhered by civil servants during the process of serving people and thus their moral and ethical behaviour is ensured.

Humanism Humanism primarily deals with humane treatment of employees and emphasizes on human resources in an organization. The main emphasis of humanism is a follows: •  Treating civil servants humanely leads to organizational efficiency. •  Treating civil servants humanely leads to organizational change. •  Treating civil servants humanely is a good objective in itself. It is observed that public personnel system considers human beings as stale elements and views them with disdain. If administrative system alters its style of functioning and also its views, that is, from non-humanism to humanism, then civil service can be imaginative and creative and would lead to higher output of individual as well as the organization; thus, enabling civil servants to learn paves way to higher productivity. Learning process educates civil servants more about organizational processes and helps them to adjust to the environment. Besides understanding the dynamics of public personnel administration, civil servants would also contribute towards self-development which again helps in organizational efficiency and productivity. Individual development through the process of learning facilitates organizational efficiency, on one hand, and paves way for the development of civil service ethics, on the other. Thus, humanism is an important aspect in civil service and helps develop ethics for civil servants.

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AMERICAN EXPERIENCE Civil servants working under the executive branch of the government consider their official position as a ‘public trust’ to be utilized for ‘public welfare’. The citizens of America have a right to expect loyalty from civil servants towards the Constitution and ethical principles, rather than personal gains from the position of trust they hold. Ethical standards are above all for civil servants as they enhance people’s confidence and trust in public delivery system. To achieve this objective, the US government had formulated certain guidelines for its civil servants that have to be scrupulously adhered to. The important concepts to enhance ethical standards in civil service are as follows: •  Civil servants shall not utilize their position in public office for personal gain nor shall they act detrimentally to public interest. •  Civil servants shall act objectively during the course of administration and should not favour any individual or organization. •  Civil servants should not resort to such practices that would give an impression that their activities lower ethical standards of civil service. •  Civil servants should ensure that people have faith in the administration of the system and have confidence in the integrity of administrative processes and programmes.

Gifts Civil servants are restricted from accepting gifts from individuals and organizations outside the government. They are not allowed to accept gifts from certain sources having stake in the position of the civil servants in public service. The sources are individual and organizations who/which, •  Expect some official action from the offices of civil servants. •  Are in touch with civil servants regarding some business. •  Are regulated by civil servants’ office rules. •  Have personal interest that would be affected by either performance or nonperformance of civil servants’ official functions. The exceptions are as follows: •  Value of gifts is less than $20. •  Gifts on the basis of personal or familiar relationship.

Impartiality Civil servants are to perform their functions with objectivity and impartiality so that citizens can trust them and have faith and confidence in them. They should be careful about their activities and ensure that they do not benefit only a few individuals and organizations at the cost of others. The activities of civil servants should not be such that

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they raise questions of bias or partiality. The matters where personal gain could accrue to the individual or an organization could be contracts, grants, cases, permits, licenses, approvals and loans.

Financial Disclosures Senior as well as junior officers should make public, the assets and properties in their name and also in the name of other family members. ‘Public servants must report: •  Any interest in property held in a trade or business or for investment or the production of income (real estate, stocks, bonds, securities, futures contracts, beneficial interests in trusts or estates, pensions and annuities, mutual funds, etc.) that meet reporting thresholds. •  Earned income, retirement benefit, honoraria and any other non-investment income. •  Gifts and reimbursements that meet reporting thresholds. •  Liabilities (personal loans from certain family members, a mortgage on a personal residence, automobile, furniture and appliance loans, revolving charge accounts that do not exceed $10,000 at the close of the reporting period are excluded from reporting). •  Agreements or arrangements with respect to future employment, leave of absence and continuation of payments or benefits from a former employer. •  Outside positions such as an officer, director, trustee, general partner, proprietor, employee, consultant, etc. of any organization (but positions with religious, social, fraternal or political entities are excluded, as are solely honorary positions).’

INDIAN EXPERIENCE Indian civil service needs ethical and moral principles to be adhered to a greater extent compared to other developing countries. The reason being, India with its vast population needs an administrative system that can at least provide basic services to the people. In India, one finds the system of civil service plagued with innumerable problems. In fact, lack of ethics on the part of civil servants reflects in the ethical and moral standards of the society. It is not correct to blame only civil service as it is one of the components of the Indian society. The rot present in the society is a reflection of the functioning of civil service. The number of scandals, scams, corruption cases, bank frauds involving crores of rupees, should not only be attributed to the failure of civil service as an instrument to check the above-mentioned frauds. In fact, it is also the failure of the social system as a whole, which had failed to rectify the flaws in the legal system that had given rise to such incidents repeatedly. It is the failure of every citizen that they have not safeguarded their interests collectively.

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Regarding ethical framework of civil service, it cannot be said that civil service as a whole had failed in adhering to the standards of morality and ethics. It is true that ethics and morality of civil service are at the lowest ebb and the process of deregulation of Indian economy instead of weakening a bureaucrat’s hold on certain aspects has strengthened it. Civil service in India failed in adhering to ethical standards and had strengthened itself in connivance with political elements. The failure of vigilance units in every ministry/department in controlling corrupt practices of civil servants had made a mockery of ethical and moral standards. The huge money, property and bullions, seized during the raids by anti-corruption officers had astonished many. The puzzle being, although India ranks below average mark in the standard of living and human development, the huge wealth unearthed during the raids remains a mystery. Besides, Indian civil service had also failed in providing even basic administrative services to the people in need, particularly in rural areas. Civil servants feel that they are not the servants of the society but masters to ride on the shoulders of tax payers. The Indian civil service is plagued with the following malpractices: •  Nepotism •  Corruption •  Unresponsiveness •  Irresponsibility •  Unaccountability •  Administrative delays •  Lack of integrity •  Lack of professionalism •  Lack of dedication •  Lower productivity •  Secrecy Indian civil service should reorient its image and imbibe ethical and moral standards by performing its activities with greater dedication and discipline. Civil servants have to be accountable for ethical laxity on two fronts: first, administrative laxity which means that civil servants should be accountable for their acts of omissions and commissions. Second refers to the accountability of civil servants regarding private gains made by them in the process of implementing public policies. The Indian civil service, as stated earlier, should imbibe the following features to enhance its ethical grounds: •  Grievance redressal machinery at all levels. •  Decentralization of service delivery to make it more effective. •  Provision for participation of citizens and voluntary groups. •  Simplification of procedures and amendment of obsolete laws.

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•  Speedy punishment for erratic officials. •  Improving performance appraisal. •  Ombudsman for grievances of officials. •  Integrity during discharge of official functions. •  Impartial implementation of rule of law and getting rid of nepotism. •  Respect for constitutional ideals. Finally, it can be stated that civil service ethics is followed more in their breach under many governments all over the world. It is found that ethical framework of civil service all over the world has come down despite the fact that‑ civil servants are being watched more closely than ever before by citizens and voluntary groups. Failure of the anti-corruption machinery had bolstered the spirits of erratic officials. The ethical code is openly flouted and resources misused in developing countries like India and strangely many issues of ethical and moral norms are eventually forgotten by citizens and voluntary groups, paving way for more flouting of norms.

SU M M AR Y

  Ethics is an important factor in ensuring accountability of civil service in their activities.



  Civil servants should adhere to democratic norms during the implementation of the public policy.



  The employees of public and private organizations are almost equally bound regarding their function and responsibilities, whatever are their occupation.



  Civil service alone is not bound by ethics, as it is the responsibility of the society to cleanse itself and then expect ethical behaviour of civil servants.



  In the United States, civil servants are prohibited from receiving gifts and should disclose their finances, thus ensuring impartiality in the administration of their functions.



  Indian civil service should shun certain ills like nepotism, corruption, unresponsiveness and lack of integrity to ensure high ethical standards.

Endnotes 1.  Telford Taylor, The Ethics of Public Office (The Saturday Evening Post, 19 April 1960), p. 46. 2.  Oscar Glenn Stahl, Public Personnel Administration (New York: Harper and Row Publishers, 1962), p. 336.

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3.  U.S. Congress, Senate Committee on Labor and Public Welfare, Sub-committee on Ethical Standards, Ethical standards in Government, 82nd Cong., 1st sess., 1951, pp. 11–12. 4.  Quoted by Stahl, Public Personnel Administration, p. 337. 5.  George A. Graham, Morality in American Politics, (New York: Random House, 1952), p. 305. Senator Estes Kefauver has also observed: ‘Until the citizen’s own moral code prevents him from debasing himself by procuring corruption of public servants, the problem of corruption and morality in public life will remain very real and earnest’ (Annals of the American Academy of Political and Social Science, March 1952, p. 7). 6.  Stahl, Public Personnel Administration, p. 338.

Questions 1.  Discuss the characteristic features of ethics in public service. 2.  Civil service accountability and humanism in organization can ensure ethical standards. Comment. 3.  What are the ethical standards expected from civil servants in America? 4.  Discuss the problems that the Indian administrative system is plagued with. 5.  It is not only the civil service that should be bound by ethics; rather it is also the responsibility of the society. Discuss and give your viewpoint.

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5 Public Administration: Ethics and Virtues After reading this chapter, you will be conversant with: •  Origins of the concept of virtue •  Definitions of virtue •  A virtuous administrator

Introduction Public administration should be conducted on the lines of virtues and ethics. If a person is virtuous, it means they have good character. People with good character should be in positions of leadership in both public and private administration. Otherwise, there is a danger of systemic collapse or crisis of leadership. Administrators without virtue or character will destroy organizations. Possessing knowledge or expertise is not enough. If an administrator is crooked and also competent, then the organization will suffer in the long run. They have to adhere to some norms or values while discharging their responsibilities. What is required is both character and wisdom. Otherwise, it would lead to corruption and decay. An organization not based on values will be a disaster. Power should be utilized in an ethical manner. As Hart rightly states, ‘The widespread publicity about the costly ethical failures of organizational leaders during the last quarter of the 20th century gives evidence that our most critical problem is the scarcity of men and women of good character in the positions of significant leadership—whether public, private, educational or religious’.1 If the organization is based on strong ethical foundations, it will last long. Unless managers or administrators have good character, it is difficult to provide good administration beneficial to all. A corrupt administration is a bane to the society. Therefore, many scholars and practitioners in public administration and management are focusing

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their attention on administrative ethics. Another area which is gaining prominence is virtue ethics. As Terry Cooper rightly said, ‘Virtue or character traits that incline us toward ethical conduct, is also being recognized increasingly as an important personal attribute’.2 An organization should be principles-oriented and not rules-oriented.

ORIGINS OF THE CONCEPT OF VIRTUE The concept of virtue was in vogue even during the ancient period from the time of Socrates, Plato and Aristotle. Socrates said knowledge is virtue. Socrates argued that knowledge and virtue are closely related and no human being commits evil fully knowing well that it is evil. We do what we believe to be the best under the prevailing circumstances. A man of wisdom will be virtuous and he will commit no wrong. The important cardinal virtue, justice, is interpreted by different philosophers from the time of Plato. Plato’s justice is some sort of a functional specialization. It is the will to fulfil the duties of one’s station in life and not to meddle with the duties of another person. Therefore, every citizen has to perform his duty in his appointed place. It is the original principle, laid down at the foundation of the state, ‘that one man should practice one thing only and that the thing to which his nature was best adopted’.3 Therefore, true justice, according to Plato, consists in the principle of non-interference in the duties of others. The state has been considered by Plato as a perfect whole in which each individual, which is its element, functions not for itself but for the health of the whole. Aristotle argued that citizens should care for their fellow citizens and for the welfare of all. There is a moral obligation on the part of the rulers to transcend their narrow self-interest and view the society as a whole. A citizen has to love their community and their fellow citizens. Aristotle’s views on virtue explains virtue by first explaining what things are found in the soul. He says that the soul has three things—passions, faculties and states of character, and virtue must be one of these. Passions are things such as anger, fear, longing and joy. Faculties are the act of becoming angry and frightened. Finally, with the help of character we cope with those passions. An example of this can be made with the passion of anger. A person can either have excess or deficiency. This means that he can be a tyrant or passive. Aristotle then concludes that passion cannot be a virtue. According to Aristotle, happiness is found in performing virtuous activities. He said that virtuous action is necessarily a part and parcel of an ideal state and as such happiness is not found simply within the family or personally. On the contrary, it is found as part of a society. Therefore, rulers, instead of acting for themselves, should act for the good of others. ‘Practical wisdom is the only virtue peculiar to the ruler. Though the other [virtues] must likely be common to ruler and ruled, the virtue of the ruled is not practical wisdom but true opinion’. Roman stoics, who were also philosophers and statesmen tried to blend moral virtue with political obligation. A person who takes interest in the public good is alone considered virtuous. As Kramnick points out ‘Civic humanism (Virtue) conceives of man as a political being whose realization of self occurs only through active citizenship in a republic.

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The virtuous man is concerned primarily with the public good, re publica, or commonwealth, not with private selfish ends’. St. Thomas Aquinas introduced the concept of virtue ethics into Christian theology. Later in the age of Renaissance, the intellectuals, politicians and scholars took interest in virtue ethics. Adam Smith, the famous economist of the eighteenth century, was one of the greatest authorities who emphasized on the necessity of virtue for the good of the society. Virtue is essential for the establishment of an ideal economic and political system. Positions are structured so that they can be filled by anyone with the requisite training, and who can follow the functional rules laid down in the service manual. The same attitude exists concerning ethics, and thus administrative ethics has become synonymous with an ‘ethics of rules’ rather than ethics of character. The love of virtue is the best passion in human life. Thomas Kuhn and other scholars wanted administrative ethics to be fitted within a framework of a morality of rules, which are attached to organizational positions. Organizations should never allow themselves to be dependent on individuals. Unfortunately, virtue took a back seat in the nineteenth and twentieth centuries, in the backdrop of industrial and technological revolutions. New technologies created interest in political philosophers in techniques such as quantification and empiricism. With new developments in the field of behavioural sciences and growth of modern organizations such as the public corporation, departmental agencies and companies, political and moral philosophers turned their attention towards other ideas and ideals, neglecting the area virtue ethics. A simple science of morality, which can be quantified in all these aspects, came to dominate the scene. Virtue became an important factor in public administration at the Minnowbrook Conference in 1968. The point of origin was the Minnowbrook Conference where several scholars took interest in applying ethics of virtue in public administration. Important participants in the conference include Dwight Waldo and Paul Appleby, George Fredrickson, Ralph Chandler, Michael Harmon, Gary Wesley and others. Although all of them were not advocates of virtues, they acknowledged the fact that public administrators should have good character and the administrative system should be manned by people with character and integrity. Raymond Cox said that the new public administration scholars were critical of the traditional values in public administration such as efficiency, rationalism, amorality and pragmatism, because they were contributing factors to the social inequities of the time. Public administration must be based more on values to quell the social unrest. Values, virtues or ethics were made important components in public administration from the Minnowbrook Conference.

DEFINITIONS OF VIRTUE According to Samuel Johnson A Dictionary of English Language, virtue is defined as moral goodness or a particular moral excellence. It referred to qualities of character, rather than to obedience to moral rules. Virtue lays emphasis on the development of

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internal qualities of character; and only secondarily upon obedience to moral rules. It means ethics of good character. Virtue means conformity of life and conduct with the principles of morality. Those who advocate virtue believe that it is only through a life of virtue that persons can become good or fully human. St. Augustine said, ‘Virtue is the good quality of the soul by which we live rightly . . . not in pursuit of our various occupations but as human beings’.4 Virtues are beneficial characteristics that a human being should have for his own sake for discharging his responsibilities towards the society. They help in reinforcing the humanizing factor in public administration. Virtue helps an individual in realizing humanness to the full potential. Virtues help in fostering good interpersonal relations and realization of the organizational goals. They are more than psychological traits. There are different types of cardinal virtues. They are prudence, justice, fortitude and temperance. According to the Oxford English Dictionary, prudence means ‘Ability to discern the most suitable, politic or profitable course of action, especially as regards conduct, practical wisdom, discretion’. Justice means ‘The quality of being morally just or righteous; the principle of just dealing; the exhibition of this quality or principle in action; just conduct; integrity, and rectitude’. Fortune means ‘The moral strength or courage . . . unyielding courage in the endurance of pain or adversity’. Temperance means ‘The practice of restraining oneself in provocation, passion, desire, etc; rational self-restraint.’ If an administrator puts such cardinal principles into practice while discharging his duties, that administration would become ideal and the official a practical idealist. But, in reality, such principles are difficult to put into practice. But justice is a relative term, meaning different things to different people. For instance, the Nazis felt that justice means racial superiority over the Jews. If only the system treated the Jews in a just manner, justice prevailed in that society. However, some of the cardinal theorists added benevolence to cardinal virtues. A ruler or an administrator has to be benevolent while discharging his functions. Otherwise, he would become very unpopular. Hart reduced cardinal virtues into two, namely, eudaimonism and benevolence. According to the concept of eudaimonism, all individuals are born with unique potentialities and the purpose of life is to actualize them in the world. The potentialities are moral virtues and unique individual talents. It is associated with the psychology of self-actualization. Benevolence is a character that should be possessed by individuals, in general, and administrators, in particular. Benevolence means love of others. It is an essential feature for a society which is just or good. It is associated with the innate goodness, the helping nature among the rulers. If they have this quality, they will refrain themselves from harming the interests of a large number of people. The rulers will treat their subjects as their own children. The philosophers of virtue of the Scottish Enlightenment5 stressed the importance of benevolence. Without some form of benevolence, most of their aspirations for a good society in a democracy would be defeated.

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According to many virtue theorists, virtues are the only solid ethical foundation on which a strong social, economic or political system can be formed. With regard to administration, virtues should be the foundation of all ends, policies and practices. However, it does not mean that virtue alone is sufficient for administering a society on sound principles. Also a strong institutional base is required. Rulers should be backed up by well-designed institutions to implement their policies effectively. The Oxford Dictionary also describes virtue as some form of moral excellence. Virtue is found in the innate goodness of man. It is a special manifestation of the influence of moral principles in life and conduct. Moral virtues means that continuous efforts be made to achieve moral excellence that is essential for living a good life. According to the classical virtue theorists, an individual cannot be fully human unless he is virtuous. Human beings who are often described as homo economicus or homo faber can also be described as homo virtutis. David Norton uses the term ‘integrity’ for a virtuous and consummate life, which is characterized as the process of good living. Virtue means living the best life. There is a need to live the life of virtue as it is considered the best sort of life for human beings to live. Virtuists opine that there is quality added to human life from living virtuously, and thus work will be humanized. E. F. Schumacher states, ‘That soul-destroying, meaningless, mechanical, monotonous, moronic work is an insult to human nature which must necessarily and inevitably produce either escapism or aggression and that no amount of bread and circuses can compensate for the damage done’.6 Virtue should be the basis for all organizational theories and practices. And many problems can be solved. All organizations should try to provide both the framework and conditions to strengthen virtue. Given below is the summary of the virtue theory which has to be linked to administration. 1.  All individuals are born with an innate imperative to virtue. 2.  Virtue is necessary to be fully human. 3.  Cardinal virtues must be initially cultivated. 4.  Moral improvement strengthens the character of individuals in the society. If virtue is manifested in the character, it leads to a community of self-governing institutions.

Joining Excellence in Virtue with Excellence in Function According to the theory of virtuists, a candidate who aspires to be an administrator should have good character and also possess technical abilities. The main concern here is how to blend technical expertise and good qualities. The first principle in choosing a good leader should be based on his character first and then on his technical expertise. While good character is the most important qualification for any office, technical ability is also necessary if the organization has to function in an effective and robust way. Good character or good qualities are alone not sufficient

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for effective leadership or to occupy any particular position. Persons with saintly ­disposition seldom make good leaders. They should also have the requisite technical qualifications and also obedience from their subordinates. Even if a person is as saintly as Mother Teresa, they will not be qualified to become the director or chairman of a company ­dealing with technical subjects. A leader should have innate goodness, but that alone is not enough. For that matter, even Mahatma Gandhi would find it difficult to head a specialist organization. Character will prevent an individual from treading the wrong path but it will not bestow knowledge on the official concerned. They will only try to promote the overall general social welfare. A public administrator needs training. Virtue is one of the qualities that they should possess so that the organization would not suffer in the long run. The problem is depicted in a diagram as follows: A

B

V+

V–

F+

F–

V+

V–

F–

F+

Virtue (V) In the above diagram, F stands for functional expertise and V stands for virtue. The east-west dimension is the measure of functional expertise (F); The north-south dimension is the measure of virtue (V). For any organizational position, the rankings are done in the following way: the optimum individual would be Cell 1A (or V+F+); second best would be Cell 2A (or V+F–) third would be Cell 1B (or V–F+); the worst would be Cell 2B (V–F–) The reason for listing Cell lA as best is simple: they make better leaders. Based on the above criterion, American presidents can be classified in the manner given below.7 Cell 1A: George Washington, Thomas Jefferson, Abraham Lincoln and Harry Truman Cell 2A: Herbert Clark Hoover and Jimmy Carter Cell 1B : Lyndon Johnson and Richard Nixon Cell 2B: Warren G. Harding George Washington, Thomas Jefferson, Abraham Lincoln, Woodrow Wilson and Harry Truman were presidents who had functional expertise apart from virtuous qualities. Franklin D. Roosevelt was another president who had great leadership qualities, goodness and also was very popular among the people as he won the presidential election four times in a row from 1933 to 1945. John F. Kennedy was another popular president. No other president came close to their standards. In India, Pandit Jawaharlal Nehru possessed leadership qualities, charisma, innate goodness and virtue, and was highly literate. Though Indira Gandhi and Rajiv Gandhi did not have functional expertise, they were bold, effective and charismatic leaders. P. V. Narasimha Rao and Manmohan Singh were scholars and administrators who provided leadership in times of crises. They had a high degree of intellectual calibre which

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made up for deficiencies like lack of personal charisma or support of the masses. Lal Bahadur Shastri was a man of a high degree of personal integrity. He abided by the moral principles strictly while governing the country. Unfortunately, his term was cut short by his untimely death in Tashkent in 1966. Morarji Desai, Charan Singh, V. P. Singh, Chandrasekhar, H. D. Deve Gowda and I. K. Gujral were not given enough time to prove their mettle, although there were no corruption charges or charges of moral turpitude against them. Atal Bihari Vajpayee, although not an expert in any area of administration, was a morally upright and a virtuous prime minister who adhered to moderate and liberal views while running the government. He successfully governed for 6 years from 1998. India in a way can be considered fortunate, as elections over the years did not produce prime ministers who were bad in all respects. Had they been guided by parochial or narrow-minded considerations, the development and progress of the country would have retarded. According to Hart, even the American society was fortunate as the elections produce leaders with a high degree of intellectual calibre and leadership qualities. ‘The ideal for our society then would be a presidential contest between Washington and Jefferson, or Lincoln and Truman. Regardless of the outcome, all citizens would be winners. The same circumstances are true for any position of leadership, agency head, CEO, and dean’.8 The problem in every organization, whether public or private, is how to identify leaders with brilliant minds and virtuous qualities. For this, good character and technical expertise have to be developed side by side. There are some scholars who opine that it is difficult to teach the quality of virtue though technical expertise can be gained through training and experience. But this is not true. There are several instances in history to illustrate that virtue could be taught and learned. Though they could be taught, such methods to measure virtuous qualities were neglected. However, to measure intellectual capabilities, scholastic aptitude tests and graduate management aptitude tests were devised in the field of education. If two individuals will have to be evaluated at the time of promotion or during election, the issue of the character of the candidate has to be taken up. Yves Simon9 holds a detailed discussion on this issue by giving an example. It is a case of two students competing for one fellowship. The first student has average intelligence but has a strong will and virtuous. The second one is brilliant but with a disordered and has a weak will. Simon stated: On the basis of my own observations, I am inclined to favour the young man with a strong will over the one with a brilliant mind, which may well be by accident, so to speak. A brilliant mind at the mercy of an unstable will is something rather disquieting; the average intelligence supported by a disciplined will seems to me much more promising.10

Simon chose the student with a good character and strong will over the brilliant one because, in the long run, the student with strong good character has the chance of becoming a good philosopher, while the brilliant student may come under the influence of evil forces. Another important factor related to administrative ethics and virtue is good character versus intellectual brilliance. Among the two, which is more important?

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Character vs Intellectual Brilliance Experience gives enough indication that good or virtuous character is more reliable than intellectual brilliance while choosing persons for different jobs. By giving first preference to good character, recruiters can protect themselves in two ways. Firstly, the individual with a good character will not apply for posts for which they are not qualified. Therefore, we can avoid the problem that we created in contemporary organizational practice. The problem is making the leadership position available to the aggressive rather to the one with good character or technically competent. Secondly, the virtuous will not be easily moved or shifted by expediency. They will not deviate from their moral stance. However, it is also wrong to expect too much from the virtuous or people with innate goodness. They cannot deliver everything every time. Saints are few and far between. Choosing between the virtuous and the brilliant will continue to pose a problem for organizational leaders. However, studies indicate that it would be beneficial if the scale tilted in favour of the virtuous. George Orwell wrote, ‘Most people wish to be good, but not all of the time’.

A VIRTUOUS ADMINISTRATOR In modern organizations, administrator must be guided by the principles of virtue while taking organizational decisions. Virtue must become the central aspect of their character. This is not enough. Virtuous leaders should sponsor virtuous subordinates. Then, the system of checks and balances in America would become more effective. The fourth President of America, James Madison in one of the public meetings said that the people should have virtue and wisdom to select men of virtue and wisdom. Otherwise, there would be a setback in the system. Virtue and intelligence are the necessary prerequisites in any society so that there can be good governance. The people who elect leaders should have both virtue and intelligence or wisdom. If leaders of character are elected or selected, then there is some guarantee that they would not abuse power. During his time, in the United States, Madison understood that virtue is necessary to prevent the specialists in government from misusing their positions. Virtue is the common bond that ties organizational members. The members must have trust in one another. Virtue will act as a moderating force on the division of labour, whether vertical or horizontal, and will provide guarantee against the tyranny of expertise. Therefore, virtuous administrators are the need of the hour as they are aware of the moral obligation to promote virtue among themselves and their subordinates. However, they should never try to enforce virtue by using force. Officials must voluntarily accept virtue as a guiding force in their daily activities. Then corruption could be minimized or even weeded out. Training programmes should be devised for teaching virtue from the earliest ages and follow that up with policies, programmes and practices. This is one way to strengthen virtue among the officials. Here, it is pertinent to recall the words of David Hume, ‘General virtue and good morals in a state, which are so requisite to happiness, can never arise from the most refined precepts of philosophy, or even the severest injunctions of religion; but must proceed entirely from the virtuous education of youth, the effect of wise laws and institutions’.11

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The Civil Service Code of Ethics in the United Kingdom In the United Kingdom, the civil servants are the servants of the Crown. They have to assist the duly elected government with integrity, honesty, impartiality and objectivity. They should take into consideration the political complexion in formulating policies. They are accountable to the minister who is in charge of the department. Concluding the discussion, it can be stated that in the modern era, virtue is making an impressive comeback and administrative ethics is beginning to receive a lot of attention. But it is at a very early stage in the area of administrative theory and practice. The concept has received a lot of support in the field of public administration and slowing picking up in business administration. It has been found that most of the people are receptive to the ideas of virtue. However, it must be remembered that virtue will not make much impact on organizational life if the higher levels of leadership do not put it into practice. As early as in 1906, George Sorel wrote, ‘People of the higher classes have always considered that they had less need of moral discipline than their subordinates’.12 Leaders of all hues, whether elected, nominated or head of agencies or industries or university presidents, take ethical commitments for granted, forgetting the fact that ethics are very essential for running an organization successfully. The ethics of virtue is extremely demanding, because it requires individuals to intentionally shape the moral character around virtue. However, there is a problem in incorporating ethics of virtue as it is opposed to orthodoxy management. First, virtue does not allow for any compromise of its basic principles, while management orthodoxy views ethics as instrumental to organizations. Second, virtue requires serious study and thought. Third, while virtue gives prominence to human lives over organizational success, management orthodoxy is just the opposite. Organization is more important in management orthodoxy. Therefore, if the paradigm of administrative virtue is accepted, then the paradigm of orthodox management has to be given up. According to Thomas Kuhn, though such paradigmatic shifts are not easy, they are essential for progress. In America, orthodox management practices led to many types of crises in industries during the 1980s. Therefore, some important corrective measures had to be taken to stem the rot. Describing the American situation, Edward Deming rightly said, ‘The basic cause of sickness in American industry . . . . is the failure of top management to manage.’ Adding further to this statement, Hart said, ‘And, I would add, to manage virtuously’.13 Experience of managing industries badly made top officials of the management to give a serious thought to ethics and they thought of incorporating ethics of virtue as the foundation upon which all management principles are practised. It has been argued that among all the ethical systems, the ethics of virtue is the most congenial to human nature. Therefore, those who believe in the ethics of virtue must persuade leaders, practitioners and theorists to take up the concept of virtue seriously and implement them in the practice of management. Taking into consideration the challenges that confront the nations in the twenty-first century, it is pertinent to recall the words of Cicero, the ideal man of virtue in ancient Greece. He said, ‘But those whom Nature has endowed with the capacity for administrating public affairs should put aside all hesitation, enter the race for public office, and take a hand in directing the government; for in no other way can

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a government be administered or greatness of spirit be made manifest’ Administrators have to be virtuous if there has to be a good public administrative system in the country. Virtue should be made part and parcel of public administration. In her essay on the ‘Role of Ethics in Public Administration,’ Alka Dhameja argues for an updation to the notion of ethics to suit to the contemporary politico-economic setting. Outdated service and conduct rules have to be suitably amended.

SUMMARY

  Public administration should be conducted on the lines of virtue and ethics. If a person is virtuous, it means they have good character. People with good character should be in positions of leadership in both public and private administration. Otherwise, there is a danger of systemic collapse or crisis of leadership.



  If the organization is based on strong ethical foundations, it will last long. Unless the managers or the administrators have good character, it is difficult to provide good administration, beneficial to all.



  The origins of the concept of virtue can be traced back to ancient times. According to Plato, justice is based on functional specialization. Each official should perform their duty only and not interfere in other people’s affairs. This is the trait of a virtuous ruler. Aristotle said that the hallmark of virtue is according to the dictates of reason and not passion.



  The Roman stoics, who were also philosophers and statesmen, tried to blend moral virtue with political obligation. A person who takes interest in public good is alone considered virtuous.



  Thomas Kuhn and other scholars wanted administrative ethics to be fitted within a framework of a morality of rules, which are attached to organizational positions.



  According to many virtue theorists, virtues are the only solid ethical foundation on which a strong social, economic or political system can be formed. With regard to administration, virtues should be the foundation of all ends, policies and practices.



  Virtue became an important factor in public administration at the Minnowbrook Conference in 1968, where scholars and practitioners of public administration advocated for making public administration more value-oriented.



  Organizations should be principles-oriented than rules-oriented.



  When it comes to intellectual brilliance and virtue while running public administration, the latter should gain an upper hand if the character of the state has to be preserved.



  The ethics of virtue is extremely demanding, because it requires individuals to intentionally shape moral character around virtue.

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E n d n o t es 1.  David Kirkwood Hart, Administration and ethics of virtue in Handbook of Administrative Ethics , Terry L. Cooper (ed.) (New York, NY: Marcel Decker, Inc., 1994), p. 107. 2.  Ibid. 3.  Bhandari, D.R., Plato’s Conception of Justice—An Analysis (J.N.V. University, 2005), accessed 8 February 2005. 4.  Hart, Administration and the Ethics of Virtue p. 111. 5.  Ibid., p. 113. 6.  Ibid., p. 107. 7.  Ibid., p. 118. 8.  Ibid., p. 111. 9.  Ibid., p. 118. 10.  Ibid., p. 119. 11.  Ibid., p. 120. 12.  Ibid., p. 120. 13.  Ibid., p. 121.

Q u es t i o n s 1.  Discuss the origin and various aspects (definitions) of the concept of virtue. 2.  What principle do you expect from virtuous administrators? 3.  The ethics of virtue is extremely demanding? Elaborate this concept.

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6 The Social Ethos and Administrative Ethics After reading this chapter, you will be conversant with: •  Ethical crisis in public administration •  Enforcement of ethics in public agencies •  Social ethos and administrative ethics •  Benefits to public administrators •  Benefits to community

Introduction The ecological approach to the study of public administration emphasizes that external environment influences every administrative institution. The external environment in which it thrives may include social, cultural, political and economic elements. All these elements may influence the institution of public administration individually as well as collectively. Therefore, it can be stated that all administrative practices and processes are the by-product of social ethos surrounding the administrative system. In fact, the institution of public administration should be understood in the context of its social ethos, particularly the administrative ethics. As the ethical standard of every public administrative system is directly dependent on the social behaviour of people with which it interacts, administrative ethics cannot be separated from social ethos. Without any proper relationship between people and public administrators, it is difficult to expect that public administration to deliver goods and services. Without any connection with the people, the public administrators would place their personal judgements above their professional ethics leading to crisis in public administration.

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ETHICAL CRISIS IN PUBLIC ADMINISTRATION The general public believes that the public administrators have no credibility, as they do not stand on ethical grounds. In most of the cases, civil servants have failed to take ethical stand on issues concerning public welfare. The situation is so worse that public administration is being termed as a group of individuals who are power-hungry and money-minded. The condition is further worsened as the voting citizens are considered as apathetic, uncommitted and uninterested in the public affairs. Such a state of affairs has led to mutual mistrust between public administrators and public, leading to an ethical crisis in the process of governance. It is a crisis as individuals who are supposed to trust and cooperate with each other, do not see eye to eye. Opinion polls bring out the discontent of the people towards public administration as it is steeped in controversies, scandals and scams. According to the people, it is a betrayal of the faith and trust reposed in public administration. Therefore, citizens in most of the cases are on the path of withdrawal from the public affairs, which is a serious threat to the ethical stand of public administration. After globalization, the general public’s trust in the civil service, which was already at a low ebb, further sunk. It is true that globalization has offered many opportunities to the people with liberalization in trade and services. However, globalization has also paved the way for privatization of certain services, which were hitherto under the tight control of the government agencies. Globalization has compelled the governments to allow the entry of private entrepreneurs in those services, which were exclusively provided by the government. The private entrepreneurs with their enterprising qualities soon proved to be a tough mettle for the government agencies, which enjoyed protection. The entry of private entrepreneurs in certain services has allowed citizens to compare the quality of goods and services provided by the government and private entrepreneurs. They have realized that for all these days, the government agencies did not provide quality services in spite of taking high taxes, whereas private entrepreneurs provided qualitative and standard services to citizens. Therefore, the trust reposed by the agencies of public administration has dwindled further after globalization. It is true that citizens are apathetic towards public affairs and they have questioned the very rationale of the existence of public administration as an instrument welfare administration. The concomitant question is, whether public administration is making an attempt to reform itself to ward of the criticism levelled against it or not. Tragically, the public administrator’s response to such a crisis is to resort to damage control measures. They explain the existing flaws due to which some violation has taken place. They spin stories and resort to ‘shifting the blame game’ to escape from the wrath of the general public. The response of the public administration educators has been different as they treat ethics as an individual problem. Such an individualistic approach to analyze the problems of administrative ethics is not appropriate to study it from a general framework. Many teachers of public administration encourage their students to evaluate the ethical standing of a policy in a given set of conditions. Most of the students are provided some case studies and examples, and asked to deduct some logical conclusions and offer solutions. Even the

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courses pertaining to ethics are designed in such a manner that they deal with the definition of ethics from a narrow perspective, personal dilemmas and conflict of interest. Such an individualistic orientation of ethical training programme leaves public administrators with little scope to understand the administrative ethics from a larger perspective. Therefore, ethical crisis in public administration can be better tackled if it is understood in the context of the entire society rather than an individual administrator. If the ethical problems of public administration are studied from the perspective of community, then it becomes easy to communicate the social ethos to public administrators. Rather than concentrating on the evaluation of the administrative activities from ethical perspective, efforts should be made to link the social ethos with public administration ethics. The link provides the transfer of social values, beliefs and ethics, into public administration, which in turn influences the decisions of public administrators. It is a beneficial relationship for both citizens and public administrators. Public administrators should create a congenial environment in the process of governance. They should allow citizens to learn more about the process of public administration and pave the way for decision-making regarding public issues. At the same time, citizens should show willingness to become a part of democratic governance. Any institution based on democratic governance will foster an ethos of public good and also enhance the ethical stature of public administrators.

ENFORCEMENT OF ETHICS IN PUBLIC AGENCIES In most of the public offices, it is found that conventional methods of enforcing ethics can only halt the problem to a limited extent. Another dimension that is added to corruption in government is the problem in tracking. Nevertheless, efforts are made from time to time to improve the techniques pertaining to detection of corruption. To a large extent, vigilance agencies have succeeded in finding out the sources of ethical degradation and corruption. However, the culprits formulate new ways of corruption, which are difficult to be traced with the existing techniques. For example, the role of media has increased in public affairs in unearthing scandals and cases of corruption. The media is highlighting even a small error or laxity on the part of public administrators. Even then, the number of cases pertaining to corruption and malpractices has increased over a period of time. Even though the corrupt officers are caught by enforcement agencies, the ethical crisis continues to haunt public administration all over the world. Public administration lacks a universal framework to apply for erring civil servants. For example, in the United States, there is the Ethic of Government Act of 1978, the Code of Ethics of American Society for Public Administration (ASPA), the Code of Ethics of the International City Management Association and others. The ASPA code of ethics is as follows: •  Serve the public interest. •  Respect the constitution and the law.

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•  Demonstrate personal integrity. •  Promote ethical organizations. •  Strive for professional excellence. In the same manner, conduct rules, legal provisions and constitutional provisions govern the civil servants conduct in India. Each set of code emphasizes a different element, making it difficult to find out the content of the administrative ethics. The civil servants in India are regulated by the following conduct rules: •  All India Services (Conduct) Rules, 1968 •  All India Services (Classification, Control and Appeal) Rules, 1969 •  Central Civil Services (Conduct) Rules, 1964 •  Central Civil Services (Classification, Control and Appeal) Rules, 1965 •  Railway Servants (Conduct) Rules, 1966 It is true that numerous laws and regulations regulate the ethical conduct of political executives and civil servants. However, on certain occasions, it is difficult to find a precedent or appropriate law, which defines the individual behaviour with a given set of condition. For instance, it is difficult to clearly state whether the relationship between the former US President Bill Clinton and Monica Lewinsky was ethical or unethical. Another instance being whether civil servants in India should follow the dictates of the political executive if they are against the law or disobey them. In such cases, there is no law, which clarifies the position of the political executive and the civil servant. It should be remembered that there is no whistleblower act in India, to protect the interests of the whistleblowers. Therefore, in most of the cases, the administrators fall in the line of the dictates of the political executives leaving little choice to the former.

SOCIAL ETHOS AND ADMINISTRATIVE ETHICS Many organizations such as NGOs and religious organizations claim that they adhere to the socio-cultural ethos found in the society. However, the government agencies cannot make such a claim as they find it difficult to establish a link with the social ethos, which itself shows the existing gap between public administration and general public. ‘Public administration and public policy have forgotten that often what is called public administration or public policy is really nothing more than the administration of the public, or a policy for the public. The ordering of the words of the field is important; it denotes that the primary focus should be on the public, rather than on administration or policy.’1 It is increasingly realized that the relationship between the general public and public administration is hazy and unstructured. The relationship is flimsy and weak, which provides the public administrators a free hand to follow their own preferred policy; conveniently ignoring the ethical dimensions and citizen concerns. Devoid of ethical dimensions and political content, the institutions of public administration have become hollow. As the institution of public administration grows, the need for greater and stronger

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relationships also grows. The citizens too have recognized such a need. They feel that as their dependence is increasing on government bodies, public administrators should become accountable to them. Therefore, public administrators should recognize the fact that there is a necessity for establishing a relationship with the community for ensuring the transfer of social values and beliefs into the administrative system. If such a relationship already exists, then it should be strengthened for enhancing administrative ethics. However, there are certain obstructions that have to be addressed for linking social ethos and administrative ethics. They are as follows: Private decision-making: The professional public administration has secrecy as one of the important attributes that thwarts the linkage of social ethos and administrative ethics. The administrators take most of the government decisions behind closed doors. Therefore, there is little or no scope for citizens to influence decisions ethically. Even at the stage of setting of agenda, there is no scope for discussion, as bureaucracies do not encourage frank discussions. In fact, public administrators prefer to function in private which provides more autonomy and freedom to them. Even if the citizen’s views are not taken into consideration, they feel satisfied that the government has enlisted their views in the process of policy formulation. Instead of limiting the role of people to expression of views, wider opportunities should be given to them. Such participation would enhance trust between public administrators and the public. It is believed that a positive and collaborative civic culture will lead to the establishment of community decision-making on a more constructive scale. The decisions, which are made after discussing with the public groups are different from the ones, which are made privately by public administrators. The discussion with public not only paves the way for analyzing the decision from different angles but also increases the ethical content of such decisions. The discussion with the public brings out various alternatives available to the public administrator and also facilitates the development of evaluation tools. Public decision-making puts administrators on high alert, as they should defend their decisions with valid proof and specific reasons rather than on guesswork. However, in most of the cases, public administrators do not discuss any decision with the public. The reasons normally put forward are it prevents their freedom and autonomy in the process of decision-making. If too many people are involved in the process of decision-making and if the decision is to be reviewed by too many people, then it is a near impossibility of reaching a decision itself. A closed-door decision-making process is normally devoid of administrative ethics and social ethos. Had there been more transparency and participation in the process of decision-making, many malpractices could have been reduced. The technological processes: The technological processes have complicated the matters pertaining to public administration. Public administrators need to possess the knowledge pertaining to areas such as microeconomics, statistical analysis, taxation and financial analysis. With the onset of information technology, public administrators are compelled to learn other set of new items and their implications. Instead of using technology as a tool to deliver goods and services efficiently to the public, the administrators have

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used to sustain their hold on the government processes. In the hands of the bureaucracy, technology has become technocracy. Technocracy is only being used to frustrate the interests of the citizens and desist them from participating in the process of governance. As technology as a process of conducting government affairs has been recognized, it pervaded almost all the levels of public administration. Therefore, the bureaucratic administration became technocratic administration, which effectively thwarted the citizen participation in the process of governance. Value assumptions: Public administrators can increase the ethical content in their decisions by giving adequate representation to the general public. However, it is easier said than done. The opening of decision-making process to the general public with a view to increase the ethical content is fraught with some dangers. During such processes, it is not only the decision that will be discussed, but the ethical stand on which the decision is based will also come under scrutiny. In fact, such a process opens up a Pandora’s box. Thus, questions pertaining to ethics would pour leading to never-ending sessions of discussion and stalemate in decisionmaking. For example, if any state government intends to impose prohibition on liquor and opens a public debate, it will find two groups: who are for and against such a move. Individuals who support the imposition of prohibition will insist that it is ethical on the part of the government to impose prohibition to safeguard the lives and earnings of the poorer sections of the society. Hence, the decision to impose prohibition is appropriate. At the same time, individuals who oppose prohibition may argue that the intrusion of a democratic government into the lives of the people is not only unwelcome but also unethical. Thus, they oppose the decision pertaining to prohibition.

BENEFITS TO PUBLIC ADMINISTRATORS The linkage of social ethos and administrative ethics offers a plethora of opportunities and benefits to public administrators. In fact, such a linkage strengthens the hands of administrators to a large extent, as that would facilitate the passage of social ethos into public administration. Once public administration is brim with social ethos, then the ethical stature of public administrators would increase as they make only such decisions, which are in tune with the public welfare. Public administrators are in the best position to initiate measures pertaining to the establishment of those institutions, which allow citizens to express their opinions and views. For example, the police department can ask citizens to fix priorities with regard to policing in a neighbourhood. Once the police understand the genuine needs and priorities of the people, it would be able to deliver goods and services effectively and efficiently. In the same manner, if public administrators facilitate people’s participation in the process of decision-making, the ethical content of such decisions will increase. This is particularly true regarding developing countries like India, where there is a wide gap between administrators and the people. If such gap can be bridged to some extent, social ethos enters into the process of decision-making.

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The Government of India was sincere in its attempts to devolve some powers and functions to local bodies so as to ensure people’s participation in the process of governance. The Panchayati Raj bodies were created to enlist the participation of people in the process of decision-making for facilitating faster development. Although such an experiment failed to enlist people’s participation, the government did not yield as it passed the 73rd and 70th constitutional amendments Acts. Constantly deliberating public issues with the general public provides a platform for public administrators to learn new things and thereby make an ethical transformation. Taking part in the process of decision-making with the general public enhances their capacity and role as citizens. The interaction with the people establishes within public administrators a connection between social ethos and their own conduct in the office. According to Terry L. Cooper, the role of public administrator will better serve the purposes of democratic government if it is viewed that public administrators themselves are considered first, as citizens in their own communities, who are entrusted and obligated to use their expertise on behalf of their fellow citizen, and for the good of the community. At the same time, administrators are safe by establishing a connection between social ethos and administrative ethics. By establishing such a link, administrators discuss, deliberate all decisions with the general public, and naturally social values are reflected in those decisions. Such a connection also saves public administrators from disgrace and criticism of the people in case if things do not get well at the field level. Therefore, such an approach, establishing a connection between social ethos and administrative ethic, is a handy tool for public administrators to enhance the ethical content of decisions. Administrators are relieved from enforcing ethics in public administration as such an activity is taken care of by the community by their active participation in the process of decision-making.

BENEFITS TO COMMUNITY The connection between social ethos and administrative ethics not only benefits public administrators but also benefits the community as a whole. The democratic institutions created by public administrators facilitate citizens to strengthen their community sense. It should be mentioned that such community sense is already prevalent among many people. What the democratic governance does is that, it leads to growth and changes the social beliefs and values for the betterment from time to time. The quality of goods and services provided by public administration depends on the qualitative participation of citizens. If the citizen’s participation is really good, then public administrators get activated and make citizen-centric decisions. The Government of India made attempts to strengthen the community feeling by initiating programmes like Community Development Projects in the year 1952. However, the programme did not succeed and was a failure. Therefore, the government appointed a committee under the chairmanship of Balwant Rai Mehta to enquire into the circumstances in which the programme collapsed and suggest suitable measures. The committee found that

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the major drawback of the project was the lack of people’s participation. Therefore, the committee suggested a three-tier panchayati raj to enlist people’s participation. However, the government’s efforts to enlist people’s participation too failed. Nevertheless, the government did not yield. It passed the 73rd and 74th constitutional amendment acts, which are considered as the renaissance of the local government at rural and urban level. The acts are intended to ensure people’s participation in the process of decisionmaking in rural and urban local governments, respectively. It is historic, in the sense that it provides a platform to the people to participate in the process of decision-making on a continuous basis. Such a facility was hitherto available to them intermittently. It is ethical in the sense that it enables the people to voice their genuine concerns democratically and also paves the way for the entry of social ethos into the process of decision-making. It also has another ethical dimension as the women, considered to be the ‘second grade citizens’ have been allocated one-third of the seats in local bodies. It is ethical, in the sense that the entry of women into local bodies paves the way for voicing their concerns regarding the development and advancement of women. Therefore, it can be stated that the 73rd and 74th constitutional amendments are ethical in many aspects. The democratic governance, which facilitates people’s participation in the process of decision-making, offers many other benefits to the community. They are as follows: •  Tolerance: Democratic governance in which citizens are allowed to participate in the process of governance promotes a kind of reconciliation between different groups. Different groups holding diverse opinion come together and discuss issues that impinge on the community welfare. Conflicts are resolved democratically, which enhances the community feeling as well as trust in members of the community. Therefore, it can be stated that democratic governance increases tolerance among the members of the community. •  Quality of Life: The participation of citizens in the process of decision-making enhances the quality of goods and services provided by public administration. It promotes communication of people’s views to the government in a most peaceful manner. Therefore, administration increases the quality of the goods and services to be delivered to citizens. •  Good Opinion: All those individuals who participate in the process of decisionmaking feel good about public administration. They feel that public administration is responsive to the needs of citizens, and hence possesses high trustworthiness among citizens. Therefore, it can be stated that participation of people in democratic governance not only enhances the image of public administration but also increases the efficiency of public administration in the delivery of goods and services. Public administrators should not think that citizen’s participation reduces their power, but think that they enhance the ethical content of the decisions. Finally, it can be stated that there is a strong relationship between social ethos and administrative ethics. They are mutually interdependent as both influence each other. However, to a large extent, the social ethos, which can bring public administrator and

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citizen closer to each other, did not enter into public administration. The net result is that public administration is devoid of any positive social ethos, which can raise the ethical standards in public administration. Ethical standards in public administration can be increased if people, for whom the decisions are made, participate in the process of decision-making. Therefore, it is an urgent necessity that public administrators create congenial environment, which paves the way for citizens participation in the process of governance and thereby the ethical standards of public administration are increased.

SUMMARY

  Ethical standards of every public administrative system are directly dependent on the social behaviour of people with which it interacts; therefore, it is difficult to separate administrative ethics from social ethos.



  The institution of public administration is in the midst of ethical crisis as it has lost credibility in the eyes of the common man.



  Public administration is entangled with the problem of lack of a universal framework to apply for erring civil servants.



  There are certain obstructions that have to be addressed for linking social ethos and administrative ethics like private decision-making, technocracy and value assumptions.



  Public administrators stand benefited if they facilitate citizen’s participation, as they would be saved from public criticism if things go wrong and they increase the ethical content in their decisions.



  The society too benefits from this participation as they would become tolerant and receive better services from public administrators.

Endnote 1.  Curtis Ventriss. 1991. ‘Contemporary Issues in American Public Administration Education: The Search for an Educational Focus’, Public Administration Review, 54(4): pp. 4–14.

Q u es t i o n s 1. Public administration is facing an ethical crisis. What measures would you suggest to tackle it? 2. Discuss the relationship between social ethics and administrative ethics. A viable relationship is beneficial for both public administrators and society.

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7 The Ethics of Citizenship After reading this chapter, you will be conversant with: •  Citizenship as status and practice •  Citizenship and public administration •  Ethical guidelines based on citizenship values •  Future of citizenship ethics

Introduction The history of citizenship is as old as the rise of city-states to the modern day representative democracies. Although, during the days of city-states, the term ‘citizenship’ was not strictly defined, efforts were made to identify individuals belonging to other city-states. It was the same case with certain kingdoms in ancient India. Kautilya made a reference to the functioning of municipal administration of Pataliputra, which was governed by six boards. One of the boards looked after the registration of entry of foreigners into the kingdom. Although such references are few, one can state that some efforts were indeed made to distinguish the local residents from others for security purposes. Thus, it can be stated that some sort of citizenship, although not in modern day sense, existed even in the ancient days, which definitely influenced the course of ethics in public administration. With the onset of modern era, the relationship between the state and the citizen underwent a drastic change. Citizenship meant a formal relationship between the state and citizens and both owing some responsibility towards each other. Such a relationship had significant impact on administrative institutions. In the present chapter, an attempt is made to elaborate the relationship between the values of citizenship and organizational efficiency.

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CITIZENSHIP AS STATUS AND PRACTICE The term ‘citizenship’ primarily denotes the formal relationship between the ­individual and the state. Such a relationship is based on mutual trust, respect and obligation towards each other. Citizenship also implies the enjoyment of certain rights by individuals as ordained by the supreme law of the land, that is, the Constitution. For example, the citizens of the United States enjoy certain rights on the basis of the Bill of Rights of the US Constitution. In the same manner, the citizens of India enjoy certain fundamental rights as enshrined in Part III of the Indian Constitution. It does not mean that the individuals who do not possess citizenship do not have freedom or do not enjoy the rights. They do enjoy rights on a limited scale compared to individuals enjoying the status of citizenship. In the parlance of public administration and political science, such distinction is referred to as weak and strong citizenship based on the opportunities and obligations on the part of individuals. Whatever be the distinction between those individuals enjoying and those who do not enjoy citizenship; the ethical implications and values are more important to public administration rather than the formal relationship between the state and citizens. The ethical implications attached to the activities of citizens are more obvious compared to formal rights. Legal rights and forms pave the way for certain tangible practices on the part of citizens. Such practices give essential shape and content to the role of citizens in public affairs. Legal and moral issues: Citizenship has raised not only legal issues but ethical issues as well. Therefore, the legal status of the citizens should not be set aside as it involves certain ethical issues also; in fact, legal and moral issues are closely intertwined. For example, women were denied the right to vote in the United States, although in technical sense women were also citizens. Therefore, it can be stated that the United States has scuttled its own ideals of freedom and liberty, when the women and blacks were deprived of the right to vote. In the same manner, the blacks were denied the right to take part in political activities in the past. In India also legal and moral issues are intertwined regarding citizenship. For example, the influx of refugees into India from Bangladesh has created legal and ethical problems for the government. As the government cannot send them back to their native place as ethical considerations come in the way; at the same time, the government cannot continue their ‘refugee st atus’ for a long time. Therefore, those refugees should be provided citizenship status, which enables them to participate in political processes. In the same manner, the issue of citizenship was mired in the quagmire of legal and ethical tangles in the city of Mumbai; when a demand was made by a political party to send refugees to their own country. Political and economic issues: Another dimension is also found regarding the status of citizenship in most of the countries. It is found that the notion of citizenship is limited to political sphere only and social and economic realms are conveniently forgotten or sidelined by political philosophers. Every individual is at liberty to earn as much as possible on the basis of his talents and opportunities resulting in social and economic

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inequalities. Rights given to the political bodies are used to amass wealth. Therefore, it can be stated that even though one finds the existence of political equality, one cannot state emphatically that economic rights too exist. Thus, in most of the cases, there is constant tension between political rights and economic rights. However, in the process of policy formulation and policy implementation, both influence each other to a large extent. Political decisions influence the economy, market conditions, economic liberties of the citizens and so on. At the same time, economic conditions also influence the priorities of political arena including the conditions under which the rights of citizenship are exercised. For example, the Government of India initiated measures pertaining to liberalization and privatization of the economy, which drastically changed the nature of Indian economy. In this context, it can be stated that political decisions have influenced economic conditions. In the same manner, the government is also influenced by the prevailing socio-economic conditions. For example, the Government of India formulates policies for the betterment of living conditions of the people, who are downtrodden. It is not only the issue of socio-economic conditions, which are involved in political and economic dimensions of the government; the issue of citizenship also influences the political decisions of the government. For example, the Government of India provides grants to the state of Jammu and Kashmir liberally, so that the citizens who reside in that state do not feel alienated from the mainstream of Indian government and identify themselves with other extremist groups. Therefore, citizenship as a status is caught up in ethical issues. First, the notion of citizenship is entangled in legal definition, which throws some ethical questions. Second, the limiting of citizenship to political realm, and excluding it from socio-economic realm has posed ethical issues.

CITIZENSHIP AND PUBLIC ADMINISTRATION Early systematic efforts to prune the administrative systems began in the nineteenth century, which continued till the beginning of the twentieth century. Reformers intended to rescue the administrative apparatus from the clutches of the political system and put forward the politics administration dichotomy. Such efforts were successful to a large extent as some governments made efforts to prune their civil service systems. The United States passed the Pendleton Act, 1983, to make the institution of public administration efficient and effective in the delivery of goods and services. In the same manner, the British government introduced merit system for selection of its civil servants during the regime of Gladstone. In India, merit-based civil service came into existence in the year 1853, when the Macaulay Committee suggested open competitive examination for selection of civil servants. All such efforts were made to ensure that only competent men entered civil service. The role of citizenry in good government: One of the important elements of the reform was efficient citizenship. The efficient citizenship was assumed to bring in good and

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responsive administration. If the people are enlightened and knowledgeable they can understand the causes of problems and help to install a good government. In fact, it is considered that educated citizenry constitutes a vital element of the administrative reform process. If citizens know what their government is doing, then it becomes easy for them to judge its performance. Eminent citizens, whose activities were directly influenced by the policies of the government, take keen and personal interest in the government’s activities. However, the perception of utility of citizens to the institution of public administration did not continue for a long time. The advent of scientific management inculcated the element of professionalism in the civil service and the role of citizens towards good government was minimized. Although Herbert Simon raised hopes through his behavioural approach, soon such hopes were grounded as the role of citizenship for good government fell into disuse. The main reasons are as follows: •  The role of citizenship for such maligning of citizenship in the improvement of civil service was that their role in civil service could not be quantified systematically. •  Civil servants considered the active role of citizens in the administrative affairs as an obstacle. •  Civil servants did not like the idea of an active citizenry, as that would make public administration for its acts of omission and commission. All such problems weakened the status of the citizen vis-à-vis the institution of public administration. Revival of citizenry: The idea of active citizenry as a tool to improve the process of governance did not die out completely. It resurfaced again in the 1980s with more vigour than in the past. The main reason for such vigour was that political representatives were neck deep in scandals and malpractices, and failure of the civil servants to respond to the problems of the common man. The administrative machinery had to justify its existence to citizens. The scholars of public administration supported the cause of citizens by writing extensively on the need for taking citizen’s views into consideration while formulating policies. In his article, The Recovery of Civism in Public Administration, Frederickson argued that the institutions of public administration are in trouble. He suggested that the public administration should be tied to citizenry for delivering of goods and services effectively and efficiently. He gave a call for renewed attention to citizens in the following words: The process of restoring support and legitimacy to government will require ­responding to citizen’s concerns and needs. For public administration, both in practice and in education, this will mean a return on an emphasis on the public aspects of the field and to the basic issues of democratic theory. If public administration is to be effective, persons who practice it must be increasingly be familiar with issues of both representational and direct democracy, with citizen participation, with principles of justice, and principles of individual freedom. Likewise, if there is to be a restoration of government effectiveness and legitimacy, the citizenry, will need to be significantly more conversant with these issues.1

In the year 1983, a conference was held on the theme of citizenship and public service. Many ­scholars emphasized that one of the important functions of public administration is

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to educate citizens. It is also their responsibility to make ­public administration ­interesting to citizens. In the same conference, an interesting dimension was added to citizenry and ethics. The notion that was added was that public administrators are also citizens. As citizens they should strive towards the development of ethics. The ethical obligations of public administrators are derived from the ethical obligations of citizenship found in the society. As citizens they should promote horizontal relationships among the people and seek ‘power with’ rather than ‘power over’ citizens. Thus, it can be stated that civil servants should use their expertise on behalf of the citizens and ensure that they function under the gaze of citizen sovereignty.

ETHICAL GUIDELINES BASED ON CITIZENSHIP VALUES Ethical guidelines based on citizenship values are the ones which act as guidelines to public administrators for improving the efficiency of the public administration. They are as follows: •  Judgement: One of the key elements of citizenship practice is that they should be able to judge the performance of the government and also make attempts to hold public offices for the larger benefit of the people. There are certain instances, which prove that citizens played an important role in the formulation of policies, particularly in the assembly of ancient Athens. Such an active participation was the distinguishing factor between a ‘citizen’ and an ordinary ‘subject’. The subject enjoys all natural rights and undertakes all activities towards the accomplishment of his personal desires. The scholars who advocate citizenship ethics in public administration emphasize a non-hierarchical and non-elitist attitude on the part of the public administrators. This is particularly regarding the application of discretionary powers possessed by public administrators. The basic idea behind such a stance is that all the citizens are equal and enjoy same powers regarding decision-making. They have similar rights to express their views and be heard on the same scale as that of public administrators. Instead of a chain-of-command approach, public administrators should adopt a collaborative approach. It is generally believed that hierarchical chain-of-command creates ethical problems by promoting inequality; non-rational decisions based more on technical aspects rather than community needs and so on. Horizontal relationship with citizens paves the way for smooth interaction between public administration and citizens as the former is made to look to the latter for guidance. The observations of M. P. Follet are appropriate in this context. ‘Power involves a collaborative integration of desires among participants in a decision-making process, instead of a quest for dominance by some. It grows out of circular behavior in which participants have a genuine opportunity to influence each other. . . Information, judgment, and advice flow back and forth around the circle of political authority’. (1991, 140) Such power is ethically necessary for improving the status of public administration. Civil servants should be made ethically responsible for making people

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to participate in the government processes. Participation improves the delivery of goods and services to citizens. Public administrators should be obliged to provide information regarding their activities so that citizens get an opportunity to express their views. In pursuance of it, many governments have passed necessary legislations for providing information to the people. For example, the Freedom of the Press Act was adopted in 1949 by Sweden, which means the right to disseminate information in printed form, but with accountability before the law. Another feature of the Freedom of the Press Act is citizens right to study public documents, the principle of public access to official documents. The main objective of the act is ‘To encourage the free exchange of opinion and availability of comprehensive information, every Swedish citizen shall be entitled to have free access to official documents’. In the same manner, the Government of India passed the Freedom of Information Bill, 2002, to provide for freedom to every citizen to secure access to information under the control of public authorities. Such an act is intended to promote openness, transparency and accountability in public administration. •  Public Good or Public Interest: An active citizen has lot of concern for the public good rather than private good. He can deliberate what is good and what is bad for the community. As decisions of the government are binding on every individual, it is necessary that such decisions are made for the public good rather than personal good of a few individuals. The concept of ‘public good’ is replaced by the concept of ‘public interest’ as numerous interests’ conflict with each other. Nevertheless, if public administration considers citizenship as an ethical guide in administrative processes, then the genuine public interest will be kept above all other issues such as politics and parochialism. The argument put forward by the scholars of public administration is that the civil servant should be a good citizen first. It is the fundamental obligation of the bureaucrat. From such obligation flows professional obligation and are shaped by ethical code of the profession. Gradually, civil servants adopt wisdom for formulating policies in the best interest of the society and strive to attain the highest ethical values. Public administrators should broaden their thinking by making revisions to their citizenship ethics. They should allow more freedom and flexibility for citizens to take part in the administrative processes. They should constantly strive towards interacting with a large section of people with a view to enable them to participate in the process of governance. If the administrator is successful to some extent to involve the public in the governance process, public interest will be accomplished to a large extent. Scholars have identified the problem of public administrators while giving primacy to the citizenship ethics as administrators are also bound by professional ethics. The solution for such problem is that the administrator should not make expertise and efficiency as the guiding principles of public administration. At the most, they should be considered as ‘good practices’, which guide the actions of the public

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administrator. The administrator should broaden his moral obligation towards the citizens and the beacon light should be ‘public good’ or ‘public interest’. •  Citizenship as Education: There is a general perception that the participation of citizens in public affairs strengthens their capacity to understand different aspects of public administration. It also leads to increase in the number of activities pertaining to public interest. Therefore, the advocates of citizenship ethics in public administration call upon public administrators to educate citizens. It is necessary that the knowledge of the citizenry should be enhanced so as to make them understand public affairs. Education of public affairs develops the skill and competencies of citizens, which are essential for effective public governance. Once they know the processes of governance, it becomes easy for citizens to develop their capacities and participate in the process of governance. Although it is not possible for citizens to participate in the process of governance directly, they should not miss out opportunities to express their views on government policies and also suggest alternative policies. The participation of the citizens can be enhanced if they are provided with education for knowing the principles of free government rather than things, which are of little value to them. Government practices and processes should be able to educate the role of citizens in the functioning of the government at least on a moderate scale. If citizens participate in governance along with public administrators, rather than simply petitioning bureaucrats, they may develop to make wise decisions and judgements. •  Community Sense: The role of community is considered as important as it is an integral element of citizenship ethic for public administration and also shapes the idea of active citizenship. In the past, particularly in city-states, such community sense was conspicuous as the number of people was limited. Therefore, the people could develop personal and interactive relationships. Such relationships were based on the sense of belongingness, even though divergence of opinion existed. A community sense makes the concept of citizenship active as it paves the way for increased interaction and development of horizontal relationships. Reconstruction of community is the most important task to be accomplished by governments all over the world. It is termed as ‘recovery of civism’. According to the scholars of public administration, it is the moral responsibility of public administrators to contribute towards the rebuilding of community for the accomplishment of larger objectives of public interest. Two notions of community play a significant role in citizenship for public administration: First, community in the sense of social contract and group processes is the fundamental source of establishing horizontal authority relationships. If collaborators create a common union and bond, then citizenship becomes a kind of group dynamics consisting of friends and equals. Therefore, public administrators need to readjust and reconstruct the social contract between them and citizens so as to improve the mutual relationship between them.

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Second, the public administrator is supposed to take into consideration the existence of community of communities. For example, if public administrators enter into public–private participation, then they should take into consideration not only the participants of the programme but also all organizations which would be influenced by the programme such as public bodies, quasi-public bodies, ­non-profit organizations, profit organizations and so on. It can be stated that it is the moral responsibility of public administrators to enlist the support and participation of the entire community. Citizenship ethics necessitates that public administrators need to act as citizens and ensure that they exercise power with the citizens, take into consideration ­public interest, educate citizens regarding the government practices and have an overall picture of the community while formulating the policies and programmes.

FUTURE OF CITIZENSHIP ETHICS The public administration literature offers certain ethical guidelines based on citizenship values such as developing horizontal relationships, ensuring public interest, educating citizens and promoting community sense among people. All such guidelines are intended to promote efficiency in public administration. Scholars have been constantly trying to find in what direction the scope of citizenship ethics would expand in the future. They have identified the following areas: •  Inclusion: The scholars of public administration have found that there is some discrepancy between theory and practice regarding citizenship ethics. In the past, some groups of citizens were consistently excluded from the national mainstream for some reason or the other. Therefore, in every country although the status of citizenship was given to every individual in theory; some sections of the society were excluded from the national mainstream. Such excluded persons or groups were no doubt citizens, but were denied of certain privileges. For example, in the United States, every woman was considered as a citizen, but they were not allowed to vote until the year 1920. Added to it, the blacks in the United States did not get enough opportunities to participate in the national mainstream in the past. In fact, they were not even given the status of citizenship, although they struggled with others in the economic development of the country. In the same manner, some sections of the people of India are deprived of equality status, even though they enjoy citizenship. This is particularly true in some rural areas in India, where some downtrodden sections of the society are subjected to harassment and exploitation by other sections of the society. Even the Constitution of India has provided citizenship and right to equality, they are more often violated than practised. Added to it, there are many other illustrations, which show how some sections of the people are excluded from the national mainstream in India. For example, in India, a good chunk of citizens are deprived of their constitutional right in some

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states where the hands of mafia, terrorists and naxalites are strong. In the State of Bihar, Andhra Pradesh, Chattisgarh and others, the naxalites openly threaten the people to boycott elections, and thus exclude some sections of the people in participating in the political process. Besides, corruption has become a way of life in India and has made the life of citizens miserable. Almost every public office in India has achieved the notoriety of indulging in malpractices and corruption. Public administrators are openly demanding money from citizens. Citizens who can pay the money are able to receive services and those citizens who are unable to pay the money fail to receive services from public offices. Thus, one finds the exclusion of some sections of the society from receiving services from public offices. Therefore, according to citizenship ethics, it is the responsibility of public administrators to ensure that all those sections of the society, whether based on religion, race, sex, language or any other factors should be subjected to exclusion from the national mainstream. Every effort should be made by the public administrator to ensure that the entire citizenry is included in the process of governance. It is the responsibility of public administrators to bring down the physical, psychological and technological barriers to ensure that no section of citizens is excluded from the process of governance in specific and national stream, in general. The gap between public administrators and citizens should be reduced so as to make public administration accessible to citizens on a friendly basis. They should open all the available channels to enlist the views of the people for improving administrative efficiency. It is through such channels citizen’s ethics can be known and the face and heart of public administration can be changed for the betterment. •  Decision-making: Every welfare-oriented government formulates policies for the welfare of the people during normal times and also crises hours. For example, the federal government in the United States initiated the New Deal; the Government of India initiated many developmental programmes like IRDP, Antyodaya and others, to improve the living conditions of the people. Every public administrator takes some decisions according the broad guidelines provided by the executive. It is here that the citizenship ethics comes into existence. It is true that the scholars of public administration have made some references, to the problem of decisionmaking from the perspective of citizenship ethics. However, it needs a detailed analysis as it had tremendous impact on the delivery of goods and services. Very often, civil servants are confronted with the dilemma of whether to stick or bypass the rules. In most of the cases, civil servants adhere to rules. However, strict adherence to rules and regulations limits the effectiveness of public administration in the delivery of goods and services to citizens. Under such circumstances, civil servants bypass rules and regulations for the betterment of the citizens. It is here that the discretion of the public administrator comes into existence. He has to decide which rules should be adhered to and which rules should be bypassed for the larger interests of the society. The decision of the civil servant assumes importance as he is confronted with the professional loyalty and concern

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for citizen’s welfare. He is under moral dilemma as to which side should be given priority, professional loyalty or citizen’s welfare. It is true that involving citizenship ethics in decision-making is fraught with some problems such as the entry of bias in decision-making and conflict with practical problems. Nevertheless, there are some techniques for integrating citizenship ethics into the process of decision-making. They are as follows: •  Every public administrator should be guided by an ethical code of conduct while making decisions. •  The public administrator should be given adequate amount of freedom to pursue the larger interests of the society. •  They should be allowed to take all such decisions, which lead to improving the living conditions of the people. •  Public administrators should be trained in such a manner that they should understand the moral implications of every decision. Therefore, it can be stated that it is the responsibility of public administrators to take into consideration the citizenship ethics while making decisions. As every decision impinges on the lives of people, it is necessary that the public administrator look into the process of decision-making from ethical perspective. The public administrator should scrutinize every decision from different quarters so as to ensure that the values of citizenship ethics are adhered to in the process of governance. In conclusion, it can be stated that every public activity has certain ethical implications for both public administrators and the citizens. Public administrators have some responsibilities vis-à-vis citizens. It is the responsibility of the public administrators to ensure that every public activity takes into consideration certain values pertaining to citizenship ethics. The public administrator should think from the perspective of the citizen, as he himself is the citizen first and then a public administrator. Such attitude on the part of civil servants not only enhances their citizenship ethics but also enhances citizen’s awareness about ethics.

SUMMARY

  The term ‘citizenship’ primarily denotes the formal relationship between the individual and the state. Such a relationship is based on mutual trust, respect and obligation towards each other.



  Citizenship has raised not only legal issues but also ethical issues. Therefore, the legal status of citizens should not be set aside as it also involves certain ethical issues.



  One of the important elements of the reform was ‘efficient citizenship’. Efficient citizenship was assumed to bring in good and responsive administration. If the

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people are enlightened and knowledgeable, they can understand the causes of the problems and help to install a good government.

  Ethical guidelines based on citizenship values are the ones which act as guidelines to public administrators for improving the efficiency of the public administration. They are judgements, public interests, education to citizens and community sense.

Endnote 1.  As quoted in A Handbook of Administrative Ethics, (ed.) p. 443

Q u es t i o n s 2.  Define the meaning of citizenship. Discuss the role of citizens in the public affairs. 3.  Citizenship has raised not only legal issues but also ethical issues. Discuss the concept. 4.  Efficient citizenship can bring in good and responsive administration. In the light of the above definition, discuss the future of citizenship ethics.

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8 Public Service Ethics in Different Countries After reading this chapter, you will be conversant with: • Ethical dimensions in Australia • Ethics in Canada • Civil service ethics in England • Ethical dimensions in France • Ethics in the United States

Introduction In all countries, civil servants have significant discretionary powers which can be used by them creatively to implement policies of the party that is in power. Such discretionary powers have to be used in accordance with ethics in the interests of good governance. Though the issue of ethics is the same in most of the countries, there are however, subtle differences as to how they are perceived and implemented in various countries depending upon the nature of the political climate. We have to compare the pattern of administrative ethics prevailing in other countries so that it gives a better understanding of the pattern prevailing in our own country. In this chapter, we shall discuss the pattern of development in administrative ethics in Australia, Canada, France, Britain and the United States to know how ethics are practised by the respective governments of those countries.

ETHICAL DIMENSIONS IN AUSTRALIA The purpose is to know the main initiatives taken by the Australian government to promote ethics in public services and thereby ushering in an era of good governance. What are the issues of public policy that are relevant to administrative ethics? Also

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to review the main analytical frameworks which are emerging as policy analysts attempt to help governments evaluate and improve ethics in government programmes. There is a growing enthusiasm within governments to formulate programmes relating to ethics, although there is disagreement regarding policy over the place of ethics. Some say that public policy is more important than ethics. Like many constitutions in the world, the Australian Constitution is more useful in restraining official powers than in promoting public responsibility. The Australian case study on administrative ethics is quite interesting as it describes the way in which liberal democratic regimes occasionally face public policy challenges. It tells us the challenges faced by the government, while implementing public policies. There is a nagging doubt in the minds of the people about the real intentions of the government. There is a growing feeling among the Australians that they should come out of the colonial mindset. Australia is not yet completely free from the remnants of British colonialism and the traces of British constitutionalism are still found, especially the conventions of official subservience to executive power. The political institutions in Australian Commonwealth, which are more than 100 years old, need to change according to the changing socio-political and economic conditions. Their relevance to the changing times has to be reassessed. Debates are going on in the Australian social circles regarding the appropriateness of including a programme of ethics for public officials. Conditions in Australia are changing quite rapidly. The tone runs from the legal definition of ethics to confrontations over accountability among competing political institutions, finally to acknowledgments of systematic corruption in government, reflecting in no small measure the regime’s criminal origins as a convict colony. During the early 1980s, it was Hughes who brought out a pioneering survey of administrative ethics in Australia, focusing mainly on the financial interests with ethical guidance. During the end of the 1980s, Wiltshire published his survey on different major institutions stating that many of the key institutions in Australia served an ethical and not a legal purpose by establishing community standards by which official behaviour is judged. The political system of Australia contains within it negative features such as the secrecy of the British system and the spoils system found in American political culture. The Australian public agencies were characterized by disregarding procedures and thus there was an increase in tensions between the vocation of the public service and the norms of business management.1 Administration is a political component within a larger social and economic framework. It has a bias towards system maintenance. Administrative ethics should cover all consequences of bureaucratic power for the enhancement of morality in public life.

Three Perspectives of Ethics Ethics can be viewed from three different angles. In other words, there are three perspectives on ethics in administration in Australia. The three perspectives in this set of foundational reports are complementary to each other. They are as follows.

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Ethics as It is Conflicting Loyalties: There are conflicting interests and loyalties among political parties or pressure groups. For example, the case of New South Wales—The government in New South Wales established the Independent Commission Against Corruption (ICAC) in 1989 to initiate steps against fraud and misconduct among government officials. Nick Greiner, the prime minister of New South Wales promised to establish an ICAC body to combat corruption. He had a clean image and introduced a wide range of programmes pertaining to ethics in government as the bureaucratic system was becoming rusty and outdated. He wanted to make it more responsive and efficient. However, though he enjoyed the image of ‘Mr Clean’ Greiner was declared corrupt by the ICAC for his actions. His opponents alleged that he offered bribe to his former senior colleague who became his worst critic later and he wanted to buy his silence by offering a job. Though the ICAC cleared him of the bribery charges, he was still found to be corrupt in terms of the ICAC Bribery Act. It was found that the appointment was not done on merits but on other political considerations. But the ICAC did not make any legal recommendations for his prosecution and left the matter to the Parliament to decide. It stated in its report that there is reasonable grounds for the prime minister’s dismissal. Greiner resigned as prime minister, and another leader was elected in his place. The ICAC was quite careful in distinguishing appointments based on merits to careerbased public service from those to government service. The public employment statute makes an important distinction between the official status of agency heads and the rest of the career public service. The prime minister had offered an appointment in the senior executive service spanning the highest grades in the career service. All merit systems face challenges from the executive pressures and challenges from the executive. At the state level, Australia abolished all the personal boards to recruit, creating dilemmas and uncertainty at the centre, public service chiefs have to balance the ethical dilemmas associated with their competing institutional obligation. Bleakest prospects of ethical administration exist in Australia in public services, despite all the anti-corruption initiatives. Politicians were highly critical of the ICAC’s findings. They raised a hue and cry over the body for overstepping its jurisdiction. They considered it as some kind of a bureaucratic monster, which turned against its own creator. The ICAC had strictly implemented the provisions of the ICAC Act. After a few months, the state judiciary struck down the ruling of the ICAC on the minister which expressed doubts over the ICAC’s findings. The ICAC law stipulated that in conducting inquiries into corruption, the Commission must satisfy itself that the partial actions are of sufficient magnitude that, according to the Act, they could constitute a criminal offence, or a disciplinary offence or constitute a reasonable grounds for dismissal. Public officials in Australia and several other countries, face an ethical dilemma of properly adjusting their obligations to their ministers, the prime minister and the statutory obligations to protect his professional public service ethics. The debate of ethics in administration will not end with the ICAC report. Even long after it has been buried and forgotten, the debate over ethics in administration will continue to haunt the government and the public alike. Therefore, the government has to frame a policy and set up

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regulating agencies which are entrusted with the task of examining and auditing ethics involved in the discretionary use of power by officials. In other words, whether officials adhere to ethical principles or not while discharging their duties. But, such a constitutional body suffers from credibility and that is why, the Australian government has begun to inject a greater degree of professionalism with codes of ethics into all the three branches of government to enhance ethical standards in public life. Ethics as a Public Trust: The second perspective is to view ethics as some kind of public trust. To promote the trust or faith in the government, certain steps have to be taken by the government. In Queensland, the government has taken bold policy measures to strengthen ethics in Australian public services. Similarly, in New South Wales, the conservative government, which came to power, established the ICAC. In Queensland, steps had to be taken to combat fraud and corruption in public life. The Electoral and Administrative Review Commission (EARC) was set up to advise government on the best policies that have to be applied for rebuilding public confidence in the government. The EARC made recommendations to the government on a wide range or public policy issues and wanted model laws to implement the proposals. In 1992, it appointed a code of conduct for public officials and it was the main contribution of EARC to ethics in government, and it was different from early traditional approaches to regulate public life. There is an urgent need for administrative ethics in this period because administrative discretion has become inevitable in the process of public policy and there may be a tendency among the officials to misuse the authority. It was not convinced of the view that officials were only neutral instruments of the government, with no independent role in formulating and implementing public policies. The view that they should be completely loyal to the ministers was not accepted. There should be a duty of trusteeship among them. However, the mere articulation of public trust is not enough because there is no settled view of ethical standards. It can be said that the EARC was successful when compared to other bodies which tried to define moral responsibilities. It could chart out a new path by attempting to define the process framework of obligations of public accountability through which officials define the process of ethical framework. In the parliamentary form of governance, conflicts are bound to arise between civil servants and ministers or between the public and private loyalties of the public officials. The EARC explored the ethics arena in various dimensions. It also went through the example of the Queensland’s Creighton Case of the 1950s. Creighton, who was instrumental in getting his cabinet colleague removed was himself removed from office by the unicameral state Parliament in support of the government’s motion because he had displayed disloyalty to official cabinet authority. The EARC generalized a systematic defect in Australian constitutionalism. There were no checks and balances under the political fiction that public officials can and should act as neutral, technocratic instruments, unbiased by value distractions relating to their wider public interest obligations. It felt that there was no need to be absolutely neutral and values should also be taken into consideration. The EARC felt that a constitutional body has to be created to regulate ethics in public services.

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It has to accept the fact that public offices are positions of public trust which involve a balance of policy responsibilities and process accountabilities. Basing on this premise, a solution to the problem has to be found. In the exercise of their powers, officials use their discretion to some extent. They can also exercise power over public policy through their administrative discretion in advising, implementing and evaluating government programmes. While several ethics regimes attempted to specify the values to which public administration system should comply, the EARC in its approach turns away from the principles of motivation to that of public justification. It implies that there are certain ethical values which are acceptable for civil servants. Those values have to pass the tests of justification. If a public official has to be ethical, he has to pass the tests of public justification as the Constitution requires the structures of accountability. There is also an apprehension that if ethics is understood in this manner, it would reduce administrative morality to compliance with the endless demands of the agents of accountability for more and more information about administrative process, regardless of whether the public interest is being served by programme management. Ethics as Good Management Codes: The third view is looking upon ethics as a code of conduct for government employees. The government formulates a code for regulating ethical life of it employees. There is room for ethics in Australian public services and it follows a specific format. Ethics are regulated by an agency set up by a public management statute, in which the core principles are incorporated. It is specifically stated in the statute that merits should be the sole criterion for appointment in public services. This statutory body should ensure that a code of conduct or professional ethics is given for all services. What is the place of ethics in the legal framework of the public services? First, there is a Public Service Act, which exists ‘to constitute public service for the efficient, equitable and proper conduct, in accordance with sound management practices of the public administration of the Australian government.’ Before the substitution of a single commissioner for the former very powerful three-person board in 1987, the Act specified that the central agency should effect economies and promote efficiency. During the 1980s, there was devolution of powers with lessening of central controls and some agencies were set up to advise the government on significant issues of public management. They include a Management Advisory Board (MAB), to act as a service forum and advise government on significant issues of public management. An exclusive Merit Protection Review Agency was set up to look into issues of discrimination in employment, and a Public Service Commission to coordinate training activities at the senior and middle management levels. The body of public service regulations is something of a patchwork of evolving standards, and covers such matters as official duties, conflicts of interests, legitimate workrelated benefits, undue influence and various employment obligations. A Guidelines on Official Conduct of Commonwealth Public Servants was drafted in 1987 and it was published by the Public Service Board after getting endorsement by the apex employer— the union advisory body, a joint council of staff and management was set up under the Public Service Act. These guidelines were framed to ensure that standards are maintained in the public services and make sure that the officers serve the government with

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fairness, equity, professionalism and integrity. These guidelines are like codes of conduct for government officials. The guidelines recognize the fact that the officials are part of the political system and that the standards of conduct are affected by their political role. The guidelines state that bureaucrats should provide honest and frank advice to the ministers. Officials have to ensure in their conduct ‘Fairness in decision-making and equity in programmed administration’.2 Fairness means observing the rules of natural justice equity and they should avoid conflict of interests. Common ethical problems are those that are associated with the use of official resources, conflicts of interests, gifts and benefits, post-employment jobs and public comment. The administrative service has published a code of ethics specifying the do’s and don’ts for officials. The guidelines do not advocate neutralism for civil servants. It is perfectly legitimate for civil servants to have personal values but these values should be in tune with the government’s policy. The official has to properly balance values with the policy enunciated by the government and has to convince the ministers about it. Official acts should be the result of a compromise and conflict between different perspective, interests and values.3 The officials should keep in mind the principle of social equity while discharging their functions and also the principle of fairness. Fairness means that officials have to observe the principles of natural justice. Equity means that the official should use his discretionary powers to ensure that the general or common good prevails over personal or selfish interests. They should try to balance a wide range of objectives keeping the societal interest in mind. They should not side with the rich at the expense of the poor. Their actions should be publicly justifiable. The guidelines state that professionalism among the civil servants should be enhanced and this can be done if the government servants perform their duties with skill, care, diligence and impartiality. Ethics as Accountability: Ethics have to be introduced in government to make it more accountable to the public. The Australian Commonwealth Government’s Management Advisory Board has published the ethics of accountability in its accountability in the Commonwealth Public Sector—an exposure draft. The 1991 report focuses on accountability arrangements within public services, how accountability is ensured in the public service or how it should be ensured. The political executive has delegated many powers to public services, though it retains the responsibility for the exercise of those powers. In its report, the MAB said that officials are accountable to their superiors for the proper exercise of tasks that have been devolved or delegated to them. Officials are not accountable for policy decisions (including those affecting programme effectiveness) where they have no delegated authority. Quoting the federal government’s Guidelines for Official Witnesses before parliamentary committees, it stated that officials have to provide information on requests from the Parliament by helping the ministers in providing factual and technical information regarding a public policy while they answer questions in the Parliament. The bureaucracy is accountable to the community as a whole. Accountability is exercised by the bureaucracy to the community through the Parliament, which is the primary arena of public accountability. The Parliament should be the legitimate forum to test the integrity of officials and ministers. The Westminster’s model of ministerial responsibility was modified and the accountability agenda now

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includes a direct administrative accountability to the parliament for the policy, and for ethical effects of programme implementation. The Australian government appointed a commission under the chairmanship of Dr. Herbert Cole Coombs to examine the Australian administration and make necessary recommendations on how to include ethics in administration. The Coombs Report (1976) on the Australian government administration stated that there should balance between the external accountability mechanisms and renewed attention to internal sources of responsibility such as professionalism in public management, including training in ethics in the component of public management. It defined the core political concepts of the Australian system of government and identified the constitutional place and formal responsibility of officials. It wanted the Westminster model of ministerial responsibility to be modified. It said that ministers and officials share executive powers over policy and administration and despite ministerial reluctance to be responsible for administration, officials should be responsible for their share of executive powers. The report advocated for policy guidelines on the appropriate practical response of public officials to parliamentary committees—guidelines designed to clarify the existing convention supporting answers to questions on matters of fact though not in an irresponsible manner or with unchecked independence. It said that sometimes, situations demand that officials should express their frank views on policy matters. It wanted that accountability should ultimately lead to the Parliament. According to Coombs, there should be four main institutional components of administrative responsibility, they are: two inner checks of administrative responsibility and two outer or external checks of public accountability. The internal institutions are: •  Code of ethics for professional self-regulation. •  The ethics components in management training and guidelines for official conduct. The external checks are: •  Parliamentary review bodies. •  Other forms of administrative review of administrative decisions or a new form of Australian administrative law. Coomb wanted an accountable management. He advocated for management guidelines and training in ethics as a component of public management, along with a meritsbased external review of administration.4 Senior officials have to be good managers with a sense of constitutional and ethical awareness and they should be able to make policy judgements, apart from being competent. The future of administrative ethics in Australia rests with the outcome of the political tussle between the line of retreat into neutrality represented by the MAB and the vulnerability represented by the two parliamentary committees. Also, it may be possible that the public service system can itself come up with a solution along with professional ethics. But there is no simple or easy solution in sight for the problems of ethics in Australian public administration.

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ETHICS IN CANADA In Canada, the parliamentary system is governed by the Constitution Act of 1982 which replaced the British North America Act of 1867. During the 1990s, Canada faced a constitutional crisis and under such political climate, civil servants could not look up to the constitution for normative guidance. Apart from the constitutional crisis, the Canadians could not expect any guidance on ethical or normative issues because Canada’s Constitution until 1982 did not have any Bill of Rights. In the Constitution Act of 1982, a Charter of Rights and Freedoms were incorporated in which individual and group rights were extensively discussed. For the Canadian public officials, the constitution has become not a symbol of unity but a sign of contradiction. Recent studies indicated that civil servants presently enjoy better pay and working conditions than their counterparts in the United States. In 1980, there was a criticism against the federal civil servants that they violated the ethical standards of political neutrality by giving a call to citizens to give a negative vote to a sovereignty referendum. The referendum was defeated. Two noted Canadian political scientists, Ian Greene and Andrew Stark brought to light the issues of conflict of interests and constitutional law and government structure. Conflict of interests undermines impartial decision-making by ministers and civil servants. For example, a decision-maker cannot be perceived as impartial if they could derive a specific financial benefit from the decision. If the principle of rule of law is strictly applied, then decisions can be taken in an unbiased or impartial manner. But there are certain difficulties in implementing this law. Their practical application is highly complicated because principles like rule of law, fairness and unbiased decision-making do not mean the same thing to all officials. There is a strong belief that judges in their action show strict standards of impartiality than the elected legislators if representative democracy has to survive and function successfully. According to Greene, there are three types of bias in official decision-making. They are: 1.  Bias influenced by financial gain while taking decisions. 2.  Bias created by the decision-maker’s efforts to help persons with whom he is closely associated. 3.  Bias created by the decision-maker’s previously expressed views on the subject matter before him. Ministers should not take decisions to further their personal interests. While the first and third types are quite clear and can easily be implemented, it is the second type that is difficult to implement. According to Greene, a large number of the conflict of interests involve the Canadian ministers showing favouritism towards political allies. It is very difficult to draw a line separating permissible from impermissible conduct. This rule cannot be strictly implemented because of the fact that in any democratic society, there should be room to reward political allies of those who are in power. On the other hand, if the rule is too lax, the rule of law gets diluted.

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Greene argued that there could be some progress if those who deal with the conflict-of-interests rules should keep in mind, the constitutional principle of the rule of law. Fairness and impartial decisions are corollaries of the principle of the rule of law. Ministerial behaviour will improve only if ministers have a clearer idea of why certain actions are prohibited by conflict-of-interest rules and if these rules themselves reflect more precisely the constitutional principles on which they stand.

CIVIL SERVICE ETHICS IN ENGLAND The relationship between ethics and constitutionalism in the United Kingdom is different from that of the United States. In Britain, the constitution is unwritten and it follows on conventions and traditions. There are many documents with several unwritten conventions taken from the British constitution. Common principles of law expressed in important judicial decisions provide another written source of the British Constitution. In the United Kingdom, the fundamental constitutional principle of British public administration is based on the principle of ministerial responsibility. The principle of ministerial responsibility means that the minister is legally responsible to the Parliament and to the Crown for their official acts. Every act of the minister is brought under the supremacy of the law of the land. Civil servants are servants of the Crown. In general, executive powers of the Crown are exercised by and on the advice of Her Majesty’s ministers, who are in turn answerable to the Parliament. The civil services as such has no constitutional personality or responsibility separate from the duly elected government of the day. The British civil servants play a very important role in governing their country. An active role for civil servants in governance is ill at ease with the traditional constitutional norms of British public administration and this for two reasons. An example of ethics in administration related to the case of Clive Ponting, the senior civil servant in the ministry of defence at that time. During the Falklands war of 1982, the HMS Conqueror, a nuclear power submarine of the royal Navy sank the Argentine Cruiser, General Belgrano, which resulted in the death of 368 Argentine sailors. This took place at a time when the United States and the Peruvian governments were negotiating to find a peaceful settlement but the sinking of the ship dashed their hopes to the grounds and war became inevitable. However, opposition members in the Parliament questioned the government on the actual circumstances that led to the sinking of Belgrano. To know whether the attack was in consistent with the Navy Rules of Engagement, that were in vogue at that time. The government could not provide a satisfactory answer. The official replies were inconsistent and confused. The opposition members were convinced that the ship was never within the total exclusive zone. There was no truth in the claim that Belgrano was on its way to attack the Royal Navy. In fact, it was on its way home to Argentina.

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There was a conflict between the secretary of state for defence Micheal Haseltine and the civil servant Clive Ponting. In was a conflict between ministerial responsibility and civil servant’s anonymity. It threw light on ethics of civil service neutrality and anonymity. Clive Ponting realized that the Defence Secretary Micheal Haseltine was deliberately misleading the House about the consequences that led to the sinking of Belgrano. He stated, ‘I had never come across anything so blatant in my fifteen years in the Civil Service. It was a deliberate attempt to conceal information which would reveal that Ministers had gravely mislead Parliament for the previous two years’.6 On 24 April 1984, he took the decisive action of anonymously leaking information to Tam Dalyiell, a Labour MP who had been very aggressive in challenging the government’s claim over the Belgian affair. Further, he stated, ‘All my instincts after fifteen years in the Civil Service told me that my loyalty was to Ministers and the department. But, then I realized that Ministers had broken their side of the bargaining attempting to evade their responsibilities to Parliament. If they could just simply shrug off their duties, refuse to answer questions, give misleading answers or refuse to correct false statements to Parliament, how could there be any effective control over what the government did?’ In the end, ministers had to be responsible to the Parliament. Otherwise, the whole British constitutional system would break down. In this case, the civil servant, Ponting, wanted to alert the Parliament to the fact that ministers were shirking their ministerial responsibilities. He began to leak unclassified but crucial documents to the member of Parliament of the Labour Party. He was identified as the source of the leak, arrested and prosecuted under the Official Secrets Act of 1911. He claimed that it was in the interests of the state that he leaked the information pertaining to defence. If interests of the state meant interests of the government of the day, there was no way that Ponting could escape punishment. However, after a deliberation, the jury found Ponting not guilty and this decision sent shockwaves throughout Whitehall. The ruling party members including Mr. Haseltine expressed fears over the civil servant leaking important information to the opposition that the most trusted civil servants, in the most secure parts of our defense establishments, should be free anonymously to draft questions for Opposition back benchers to submit to Ministers on which the self-same leaking civil servants may then brief ministers on the answers which they consider appropriate. The principle of ministerial responsibility and civil service anonymity are gradually undergoing considerable changes. For instance, Colin Turip gives a number of examples in which civil servants have been publicly blamed for their errors and other instances wherein they have openly admitted to their independent decisions and their personal views in politically controversial matters. In 1979, the select committees of Parliament revitalized senior public officials to appear routinely before such committees so that the committees can examine critically the role of civil servants in discharging their obligations to the public. Regarding ministerial responsibility, no minister has submitted his resignation since the Crichel Down affair of 1954. Crichel Down is an area in which the government had acquired a tract of land for military purposes in World War II. The ministry of ­agriculture

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was accused of inordinate delays in returning the land to its rightful owners after the war. At that time, it appeared that the Minister Thomas Dugdale, had no knowledge of the failings of his wayward subordinates. But he felt that the principle of ministerial responsibility demanded his resignation. In the Crichel Down affair, an innocent minister had to submit his resignation because of the mistakes committed by the bureaucrats. It was a very complicated case. Another major scandal that rocked Britain in the 1960s was the Profumo scandal. It involved the British secretary for war, John Profumo, a showgirl Christine Keeler and Eugene Ivanov, an employee of the Soviet Navy. Profumo developed an illicit relationship with Christine Keeler and it was alleged that he was leaking defence secrets to her. They were introduced by an artist and osteopath, Stephen Ward, the defence minister, it was unethical on his part to develop relations with a showgirl. The security of the nation would be greatly put to risk. She was also having an affair with Ivanov. In March 1963, he told the House of Commons that there was no impropriety whatever in his relationship with Keeler. But after 10 weeks, he appeared before MPs again and apologized to them that he had misled the House, and told them that he would resign. He submitted his resignation. In September, Lord Denning in his report on the affair concluded that the national security had not been affected but that the government had been lax in responding to the issue. Shortly after this, the then prime minister, Harold Macmillan also resigned. The scandal also took its toll on his health. Later, writing in her autobiography, The Truth At Last, Keeler alleged she was used as a cover for an Anglo-Soviet spy ring. She said Ward was a spy of the Soviet Union and asked her to get information from Profumo about the placing of nuclear warheads in West Germany. She also stated that Ward asked her to drop off letters at the Soviet Embassy, and at one point tried to kill her while she was water-skiing because he feared she would blow the whistle on him. She also claimed that Ward and she were used as a smokescreen by the establishment, who wanted the media to focus on the racier aspects of the story in order to cover up a serious breach of British security. This scandal dashed the hopes of John Profumo from becoming Britain’s prime minister who was almost heading towards 10, Downing Street. It must be remembered that his political career was finished not because of his illicit sexual affair or for spying but because he told a lie to the Parliament. Lying, apart from being unethical, is an offence which ultimately led to the destruction of his political career. In the 1980s, Britain was again rocked by a sex scandal. Cecil Parkinson, who was instrumental in making Margaret Thatcher the first female prime minister of Britain in 1979, had to tender his resignation as secretary of state for trade and industry in the wake of his extramarital affair with his former secretary, Sara Keays. It was the ­conservative Prime Minister John Major, who launched a ‘back-to-basics’ campaign for morality in public life in the 1990s. In 1994, Tim Yeo quit as environment minister after he fathered an illegitimate child by a councillor, Julia Stent. Parliamentary private secretary David Ashby resigned after admitting that he shared a hotel bed with another man. These and at least five other sex scandals were major factors in voters dumping Mr. Major in the 1997 election.

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ETHICAL DIMENSIONS IN FRANCE The French Constitution is based on the principle of separation of powers. The Declaration of the Rights of Man and of the Citizen of 1789 proclaimed unequivocally that ‘a society. . . in which there is no separation of powers has no constitution’.7 The French Constitution strictly adheres to the principle of separation of powers. However, there are fundamental differences between the French Constitution and the American over the issue of separation of powers. Since the legislature makes law, it makes or represents the general will; and according to the French constitutional tradition the legislature is superior to that of the executive. In America, the law does not embody any general will as such but simply it represents the interests of ad hoc coalition of interests that forms a majority that keeps changing at regular intervals. According to the French viewpoint, the American version of separation of powers is basically flawed. The American version was criticized by the founding fathers of the Constitution of the Fifth Republic of France in 1958 for being too theoretical and abstract. The American Congressmen had contempt for high-ranking executive officers. According to Article 23 of the Constitution of the Fifth Republic, separation of powers is linked to ethics and public administration. It states, ‘The office of member of the Government shall be incompatible with the exercise of any Parliamentary mandate, with the holding of any office at the national level in business, professional or labour organizations and with any public employment or professional activity’.8 The French Constitution has taken in the right earnest the issue of conflict of interest. The ministers who are the members of the government are prohibited from taking part in business activities or remunerative activities. Members of the government are also forbidden from being members of the Parliament and civil servants. Government members must refrain from taking part in professional, commercial, parliamentary and civil service activities. It is an important constitutional provision in French public administration. The members of the government or the ministers are prohibited from taking part in commercial activities so that their independence can be assured. Originally, the law stipulated that only Parliament members were prohibited from taking part in remunerative activities. When the Constitution was drafted in 1958, Article 23 stated that ‘no one may combine governmental function with a parliamentary mandate’.9 This was included at the behest of General Charles De Gaulle, the founder of the fifth Republic. He was of the opinion that parties represented only particular interests or selfish, while the state stood for the good of all. Due to such petty mindsets of the political parties, they indulged in political wrangling and this led to the fall of France in 1940. The Constitution should be devised in such a way that it provides political stability and ensures universal interests of the State. For this, the members of the government or the ministers have to be free and independent from Parliament and the political parties which work towards attaining partisan ends. By banning parliamentarians from the government, De Gaulle put an end to their temptations to become ministers by overthrowing the existing governments. They would refrain from destabilizing the governments. In the past, the parliamentarians yielded to temptations and caused lot of political instabilities. ‘The prohibition on

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members of the government serving simultaneously in Parliament would reduce the temptation because if a parliamentarian becomes a minister, he would have to surrender his seat, and therefore, would have no safe haven to which he could return if his government were thrown out. However, De Gaulle’s scheme came in for sharp criticism as it would undermine the very essence of parliamentary form of government that those who exercise power, that is, the government servants be themselves members of parliament. General de Gaulle’s and his supporters responded that the legislature was the controlling power and the executive was the controlled power and both cannot exist in the same person. Ministers cannot be parliamentarians. Supporters of de Gaulle pointed out that it would reduce the burden on the parliamentarians and civil servants who became ministers. The civil servants who turned ministers were required to submit their resignations as civil servants on the grounds that no man can perform two jobs simultaneously. A proposal was made to debar persons indulging in business ventures from becoming ministers for a period of 5 years after they demit office because they would misuse government authority. This would have led to post employment restriction in reverse. One of the ironies of the French Constitution is that though there are high sounding principles enshrined to curb the evil of conflict of interests, they are strictly enforced to practice. This reminds of Alex de-Tocqueville’s comment on French political culture which states, ‘The rule is rigid but practice is gentle’.10 The issue of constitutionalism and administrative ethics cropped up in France after the famous Greenpeace affair of 1985. Long after the unfortunate incident, several facts came to light. On the night of 10 July 1985, two bombs were thrown on Rainbow Warrior, a trawler belonging to Greenpeace, a popular environmental group with global connections. The boat sank and a photographer working for Greenpeace was also killed. The Rainbow Warrier was on its way to a French possession in then south Pacific to protest against underground nuclear testing that was planned for October. After a few days, two French secret service agents travelling in New Zealand with fake passports were arrested under suspicious circumstances. In the beginning, the French denied of any involvement in the bombing but later it became clear that the entire attack took place under the connivance of high-ranking French military and secret service officers. Though it is not clear as to why the French government carried out the attack, it became clear later that they wanted to continue nuclear testing in the national interest and they were not prepared for any opposition to it under any circumstances. The sinking of the Rainbow Warrior gave rise to a number of questions involving ethics in public administration. During the cover-up, several lies had to be told to save the officers of the secret service who were involved in the attack. It was also alleged that they deliberately carried out the operation as they were rightists and wanted to embarrass the socialist government of President Mitterrand. While the cover-up operation was underway, both President Mitterrand and Prime Minister Fabio’s announced that a person with impeccable character and integrity would be appointed to inquire into the issue. While in countries like India and the United

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States, a retired judge or a sitting judge of the Supreme Court or Federal court would be appointed to probe the issue, the French government turned to a senior civil servant. The renowned civil servant, Bernard Tricot was appointed to probe into the issue. After interviewing all the senior officials involved in the case, including the defence minister and top military officers and advisors of the president, he came to the conclusion that there was nothing to implicate the French government. He announced the findings to the press and also said the officers concerned might even had lied to him. The manner in which Tricot conducted the enquiry again raises many questions involving ethics as how he discharged his duties. Though he absolved the government of the guilt, he also sowed further seeds of suspicion. There was widespread belief in the government circles that Greenpeace posed a threat to the national security. There were nagging doubts whether the attack was known to the president while the prime minister was kept in the dark. Did they know about the attack in advance or not? Another important question concerning ethics in this case is the role of the press and the political or constitutional climate under which it functions. There is a criticism against the press that it did not play a vociferous role like the American press during the Watergate crisis. During the Watergate scandal, the press played a key role in unseating Richard Nixon as president in 1974, although the prestigious daily Le Monde took the lead in exposing the scandal, it backed off after the defence minister resigned. With its leftist leanings, Le Monde did not want to embarrass their socialist president. On the other hand, Richard Nixon was not a friend of Washington Post. There is another reason why the French and the Americans reacted the way they did with regard to the two scandals. There is feeling that the both the Right and the Left in France feared that if the president is exposed, there would be political instability again, which France had witnessed over several decades. The American press was supported in its efforts by several institutions of the government like Sam Irvin’s Investigative Committee, the House Judiciary Committee, special prosecutors Cox and Jaworski, Attorney General Eliot Richardson and his deputy William Ruckelshaus, Judge John Sirica and others.

ETHICS IN THE UNITED STATES Administrative ethics in the United States can be divided into two major categories. They are those ethics that are legally enforceable and those that are aspirational.11 Under the second category, that is, aspirational, civil servants cannot be booked for violating ethics but they have to devise practical ways to implement high-sounding principles and objectives of the Constitution. The officials have to use their discretionary powers to uphold principles and balance their personal values to that of the government policy. Complete value-neutrality is an impossibility. A civil servant in America takes an oath to uphold the Constitution, and in that pluralistic society they have to see that individual rights are protected. They have to ensure that the principle of separation of powers should not incapacitate the government from taking effective steps in

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upholding individual rights. There are certain occasions when public officials have to take upon themselves heavy responsibilities. They may have to solve matters associated with important questions of statecraft. For example, during World War II, civil servants had to struggle to coordinate the relationship between a Congress that is highly isolationist and President Roosevelt who was interventionist. This made the exasperated Prime Minister of Britain Winston Churchill who told the American President Franklin D. Roosevelt that the British government was willing to do whatever it could to satisfy the demands of ‘Your law or your admiral’12 Generally, the administrative officials function behind the scenes to regulate the relations between the Congress and the president to keep them away from collision. They take more interest in the normal routine affairs. Sometimes, the career of civil servants takes courage to advise the president’s secretaries. For example, a senior civil servant of the Interior Department advised the Secretary of Interior Department, James Watt about the possible negative reactions that his policy might face in the Congress and the possible compromises available. Watt is remembered as an outspoken critic against environmentalism and wanted federal lands to be used for foresting, ranching and other commercial purposes so that it would lead to development. He was forced to resign as a secretary due to a controversy that arose because he told an ethnic joke. Describing his staff, he told the US Chamber of Commerce in September, 1983. ‘We have every mixture you can have. I have a black, a woman, two Jews and a cripple. And we have talent’. This comment was in bad taste and was considered unethical on his part and he had to put in his papers. Richard Nixon had to resign as president in 1974 over the Watergate scandal, while Bill Clinton survived the impeachment motion in 1999 over his inappropriate relationship with a White House internee Monica Lewinsky. The yardstick of ethics differed in the two cases. Even declaring a war against Iraq in recent times by President George Bush was considered unethical, he still got re-elected to a second term. Therefore, it is difficult to pass any concrete judgement on ethics, especially when it involves policy decisions in public administration. How people view or perceive ethics keeps changing according to time and place. Opinions keep changing. President Bush said America had a moral obligation to protect the world from nuclear catastrophy and declared war on Iraq. He alleged that the Iraqi President, Saddam Hussain, had weapons of mass destruction which he wanted to use against the United States but after the war, there were no trace of any weapons of mass destruction even after thorough searches made by the United Nations inspectors. Therefore, in this case, it can be said that ethics was thrown to the winds while declaring war on Iraq. The decision was taken with a view to control the oil wells in Iraq. Similarly, the United States declared war on Afghanistan in 2001 to capture Osama bin Laden but he could not be found though President Bush said the United States would smoke him out. These are some of the cases in which ethics are not considered while formulating foreign policies. National interests become more important than ethics. In this connection, civil servants come to the rescue of their political masters in providing with the necessary facts and figures to defend their policies; however, bad or good. In other words, they provide the ammunition for the political executives in taking policy decisions.

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In conclusion, it can be stated that ethics are essential for public services and Australia is no exception. Ethics will promote integrity, professionalism, excellence, responsibility, transparency and teamwork among the officials. It teaches what leaders ought to do in a particular situation. Ethics help in promoting the core values of an organization. Officials act in ways which are the result of compromise and conflict between different perspectives, interests and values. They ought to be only as neutral, in the sense that they should conduct themselves within the four walls of the government policy and equity should be a goal and commitment in making those judgements. Officials have a responsibility in honouring a range of competing objectives to the policies of the government, to efficiency, to law and to equity. Much depends upon the working relationship between the office of public trust and officials actions respecting the duty to act in the public interest. Officials should avoid self-interest and promote public interest. Officials act in ways which are a result of compromise and conflict between different perspectives, interests and values. It is not practically possible to remain value-free or neutral. While taking decision, the notion of equity should be kept in mind. In all the countries, public officials have to act fairly, impartially and honestly and maintain their integrity. On these issues, there is no compromise. Most of the problems relating to ethics that plague the government officials in Australia are also found in other countries. Even in countries like Canada, France, England and the United States, officials have to be fair, impartial, keep common general goal in mind and adhere to certain norms or values depending on the guidelines that are provided in their respective constitutions and the political climate that prevails in those countries. For example, the restrictions on former top American officials are stricter than their Canadian counterparts. In England, it is based on ministerial responsibility and civil service anonymity, and administrative ethics are practised keeping them in mind. In France, ethics are governed by the theory of separation of power in the constitution of the fifth Republic of France. In America also, ethics are based on the theory of separation of powers but quite different from that of France. Ethics in the United States public administration falls under two categories, namely, the legally enforceable and the aspirational. If the legally enforceable ethics are violated, an official can be punished. Under the first category, the aspects that are covered include financial irregularities, bribery, conflict of interests and financial disclosure.

SUMMARY

  The Australian case study on administrative ethics is quite interesting as it describes the way in which liberal democratic regimes occasionally face public policy challenges.



  There are many documents with several unwritten conventions together from the British Constitution. Common principles of law expressed in important judicial decisions provide another written source of the British Constitution.

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  The French Constitution has taken in the right earnest the issue of conflict of interest. The ministers who are the members of the government are prohibited from taking part in business activities or remunerative activities. Members of the government are also forbidden from being members of the Parliament and civil servants.



  Administrative ethics in the United States can be divided into two major categories. They are those ethics that are legally enforceable and those that are aspirational.

E n d n o t es   1. John G. Uhr, Public Service Ethics in Australia’, in Handbook of Administrative Ethics Terry L. Cooper (ed.) (New York, NY: Marcel Dekker Inc., 1994), p. 552.   2.  Ibid., p. 560.   3.  Ibid.   4.  Ibid., p. 567.   5.  Ibid., p. 519.   6. John A. Rohr, ‘Constitutionalism and Administrative Ethics’, in Terry L. Cooper (ed.), Handbook of Administrative Ethics, (New York, NY: Marcel Dekker Inc., 1994), p. 509.   7. Ibid., p. 511.   8.  Ibid., p. 512.   9.  Ibid. 10. Ibid., p. 514. 11. Ibid., p. 505. 12.  Ibid., p. 506.

Q u es t i o n s 1. Australian administrative ethics describe the way in which liberal democratic regimes occasionally ace public policy challenges. Elaborate. 2. Discuss the pattern of development in administrative ethics in Canada and France. 3. Make a comparative analysis of ethics and constitutionalism in the United Kingdom and the United States.

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9 Conduct and Discipline in Civil Service After reading this chapter, you will be conversant with: •  Importance of civil service conduct •  Do’s and don’ts for civil servants •  American practice •  British practice •  Conduct of civil servant •  Disciplinary action •  Executive responsibility •  Indian practice

Introduction Personnel functions, which are a part of public administration, are important for having a significant impact on the survival and progress of a society. The activities undertaken by civil servants are many and varied in nature. They interfere in the lives of citizens at every step. Under such conditions these activities form an important aspect of public personnel administration. Civil servants have to be regulated by rules and regulations provided in the politico-administrative system. Regulations make them accountable for their activities and also enhance the efficiency of public administrative delivery system. For the accomplishment of these twin objectives, the conduct of civil servants should be regulated and discipline enforced according to the provisions of law prevailing in the law of the land.

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IMPORTANCE OF CIVIL SERVICE CONDUCT As mentioned earlier, the intrinsic and the extrinsic behaviour of public personnel are significant as bureaucrats are vested with wide powers for regulating citizens in many spheres of life. Civil servants manage government institutions and offices during the course of delivering public services, having wide ramifications for citizens. The activities of civil servants touch many important aspects of a citizen’s life and thus, are important for the survival of society itself. According to O. Glenn Stahl, civil servants are entrusted important functions ranging from simple to complex. In his words, ‘A wide range of activities—from important to trivial, from foodstuffs to cocktail muddlers, from professional textbooks to advertising jingles—occupy many private enterprises in our pluralistic society’. The activities of government are invariably important; many look at public administration as activities undertaken by the government which are multifarious in nature. Some of the functions of the government are as follows: •  Educate children and adults. •  Pave and maintain roads and streets. •  Dispose of refuse and sewage. •  Supply water and often transportation. •  Establish weights, measures and standards. •  Predict weather. •  Make and control money. •  Control crime and traffic. •  Superintend and support military services for national defence. •  Build rockets and spaceships. •  Regulate utilities, banks, credit and communication. •  Build dams, conserve soil and reforest land. •  Maintain stability of the economy. Thus, one finds that the ubiquitous nature of public personnel in societal affairs has become a necessity for the government to regulate their conduct. Internally it is the responsibility of the departmental head to regulate civil servant’s conduct. Outside the administrative system, it is the responsibility of citizens to remain vigilant. As stated earlier, the conduct and behaviour of civil servants are regulated by superiors, colleagues and citizens. To conduct governmental affairs smoothly, regulation of official conduct is a necessity and a prerequisite. Regulation of conduct of officials requires internal and external controls. Internal controls relate to conscience, ethics, principles and morals, which are intrinsic to a person. External controls refer to regulation of officials with the help of laws, policies, rules, regulations, orders and directives. Thus, one finds that the conduct of civil servants being regulated by internal and external controlling factors for the larger benefit of citizens and also public administration as such.

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Rules and regulations place severe restrictions on the behaviours and activities of public servants. Generally these regulations impose many curbs which sometimes infringe some of this rights guaranteed by the Constitution to citizens. These restrictions are not considered as serious infringement of rights of civil servants compared to power, social status and privileges enjoyed by them in society and administrative echelons. Thus, it is incumbent on the government to regulate the activities of civil servants in the interest of society as well as for the smooth functioning of the public delivery system. Even in developed countries like America, curbs and restrictions on civil servants are not considered to be an anathema.

DO’S AND DON’TS FOR CIVIL SERVANTS In view of the power and authority held by civil servants, government felt to regulate their private and public activities in the following spheres: Investment: Public servants are regulated by rules pertaining to investments made by them for buying any property or accumulation of wealth. Civil servants are deterred from any investments in speculative business. Their spouses are not allowed to do business activities that hinder their official duties. Borrowing: Government officials are not permitted to take loans or borrow without the permission of the head of the department after complying eligibility conditions of banks. Trade: Civil servants are precluded from engaging directly or indirectly in any business or trade activity or from undertaking any employment without the consent of the government. Property: From time to time civil servants are required to inform the head of the department about movable and immovable properties in their name or in the name of any family member. Besides, public servants are required to furnish details of the assets they own, to the head of the department. Gifts: Civil servants are regulated not to accept gifts from others in order to make them impartial and objective in the performance of their duties without fear or favour. Gifts received during weddings, anniversaries and functions are to be reported by the civil servant to the head of the department. In case of some minor gifts, it is not necessary to inform. Political Activities: Governments all over the world are of the view that civil servants are to be shielded from political influence so as to enable them to function impartially. To further this cause, civil servants are forbidden from participating in political activities, that is, criticizing the policies of the government, speaking against governmental policies in press and so on. Although rules regarding participation in political activities are different from country to country, the general opinion among people all over

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the world is that civil servants should not participate in political activities, as it would hamper their efficiency. Experienced civil servants are allowed to participate in the local government in the United Kingdom in the belief that local affairs are generally nonpolitical and such participation would benefit people. In India, civil servants can become candidates for local bodies, with the prior permission of the head of the department, but rarely do so in practice. Expression of Views: It is important that people working as civil servants should support government policies and should not speak against them causing embarrassment to the government. Besides, civil servants should not write anything against the government which could land it in a quandary. They should not participate, aid or assist any political movement. A civil servant with the prior permission of the government can write articles, letters and deliver speeches through the electronic media.

AMERICAN PRACTICE The conduct of civil servants was an important concern of the federal government. A number of states passed legislations for regulating civil servant’s conduct so as to enable the governments to keep a vigil on their activities. After the establishment of Civil Service Commission, the conduct of civil servants was checked on the basis of police enquiry, references from responsible persons and so on. An attempt was made to keep a vigil on the activities of civil servants after passing the Hatch Act in 1939. The activities which came under the scrutiny of the Act were, political activities, membership in the organizations advocating overthrow of government, resorting to violence and so on. The provisions of the Act were harsh authorizing scrutiny of civil servants in the interest of the state while leaving some provisions to the discretion of the higher officials. The sweeping provisions of the Act were cut down by the judicial review and in 1947, an executive order was issued. According to this order, the conduct of employees would be investigated by the Federal Bureau of Investigation (FBI) on the recommendation of the departmental head. On the basis of the report submitted by the FBI, the departmental head was authorized to take action against erratic civil servants. The order was effective as, after detailed enquiries, hundreds of civil servants were dismissed as their conduct was found to be anti-national, thus threatening American interests. Although an appellate authority was constituted consisting of responsible persons, it did not prove effective in cutting down the domination of the state. Later, President Eisenhower issued another executive order to verify the conduct of employees altering the investigative process and proceedings. Instead of the departmental heads, the Commission was given a major role in verifying the conduct of civil servants. At the same time, some agencies and departments were authorized to take action against erratic officials. But these departments were to act according to the standards issued and verified by the Attorney General. The Commission was authorized to

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conduct investigation only about factual data and could take the assistance of the FBI regarding evaluative issues. The executive order of Eisenhower was criticized as it did not provide any appellate body to offset grievances of civil servants. The conduct of employees was mainly judged on the basis of security risk, which was not properly defined by the executive order. Even small issues like alcoholism were treated as serious offence by the government. Later, a sub-committee of Senate requested more flexibility for civil servants to prove their innocence and suggested establishment of an appellate body to ensure justice for civil servants. Since executive order was too harsh as simple issues like alcoholism and immoral behaviour were considered to be dangerous, it drew flak from the reformers of administration. Some federal agencies like the State Department, Atomic Energy Commission and Central Vigilance Commission had their own procedures of investigation. Some agencies provided for a system of appeals to allow civil servants to prove their innocence.

BRITISH PRACTICE The issues of loyalty and conduct in Britain were influenced by the threat from the ­communists of the former Soviet Union. The administrative system was flexible enough to appoint communists and fascists to the positions which were not considered important from the point of view of confidentiality and security. But, if misconduct was detected by the government it was treated severely. The attitude of the British government was liberal compared to the American government. The difference between the British and American government was that the former stressed more on a career system in which an individual entered civil service and continued to be a part of the system until retirement. In the American system of administration, positions were based on specialization rather than on career, and thus an individual would continue in a position until the completion of a particular assignment. Thus, the American system provided for stringent measures regarding the conduct compared to the British system. Besides, according to the conventions of the parliamentary form of government of Britain, the political executive kept a vigil on the activities of the civil servants as the former was accountable for the omissions and commissions of the latter. Added to this, the departmental head was responsible to assess the performance of civil servants by writing their annual reports. This strict control over civil servants ensures accountability of their personal and official activities.

CONDUCT OF CIVIL SERVANT The personal behaviour of a public servant should be such that it should bring honour and grace to the whole public personnel administration and such acts should be encouraged by the government also. All such acts which bring dishonour and disgrace should

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be scuttled in the initial stage itself, since that would bring bad reputation to the government. The disgracing acts are detrimental personally to civil servants and to the public administration as well. Since, civil servants represent state in all official matters, it is their responsibility to uphold the traditions of good personnel administration. During the discharge of official duties in official capacity, civil servants should adhere to the norms laid down by law and rules. Under no circumstances they should deviate from the norms established by the government. The deviation would only lead them to an abyss causing a collapse of the fundamental tenets of efficiency of public personnel administration. The civil servant should adhere to the tenets of impartiality during the implementation of public policy. Impartiality refers to the equanimity of judgement and serving a political master irrespective of personal and ideological differences. Besides, implementation should benefit not only a few interest groups in the society, but also all those who need assistance from the government. Civil servants should not resort to such practices in which they utilize confidential knowledge gained by holding a position in public bureaucracy. They should not make personal and familial gains bestowed by private parties in their favour for some beneficial activities. According to the US Civil Service Commission, ‘officers and employees of the Federal Government are servants of the people’. Because of this, their conduct must, in many instances, be subject to more restrictions and to higher standards than may be the case in certain private employments. Officers and employees of the Federal government are expected to conduct themselves in a manner which will reflect favourably upon their employer. Although the government is particularly interested in the private lives of its employees, it does not expect them to be honest, reliable, trustworthy, and of good character and reputation. They are expected to be loyal to the government, and to the department or agency in which they are employed.1 The recommendations of the Civil Service Commission are pertinent to all popular and responsible governments of the world. Every civil servant should adhere to the norms laid down by the government and proceed accordingly for the larger benefit of society. Besides, civil servants should set good ideals which could be followed by people. •  In any democratic government all citizens irrespective of origin, race, culture, religion and region are accorded political rights. These rights could be related to membership in political parties, voting rights, participation in political agitations and meetings, holding political position and offering donations to political party. The successful functioning of democracy, to a large extent, depends upon effectiveness with which these political rights are utilized by the people. In contrast, civil servants are not provided active political rights due to certain reasons. Civil servants hold important and significant positions in government and are authorized to take important policy decisions regarding public affairs. Besides, they are the agents of implementation of public policy impartially and objectively. If they are given active political rights as mentioned above, it makes them identify with political ideologies and parties. This identification, however, is hazardous to civil servants themselves. It is highly possible for civil servants to become targets in the hands of political leaders if they are identified with a particular ideology

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and a political party. Since they serve political executives irrespective of party affiliation, they are better placed regarding official functions. They are denied some active political rights like expression of opinion on certain political issues. If they are identified with any ideology, they would face backlash by political leaders belonging to other ideologies. Although some rights like casting of vote is generally provided to civil servants, they would do well, in their own interests to keep away from active political rights. •  Besides, the attempts of civil servants to influence the behavioural pattern of citizens are construed to be a misconduct on their part. They should not exert pressure or intimidate voters to cast their vote in favour of any political party. Civil servants can be saved from vindictive actions of politicians if they are denied political rights incurring the latter’s wrath. In majority of the countries, civil servants are allowed to vote silently but cannot express opinions and views in public. The concern of believers in democracy all over the world is to provide an unshakable apparatus for them to offset consequences of political ­upheavals. The answer was found in public bureaucracy, which served citizens during peace time and turbulent periods. The believers in democracy wanted to save this mechanism from political manipulations and this was the reason for denying active political rights to them. •  Civil servants are discouraged from having membership in any organizations having liaisons with religious and political bodies. These bodies can obstruct civil servants from working independently and honestly. As an impact, the efficiency of public personnel administration is hampered. The exception is that civil servants can join any professional organization which enhances their personal traits and improves the efficiency of their administrative work. It is the government’s responsibility to check subversive activities of organizations having membership of civil servants. Another exception is the participation of civil servants in employees’ unions based on certain norms and that too without any political affiliation. Employees’ unions provide civil servants ample opportunities to discuss service matters and functions. Unions provide an opportunity to employees to air their grievances and at the same time share their work experiences by which others benefit. Some civil service unions publish periodicals and magazines for sharing information and professional knowledge. Thus, one finds that majority of governments have been soft towards civil service unions bereft of political activities. The unions should not take an open stance regarding political issues and ideologies, else they would face reprisals. It is for the government to decide whether unions represent interests of civil servants or are engaged in political and subversive activities. •  Although it is not the responsibility of the constitutions to discourage civil servants from taking active participation in political activities, every country provides certain rules according to which they are not allowed to take active part in politics. Besides, no civil servant should use any political party or any other body for appointment or promotion, as it is considered to be a misconduct. Their activities should not

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involve politics or be manipulative. In this regard, the provisions recommended by ‘Model State Civil Service Law of the US’ are noteworthy for regulating the conduct of civil servants. The provisions are as follows.

Section 19—Political Activities Prohibited •  No person shall be appointed or promoted to, or demoted or dismissed from any position in the classified service, or in any way favoured or discriminated against with respect to employment in the classified service because of his political or religious opinions or affiliations or race: but nothing herein shall be construed as precluding the dismissal of any employee who may be engaged in subversive activities or found disloyal to the nation. •  No person shall seek or attempt to use any political endorsement in connection with any appointment to a position in the classified service. •  No person shall use or promise to use, directly or indirectly, any official authority or influence, whether possessed or anticipated, to secure or attempt to secure for any person an appointment or advantage in appointment to a position in the classified service, or an increase in pay or other advantage in employment in any such position, for the purpose of influencing the vote or political action of any person, or for any consideration. •  No employee in the classified service or member of the commission or the ­director shall, directly or indirectly, pay or promise to pay any assessment, subscription or contribution, or perform any service for any political party, or solicit or take any part in soliciting any such assessment, subscription, contribution or service. No person shall solicit any such assessment, subscription, contribution or service of an employee in the classified service. •  No employee in the classified service shall be a member of any national, state or local committee of a political party, or an officer or member of a committee of a partisan political club, or a candidate for nomination or election to any public office, or shall take any part in the management or affairs of any political party or in any political campaign, except to exercise his right as a citizen, privately to express his opinion and to cast his vote. •  Any officer or employee in the state service who violates any of the foregoing provision of this section shall forfeit his office or position, and for 1 year shall be ineligible for any office or position in the state service.

Comment These prohibitions in any way do not deny the employee the privilege of voting and privately expressing his views as a citizen. They do prohibit such activity as would do violence to the official neutrality to which the employee must adhere in the discharge of his duties.

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The most effective means of preventing political activity by civil servants is to prohibit their making any political contribution. Such a prohibition is embodied in the New York City Charter and in some other laws.2 The detailed provisions make the position of civil servants clear regarding their political activities which are applicable to other countries as well. Civil servants are prohibited from contributing funds to political parties. They are not allowed to hold any positions in any political parties. The following details give an overview of civil servant’s conduct regarding political activities: •  In many countries, civil servants are prohibited from contributing funds to political parties and at the same time are protected by the provisions of law from contributing funds to political parties. These legal provisions aim at safeguarding impartiality and objectivity of civil servants during the process of policy formulation and implementation. But in some cases, the provisions are not adhered to by some governments hampering efficiency of personnel of public administration. The idea of protecting civil servants from contributing funds to political parties is a noble one. But it is observed that in some cases the government itself is to be blamed for some occurrences. In some jurisdictions, the government is liberal regarding contribution to political parties and candidates during election campaigns. Although it is not compulsory for civil servants to contribute towards political campaigns, it is observed that they are at will to contribute on personal grounds. The problem arises here as the difference between own will and coercion is subtle. Since there is no definition of own will, civil servants could be easily managed to contribute to political campaigns. In some developing countries like India, where the citizen is not much concerned about governmental affairs, one finds civil servants contributing funds to political parties and campaigns. •  In the United States, service rules prohibit political candidature of civil servants from contesting for public offices, whereas in countries like France, civil servants can fight elections after taking a break from service. If elected to public office, they are allowed to complete the term of office and can return to his service. In countries like India, civil servants are not allowed to participate in elections as candidates, except casting vote. Generally, civil servants are not allowed to contest for public offices as that hampers overall efficiency of public personnel administration. If civil servants are allowed to contest public offices, then their impartiality is questioned. Even if they are not elected to the public office and return to their service, faith in their impartiality is lost. The objectivity with which civil servants provide suggestions to political masters is under doubt. In case civil servants are elected to the public office and return to their service, their status cannot be determined and leads to chaos and confusion. Since civil servants are representatives of the state having certain privileges and security of employment conditions, they should not run after public offices. Running after public offices definitely hampers skills acquired by the civil servant regarding specialization of

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administrative processes and techniques. Countries differ in restricting political activities of civil servants depending upon evolution of administration and the role played by civil servants during evolution of political system. In France as said earlier, civil servants are given more flexibility regarding political rights. According to Ferrel Heady: Participation in political activities has also been clarified. Most civil servants are free to join political parties and take part in party activities. Those in positions of responsibility are not barred but are not supposed to disclose their civil service status or make use of information acquired because of their official assignments. Civil servants may become candidates for elective office, and may serve in most local offices without giving up active duty, but if they run and are elected to the national legislature they must go on inactive status during the term of service, with right to return later.3

DISCIPLINARY ACTION Disciplinary action refers to the punishment given to government employees when any error pertaining to official duties takes place. In the process of implementation of government schemes or programmes apathy of civil servants leads to extravagance and wastage of public resources. It is the duty of the government to take action on such employees so as to make sure that its policies do not go haywire during the implementation phase. Some measure of punishment in the form of disciplinary action should be initiated on erring officials for wrongful activities, poor performance and deviant behaviour. Some instances which fall under the purview of disciplinary rules are as follows: •  Inefficiency regarding work. •  Violation of rules and regulations framed by government. •  Laziness at the workplace. •  Extravagance regarding expenditure of public money. •  Disobedience towards superiors. •  Immorality in public transactions. •  Lack of integrity and ethics. •  Corruption in official dealings. •  Intoxication during office hours. •  Harassment of colleagues, especially women. Under these circumstances, the employer may resort to one or more techniques to bring civil servants, which may include censure, withholding of increments or promotions, reduction to lower post or time scale, recovery from pay of the whole or part of any pecuniary loss, suspension and removal from services.

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Forms of Disciplinary Action The penalties imposed by the government with regard to violation of government’s rules and regulations cover a wide area and are severe in nature and they are as follows: •  The government is empowered to take necessary action to correct erratic behaviour of civil servants for the violation of service rules. The disciplinary actions can be severe, even to the extent of dismissal. The usual forms of punishments are warning or reprimanding, reassignment of duties, low performance rating during annual assessments, loss of seniority rights, suspension without pay and demotion/dismissal with continuing disability. All these are not resorted to frequently but the most usual forms are reprimands, suspension and dismissal. •  Some minor cases or first time instances are treated liberally by the government. Usual forms of disciplinary actions include warning or reprimand, less severe in nature. In majority of the cases, warning works and is enough to make civil servants deter from resorting to any unlawful and immoral activities again. The head of the department is an appropriate person to take proper decision as he can go into details of the issues and thus can judge them. By taking precautionary steps like reprimanding the civil servant responsible for the error, the gravity of the issue can be mitigated. After reprimanding the erratic individual he can be sent back to work with new attitude and perspective towards the work and the organization. This would be possible if the head of the department takes proper action based on the implications of the issue. If the mistake committed by civil servants is of not serious nature then mild reprimand is enough and in case the mistake is serious in nature, then intensity of reprimand should be high. A face-to-face is more informal method having positive influence over the erratic employee to correct his mistakes and ensure that they are not repeated. •  A second important form of punishment is allotment of less important work to individual in order to make him conform to the standards of administrative rules. The technique is resorted in many cases of administrative functions such as policy formulation, police and general administration, which are important for delivery of public goods and services to the people. It would be effective in case civil servants are allowed to realize the mistakes they have committed. Besides, the functions assigned to the erratic civil servants should, as a part of punishment postings, not demoralize them. Instead the position allotted to civil servants should have constructive impact on them and enable them to learn from mistakes in the long run. •  The individual is rated in every organization based on his performance of the allocated functions. Every year the individual is rated according to the performance and output, and his contribution to the development of his department. Some departments conduct monthly assessments, this practice is not frequent and widespread. During assessment, the rating method makes the employee aware of his performance and enables him to correct his attitude towards work and the department, else adverse remarks enter his service records dampening his chances

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of promotion. This adverse report regarding performance or output pushes the subordinate down the promotional line making it difficult for him to climb the administrative hierarchy. Besides, adverse rating scuttles the individual’s opportunities of getting increments. All these adverse remarks in his service go against the individual and become a part of his service career, thereby hampering his seniority. •  Although penalties are no longer in vogue, they were in practice once; became extinct now. The reason for the extinction of such practice is that imposition of penalties hurts the employee and his family members. Another reason for which it is not resorted to is that, the government is a model employer. It should not resort to such methods of disciplinary actions hampering efficiency of individuals in the long run. Previously the money collected from such penalties was utilized for the purpose of general charity and public welfare. •  The civil servant is suspended without pay, in order to discipline him severely. Although judicial bodies intervene and safeguard the interests of civil servants on occasions, in some instance the judiciary refrains from interfering. Under these circumstances, civil servants are left at the mercy and discretionary powers of the disciplinary authorities. The authority thus decides the number of days the civil servant shall remain suspended from the service without pay. The intention of the punishing authority is to deter civil servants from resorting to any illegal and immoral activities of serious nature. Such punishments act as deterrents as suspension without pay is not only a financial loss to civil servants but also acts as a stigma. •  Demotion is another stringent technique of controlling erratic civil servants and bringing them back to normalcy. It involves assignment of less important functions followed by lesser pay than he usually receives. This method is still in vogue in some countries and civil servants have to bear the burden of financial loss and also social stigma attached to demotion. Instead of resorting to demotion, civil servants should be allowed to leave service and join the service after a gap of few months with a new attitude as demotion breaks down their morale. •  Dismissal is referred to the removal of civil servants from active service. It means that civil servants are permanently removed from service and sent home which is an extreme form of punishment, usually not resorted to by the government. Dismissal results in civil servants losing privileges, status and pay. Depending on the mistake or error committed by them, they are compelled to compensate some of the loss accrued to the government. If the error is not grave, they are removed simply without any financial commitments. Besides, civil servants are debarred from entering into any other public service.

Significance of Removal It is believed that the civil servant is treated well by the government and protected even in case of grave errors. This is not the case with private employees where minor errors

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can lead to loss of job for the individual. But, it is found that even civil servants are under scrutiny by the media, people, executive and political representatives. There have been instances when the government has taken disciplinary action against civil servants resorting to illegal activities. Although it is true that civil servants are more secured in terms of tenure, service conditions, pay, privileges, work environment, benefits and status, they are not excluded from the net of discipline. Dismissal of civil servants is rare compared to employees of private sectors. Whether it is public employment or private employment, it is a norm to bring the employee to discipline; otherwise it leads to inefficiency of overall organization and also makes other employees less stringent. However, in case of civil servants, the government is handicapped to take disciplinary actions more frequently as they are protected more liberally by the terms of service conditions. Besides, they are protected by employees’ unions which are more active and organized than the private sector. Besides, civil servants work under the watchful eye of people and the press who scrutinize their activities. Even in private organizations, the practice is that of providing an opportunity to an erratic employee to mend his ways and provide some time to function according to the norms and rules as prescribed by the government. The government being a model employer should set an example to other organizations by providing fair chance of representation to the employees to prove their point and mend their ways. Frequent removals lead to loss of morale and motivation of the civil servants. Besides, the removals also preclude the individuals of high calibre from entering into public service. This paves the way for substandard employees who could negatively influence the delivery system of the public service. Although incompetence is not tolerated by the government at any level, the merit system renders the dismissal a bit difficult as the process itself is too cumbersome. Besides, civil servant unions preclude the government from taking a firm action against civil servants. It is the responsibility of the departmental head to judge mistakes committed by civil servants, their involvement and gravity of the mistake and proceed accordingly. Outside agencies cannot undertake investigation process as they are unaware of technical issues as well as the employee’s involvement. The punishment meted out to civil servants should not be more than what they deserve nor less than what they deserve. For the sustenance of efficient public personnel administration for the welfare of the people, the government is responsible to ensure a balance between employees conduct and discipline, on the one hand, and maintenance of administrative standards, on the other. Employees should not be harassed unnecessarily on the pretext of discipline and at the same time, they should not be left unpunished for the mistakes committed by them. The important point that should be understood here is that civil servants should not be condoned for their acts of omissions and commissions. The removal procedure should be such that it should provide reasonable opportunity for civil servants to express their views and also be firm in dealing with the cases of negligence on their part. But, it is found that dismissal is not preferred by any executive as it involves stringent action against the employee. The executive shirks from taking the final decision regarding dismissal. Besides, no executive wants to take the blame of dismissing an employee even

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though he is authorized to do so. The manipulative system prevalent in public service makes it difficult for the executive to dismiss an employee. The faults of civil servants are not taken seriously as it is believed that they are part of the civil service. This has negative impact on the entire public administration. People lose faith in public service and its activities. It also encourages indiscipline among civil servants and affects the public administration delivery system. Sometimes the executive or head of the department abstains from his responsibility by dismissing erratic civil servants to save himself from protests and the wrath of civil servants.

EXECUTIVE RESPONSIBILITY The failure of the public administration delivery system is an outcome of the failure to discipline of civil servants. As mentioned earlier, civil servants are rarely subjected to disciplinary actions. They are protected by laws, employees’ unions, and internal mechanisms. The hands of executive should be strengthened to control and discipline civil servants rather than restraining them from exercising their authority. Instead of strengthening the hands of the head of the department, one finds that political representatives in order to strengthen their position in public consistently weaken the former. The public personnel system should safeguard citizen’s interests by allowing entry of sincere and honest individuals, to check the rot in the civil service. The head of the department should be sufficiently empowered to hold his subordinates accountable for their mistakes and errors. Another problem confronting public personnel administration is the location of authority to take disciplinary action. The authority could be the appointing officer, the personnel officer of the department, personnel board, special tribunal and central personnel office. Although each authority system has some advantages compared to the other, it is found that each has some deficiencies too. The central personnel office is burdened with the process of recruitment and the special tribunal cannot understand the niceties of a department working. The options left are the personnel officer and the personnel board. These authorities are in a better position to understand the functioning of department. Whatever the authority is, it should be considered that civil servants are given a fair opportunity to express their views. The disciplining authority should also be empowered to take stringent actions against erring civil servants. Disciplinary actions are effective and yield results if they are applied firmly and promptly. The measures taken by the authority should be for the breach of duty and functions. The severity part of punishment comes next. For the actions to be effective, a single exercising authority in disciplinary matters is preferred. The flaw with the board system is their way of compromising and go-slow attitude. A single individual can act tough based on reports. Thus, in almost all the cases, the departmental head is empowered to take disciplinary action on civil servants. In some instances, the disciplining authority may be delegated to lower level officials. In almost all countries, the general preference is towards the system, where a single officer is authorized to take disciplinary

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measures. To achieve economy and efficiency, it seems logical and pragmatic for the departmental head to act as the disciplining authority. One finds some exceptions to this practice: •  Revision of dismissal proposals by the central personnel office is a safety net available to civil servants. The safety net safeguards the employee against political appointees as the latter are overzealous. Sometimes they are unaware of the departmental facts and thus the central personnel office acts as a shock absorber to the employee and also provides him an opportunity to express his views. •  The replacement of boards in place of single individuals is another development for the benefit of civil servants. This ensures overstepping of authority by the departmental head while taking disciplinary action against the individual.

INDIAN PRACTICE In India, civil servants belonging to the All India Services, Central Services and State Services shall not be dismissed or removed by a lesser authority than that of the appointing authority. In the case of All India Services and Central Services, the appointing authority is the president of India and in the case of civil servants of the state, the appointing authority is the governor. In fact, administrative actions are taken in the name of the president. Thus, for all practical purposes the president acts as the head of civil services right from the appointment stage to the removal. The departmental head is not authorized to dismiss a civil servant. This authority is limited to initiating disciplinary proceedings against the civil servant whose conduct is in question. The report is sent to the president who takes the final decision on the advice of the executive. The officers of All India Services and Central Services can appeal to the president against any injustice meted to them by the executive. Civil servants functioning under the state government can appeal to the governor in case they are denied any opportunity to prove their innocence. A glance at the Civil Service (Classification, Control and Appeal) Rules, 1965, of the Government of India makes things clear.

Penalties The following penalties may, for good and sufficient reasons and as hereinafter provided, be imposed on a government servant. The minor penalties include censure, withholding of his promotion, recovery from his pay of the whole or part of any pecuniary loss caused by him to the government by negligence or breach of orders, reduction to a lower stage in the timescale of pay for a period not exceeding 3 years, without cumulative effect and not adversely affecting his pension, withholding of increments of pay and so on. Major penalties could include the following:

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•  Reduction to lower timescale of pay, grade, post or service which shall ordinarily be a bar to the promotion of the government servant to the timescale of pay, grade, post or service from which he was reduced, with or without further directions regarding conditions of restoration to the grade, or post or service from which the government servant was reduced and his seniority and pay on such restoration to that grade, post or service. •  Compulsory retirement. •  Removal from service, which shall not be a disqualification for future employment under the government. •  Dismissal from service, which shall ordinarily be a disqualification for future employment under the government. It is observed that rules regarding conduct and discipline of civil servants are more violated than followed by the government. The stringent provisions of civil service rules and regulations are never brought into the picture even after grave errors and mistakes as the intention of the employees’ unions and the governments is to cover-up the issue and put up a clean picture for the government. The grave scandals and scams in which civil servants are involved along with the politicians all over the world are given a decent burial to safeguard politicians as well as civil servants. In countries like India, the corruption and bribery cases involving thousand of crores never come into the limelight and even if they do, civil servants are never punished. Even those caught red-handed are given light punishments. It appears that the conduct of civil servants is not regulated by the government according to the provisions of law, instead, they are dealt liberally. It is the responsibility of the enlightened citizen and media to expose the deficiencies of conduct and discipline and formulate rules for strengthening vigilance and surveillance over civil servants, only then will the efficiency of public administration delivery system be enhanced and public personnel made accountable to the people.

SUMMARY

  The role of public personnel is ubiquitous in nature and is very important for the survival of the society and its progress. Hence, the conduct of public personnel is regulated with the help of conduct rules.



  Civil servants are desisted by law not to invest, borrow, trade, accept gifts and participate in political activities, which might endanger their position as civil servants.



  In some countries, civil servants are not provided with active political rights, which might impair their administrative judgements. Nevertheless, civil servants are allowed to exercise voting.



  Civil servants are discouraged from having liaison with political and religious bodies.

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  Disciplinary action refers to the punishment meted out to erring employees while discharging their official duties in their official capacity, which could include inefficiency, violation of rules and disobedience.



  Disciplinary actions could include warning, reassignment of duties, demotion, suspension and dismissal.



  It is the responsibility of the executive to ensure that civil servants are regulated in such a manner that they perform their duties efficiently and also fix proper responsibility on certain authorities for taking disciplinary actions.



  In India, major penalties include censure and withholding promotion, and ­compulsory retirement and dismissal.

E n d n o t es 1.  U.S. Civil Service Commission, Federal Personnel Manual, C2-1. 2.  National Civil Service League and National Municipal League, A Model State Civil Service Law (New York, NY: 1953), pp. 22–23. 3.  Ferrel Heady, Public Administration: A Comparative Perspective (New York, NY: Marcel Dekker Inc., 1995), pp. 211–12.

Q u es t i o n s 1.  What is the relevance of code of conduct for civil servants? Discuss few do’s and don’ts codes prescribed for them. 2.  Discuss the conduct of public personnel in the United States and the United Kingdom. List out the differences between the two countries. 3.  How do you define disciplinary actions? Discuss the forms and types of disciplinary actions. 4.  Discuss the executive responsibility towards civil servants.

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10 Accountability in Civil Service After reading this chapter, you will be conversant with: • Importance of accountability • How to ensure accountability • Instruments of accountability • Public accountability in different countries • Ethics and accountability in Africa

Introduction Accountability has become a very important factor in politics and administration of all democratic countries. The holders of authority or those who exercise power should be made accountable for all their acts of omission or commission. In a parliamentary democracy, the ministers are accountable to the Parliament, while civil servants are accountable to the ministers of the concerned departments. Accountability is the rationale or the stimulus for anyone seeking freedom, whether from foreigners or from the native rulers. From the Indian perspective, the British rule was unaccountable and irresponsible and that is why the people revolted against it and ultimately got their independence. Even in England, the nobles and the barons had won the Magna Carta, a Charter of Rights from King John in the eleventh century ad. In America, during the colonial rule, as the government was irresponsible, the people raised the issue, ‘No taxation without representation’. The government has to be made accountable to the people for the way it spends its financial resources. It is all associated with the control of the purse. In other words, how a government raises and spends its financial resources should be made transparent. In a democracy, it is essential that all the people should participate in the governance. Even in a monarchy, a certain degree of accountability is required. The concept of accountability

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has got both positive and negative connotations. Negatively, the concept of accountability aims to prevent the misuse or abuse of power and authority. Positively, accountability seeks to ensure the satisfaction of people’s demands and a better order of things, which are cautiously referred to as management, administration and government.

IMPORTANCE OF ACCOUNTABILITY Corruption, dishonesty and unethical behaviour among public officials have become common in several countries and are threatening the basic principles and values of the government. Also the public confidence is being undermined and the rule of law is being eroded. Public scrutiny and government accountability involve a very complex and interrelated activities of several levels of governmental bureaus and agencies, private organizations, professional associations, interests groups, NGOs and clientele populations. Reforms must be able to withstand the stress, strand and shifting sands of political and social pressures during implementation so that public scrutiny and government accountability are strengthened. However, there are certain factors in bringing reforms. Symptoms of interest-supporting groups, non-active citizen, underperformance and escalating costs also appeared in the cases of policy reformation and implementation process in many nations. If public scrutiny is increased, it will promote public trust in the integrity of government officials by preventing, detecting and prosecuting or sanctioning officials for indulging in corruption and unlawful dishonest or unethical behaviour. Citizens are demanding more and more from their governments. This increases political competition in providing better services to the public. The administration that can gain trust and uphold integrity are more likely to survive the electoral process, and for this reason the government has to provide the public with broader and easy access to information on time for achieving a greater degree of accountability. Once we can ensure that public has rights to scrutiny, how can we ensure that those found to be suspect investigated and eventually punished? Recent failed example pointed to Thailand as information provided to the National Counter Corruption Commission by the public that a top-level bureaucrat was involved in corruption. Further investigation was done and the Commission found beyond reasonable doubt that the official was involved in a high level corruption. The director general of the ministry, also a bureaucrat, dismissed the guilty official from government service but was later reinstated in service and the penalty that was imposed was lowered by the cabinet.

HOW TO ENSURE ACCOUNTABILITY Adopting laws, management practices and auditing procedures are the basic pre­conditions for paving the way for public scrutiny. Government information offices can be established along with the use of technology to freely distribute information with enforcement by ombudsmen and administrative courts to ensure that the law is being

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carried out. Public consultation can be accomplished by creating a public relations office in ministries and agencies. Public survey, opinion polls, public hearing, focus groups, the Internet and Web sites can be use as consultation tools. Guidelines and regulations must be set to ensure that feedback from citizens are responded and considered for action. Accountability has various facets or aspects. As a concept, it has a complexity of its own and naturally, it is called as an amorphous concept. In a diffused responsibility, it is difficult to hold any official accountable for his conduct. Thus, one has to be clear not only about the locus and focus but also of the structures and different layers of authority. The structures of organizations and responsibilities of individuals should be designed in such a way that accountability is pinpointed in specific individuals. But, according to Chaturvedi, whether accountability is seen or not, it can be felt. He said, ‘But even otherwise, it may be said that like electricity, accountability may not be visible to the naked eye but it can be felt, can be realized and perceived in the end result’. Accountability begins with individual in simple societies. It ends with instructions in complex societies. As people are becoming politically and socially conscious in democratic societies, it is imperative that public officials have to be made accountable for their actions of omissions and commissions. It is not only the politicians and bureaucrats who are to be accountable, but also industrialists, doctors, lawyers, academicians, scientists and teachers who have to be accountable. Even non-governmental organizations and cooperative institutions have to be accountable to somebody because they are part and parcel of the society. The mode and manifestation of accountability takes different forms. There is a growing need to build an environment of accountability in society and in the government. For this purpose, discussions are going on in India and other developing countries. The various institutions existing in society have certain social responsibilities, which they have to fulfil. Apart from the legalities involved, there is a need to develop a code of conduct and professional ethics.

Responsibility, Accountability and Responsiveness Although the terms accountability and responsibility are used interchangeably, there is distinction between the two. While accountability is considered to be more external in character, responsibility is concerned with the inner life. But both reinforce each other. It is the psychological dimension of accountability or responsibility, which becomes important. Constitutional democracy is really based upon the political responsibility of individual citizens and enlightened citizenry as a whole. The philosophical and metaphysical elements are relevant to the problem of responsibility and accountability. It also leads to the question of values and ethics in the wide spectrum of accountability. Accountability is threefold: to one self, to the professional group or organization that one may belong to, and to the society at large. It has to be remembered that accountability is for those individuals or institutions who are highly placed and not for the serfs or slaves. The autonomous or free citizens have to be accountable. Serfs in Greece and Rome were only ordered by their masters. The operation of accountability depends upon the nature of the constitutional and

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­ olitical framework of each country, its history, culture, traditions and framework of p laws that are operating there. The processes and procedures in different institutions are thus developed accordingly. In simple democracies, which prevailed in Athens and ­villages in India during the ancient times, accountability means to locate and pinpoint, but in modern complex democracies like the parliamentary or presidential forms, it is not easy. So, the mechanisms, institutions and instrumentalities should be designed in such a way to ensure the goals of accountability. The constitutional and political framework within a particular country plays an important role in ensuring accountability and it cannot be overlooked. The problem of accountability has to be examined keeping in view the issues of delegation and discretion, formal law and natural justice. This is because, in recent years, the concept of judicial review has expanded enormously as public-spirited individuals and social activist groups take up the cause by filing petitions through public interest litigations (PIL). The judiciary is taking up such cases and the courts are asking the erring officials to pay compensation to the aggrieved individual or to the state exchequer for causing financial losses. Such action will make the official more accountable. According to Herbert J. Shapiro those who exercise legitimate political power under a democratic form of government have to be responsible and accountable. Those who are entrusted with authority or power under the Constitution cannot themselves claim to be beyond its purview. They have to work within the framework of the Constitution and not outside or above it. According to some political philosophers and constitutional experts, responsibility can be defined in three different ways. They are responsibility as accountability, responsibility as cause, and responsibility as obligation. But in reality, they are not exclusive of each other. According to H. L. A. Hart, responsibility can be described in four ways. Describing them in his Punishment and Responsibility, responsibility can be divided into four types:

1.  Role responsibility.



2.  Causal responsibility.



3.  Liability responsibility.



4.  Capacity responsibility.

According to Donald W. Smithburg the term ‘accountability’ has four different meanings. It means more obligation, responsiveness, accountability and legitimacy. The terms responsibility and accountability are mutually supportive of each other and almost convey the same type of meaning and political and bureaucratic discourses over the years. ‘Responsiveness’ as a term became popular in the context of the interface between ­citizens and administration, decentralized decision-making and political processes, popular as grassroots democracy. Responsiveness to whom and in what way and with what intention was the question that was raised. Responsiveness to the will of the majority and to the overall interests of the public or to the whims and fancies of political parties has been the nagging question.

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The other development in Indian politics is that there has been an erosion in the standards of political morality which has led to an increase of corruption, graft, favouritism and venality. The constitutional authority has been eroded. There has been a demand from the general public that accountability and responsibility has to be fixed and enforced strictly so that people’s faith in constitutional democracy can be restored.

INSTRUMENTS OF ACCOUNTABILITY In a parliamentary form of government that is found in countries like India and Britain, the pattern of accountability is inbuilt into the system, though the grievance of the ­people is that it has got enfeebled in the course of enforcement due to the very deinstitutionalization of the system, which is supposed to take care of it. In this system, the government is politically and constitutionally accountable to the Parliament and hence to the people. Thus, this is the democratic concept of popular accountability and ministerial responsibility. There is the collective responsibility of the cabinet and the individual responsibility of ministers. It is conditioned by particular situations arising from time to time. Ministerial responsibility has also been looked at as moral responsibility or even punitive responsibility. There is a public trust between the governor and the governed. Also, there are institutions like the Comptroller and Auditor General of India (CAG) to enforce accountability. The CAG is supposed to ensure the financial accountability of the government to the people through the Parliament by submitting its report on financial transactions. Parliament has permanent committees by which it enforces accountability. They are the Public Accounts Committee and the Committee on Public Undertakings, which have done commendable works in this direction. Another new development in recent years relates to the setting up of subject-based standing committees by the Parliament. Sometimes, if any issue becomes controversial, ad hoc parliamentary committees are set up to probe into them. For instance, to probe the Bofors issue, a Joint Parliamentary Committee was set up under the chairmanship of B.Shankaranand. The parliamentary committees take instructions for the speaker of the Lok Sabha function under the supervision of the speaker, or on the conventions set up by the British parliamentary system or as developed by the working of our own parliamentary system. While enquiring into the allegations, the members of the parliamentary committees have to be strictly non-partisan in their approach. An action taken report is submitted by the government to the Parliament. But, it must be remembered that such committees have no such authority to enforce their recommendation, they can give only suggestions or recommendations. They are free to even criticize the administration. The government may or may not accept the recommendations. The committee system can become effective if there is strong public opinion in its favour which can influence the government. In a parliamentary system of governance, the bureaucracy or the administration can be controlled through ministerial responsibility. The hallmark of this form of democracy

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is that the minister is made answerable to the Parliament for their actions. This prevails in countries like Britain and other countries that practice parliamentary form of government; a lot of literature is available on this subject. Another important issue that crops up here is the relationship between the minister and his secretary. The minister has to hold the officials responsible but he cannot escape his parliamentary and ultimate responsibility for the acts of omission or commission of his department. Also, it is called constructive or moral responsibility. Ministers are expected to check the activities of their bureaucrats, and this is what the people in general expect. Here, it is pertinent to recall the words of Justice M. C. Chagla, ‘It is clear that a minister must take responsibility for actions done by his subordinates. He cannot take shelter behind them, nor can he disown their actions’.3 What Chagla meant was that the policy that is laid down by a minister is carried by a civil servant, and if the latter feels that he may be punished or dismissed, the responsibility of the action must be assumed by the minister. The Joint Parliamentary Committee which was set up to probe into the securities scam also expressed similar views. During the 1950s in England, Lord Carrington had to resign his office as minister in the wake of the Crichel Down Affair though he was in no way personally involved in the scam that was perpetrated by the civil servants of the department. Lord Carrington was responsible for his actions and he had to quit. Further, India has a written Constitution, by the rule of law there is legal or judicial accountability of the political and permanent executives. Judicial activism has increased to enforce accountability. This is because there are several cases of political malfeasance. Public interest litigation has become a trend nowadays, people have come to the conclusion that both politics and administration have become unaccountable and insensitive.

Steps to Ensure Good Governance The concepts of public, popular or electoral accountability can be looked upon as steps in the ladder of accountability in the following order: •  Accountability for probity and legality. •  Process accountability. •  Performance accountability. •  Programme accountability. •  Policy accountability. In the vocabulary of public administration, the concept of accountability is associated with the concepts such as rule of law, transparency, administrative sensitivity and responsiveness, procedural and administrative reforms, result orientation, implementation and performance as well as long-term policy perspectives and policy-making. This will also pave the way for macro-level and also micro-level accountability. In a democracy, public accountability connotes that all authorities are derived from the people. But the significance of authority as the right to call the wielders of power to

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account needs to be supplemented by the notion of power to account, the exercise of control over performance. Those who are entrusted with authority should be made to realize that they have to work. Accountability, in simple terms, means to render on account of one’s action and so is related to measures in terms of performance fully understood by accepted standards. Though accountability is a complex concept, it must be understood that it is more than fighting corruption. It facilitates good government, aims lofty ideas of providing good governance, which can ensure the credibility and stability of a democratic system.

Public ACCOUNTABILITY IN DIFFERENT COUNTRIES Accountability of public administration is an important issue in the governance of every democratic country. As sovereign are people, the executive actions are accountable to the people through the legislative branch of the government. A brief analysis of accountability of public administration in different countries is given as follows.

United States of America President George Bush passed an Executive Order 12674 on 12 April 1989 (as modified by E.O. 12731) regarding principles of ethical conduct for government officers and employees, to ensure that every citizen can have complete confidence in the integrity of the federal government and every federal employee shall respect and adhere to the fundamental principles of ethical service as implemented in the regulations promulgated under Sections 201 and 301 of this order dealing with the principles of ethical conduct according to which all the employees must be loyal to the Constitution, the laws and ethical principles are above private gains. Employees shall not hold financial interests that conflict with their conscientious performance of duty. Extortion by public officials, additional efforts should be made by national governments to strengthen and enforce laws. The business sector has recommended that the World Trade Organization plays a crucial role in this as bribery and extortion clearly distorts international trade. U.S. Foreign Corrupt Practice Act prohibit corrupt practices in foreign countries as well as the anti-bribery convention issued in 1997 by the Organization for Economic Co-operation and Development, which prohibit companies engaging in corrupt practices. Companies worldwide respect these measures, though it does not offer any incentives. Evidence of government or international institution initiative to recognize and support private sector roles in good governance to fight corruption is rare. Rules or code of conduct’s weakest point may come from its nature of being self-regulated and voluntary. Government should support these initiatives from the private sector. Incentives should be offered for companies that promote high standards of integrity in business transactions, whether between enterprises and public bodies or between enterprises themselves. It is a form of valuable defensive protection to prevent its employees who are subjected to attempt bribery on the supply side.

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In 1991, the United States issued organizational sentencing guidelines to impose much lower penalties if a company has an effective compliance system. Enterprises should not only have to react to external circumstances and incentives. A 1999 survey by the conference board found that 78 per cent of companies’ board of directors and audit committees decided to take an active part in formulation and delivery of ethics programme. For a corporation to promote and sustain good governance, it must not rely on pressure groups or legal requirements. Perhaps, incentives for good corporate governance are best found within the corporation itself as a means for long-term survival and prosperity.

Japan Japanese government has taken five major steps to increase transparency and accountability of its regulatory system since the early 1990s: administrative procedure law, information disclosure law, public comment procedures, ‘No Action Letter’ system and policy evaluation system. Many countries that started public management reforms for enhancing good governance are at the information disclosure stage. The public comment procedure, that became effective from 1 April 1999, is taking a step closer towards holding consultations so that Central government agencies give advance public notices regarding proposed regulations. The public are encouraged to give suggestions that have to be taken into account while drafting the final regulation. Draft regulations that were published should include the legal authority in charge as well as probable impact. Ministries and agencies must make their views public, indicating where the changes were made. Another important aspect of engaging citizens is the evaluation system. Japanese government is required to evaluate policies implemented by ministries and agencies; the results must also be made public.

Africa Second meeting of the Committee on Human Development and Civil Society in Africa was held in May 2003. The topic for discussion was Ethics and Accountability for Enhanced Public Service Delivery in Africa,in Adis Ababa, Ethiopia. The theme of the discussion was participation and partnership in Africa’s development. Several scholars discussed the factors that led to the decline of accountability in public services and suggested measures for rectifying them. A brief outline of those discussions is given as follows. In Africa, people are becoming more and more aware that enhanced public service delivery is the hallmark of a responsive governance. They have also recognized the fact that the level and quality of public services is as much important as the values of ethics and accountability of public institutions that deliver those services. So, the onus lies with the governments of African countries to maintain appropriate ethical standards and accountability of public service institutions. •  The importance of ethics and accountability for improving public service delivery should be closely linked with the concept and practice of good governance. The

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concept of good governance was popularized in Africa during the 1980s owing to the deepening crises in the continent. Good governance means the exercise of legitimate state authority with the consent of the governed and active participation of the citizens in public affairs. For that there should be harmonious society–state relations. The hallmark of good governance is the level to which public service institutions show the values of responsiveness, accountability and integrity in responding to the needs and demands of the people. It is an important aspect of good governance and signifies the legitimate exercise of state authority. The African governments and their development partners understood the fact that unless there is an enhanced and efficient public delivery system, which was accountable and responsive, it would be very difficult to reduce poverty among the masses. In recent years, many African governments have adopted poverty reduction strategy policies (Preps) to fight widespread poverty afflicting their people.

ETHICS AND ACCOUNTABILITY IN AFRICA Ethics: Concepts of ethics and accountability describe the desirable values and characteristics that a civil servant should have in democratic nations. They connote a sense of integrity, responsiveness, answerability and acceptable norms of behaviour that public officials must strictly possess while discharging their duties towards the public. According to Maurice Kamto, the terms also connote high-order values of professionalism that include professional conscience, honesty, neutrality, self-denial and a passion for excellence in public services. Modern governments take several practical measures to enforce ethical codes and standards by public service agencies. The most commonly used among these is ethics legislation that requires public servants and candidates for public jobs to fill the financial and private property disclosure forms. This is an important step in the right direction to control corruption in public life. Another way of maintaining accountability in public service is by respecting the rule of law and dignity of the individual while carrying out their public responsibilities. In addition, civil servants have also to develop a sense of responsibility for their actions as part of ethical and professional behaviour. In a democratic society, elected representatives of the people and an active civil society ensure that public service managers adhere to acceptable standards of professional conduct in carrying out their official responsibilities. According to Micheal Harmon, this is mainly achieved by making the business of government open, transparent and accountable. Summing up the term ethics conjures vital principles of consistency, fairness, honesty, integrity and responsiveness in public service organizations. In a democracy, civil servants must adhere to these values in dealing with citizens. These normative principles are regarded as democratic rights of the people and they have become the measuring tools for enhanced ethics and accountability in the delivery of public services.

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Accountability: Accountability implies that public servants must ultimately be answerable to the elected legislators who become ministers. The term summons up the concept of ‘overhead bureaucracy’, which according to Meier, is a method of controlling public servants by making them subordinate to the will of the elected representatives of the people. In other words, it implies that the administrators are responsive to the wishes of elected members in the Parliament rather than the expertise and judgement of bureaucrats. In a parliamentary democracy, question and answer sessions in the Parliament and clarifications on government policies provided by the concerned minister help to enforce accountability and control over public servants. A public service is said to be accountable to citizens when the work is carried out in an open, transparent and responsive manner. If a government fails to do this, administrative and political malpractices such as conflict of interest, corruption, offer and acceptance of bribes and graft, diversion of public resources to private use, misuse of government property, destruction of case files and subversion of the judicial process, abuse of authority and blatant disregard for official rules and regulations become rampant. The prevalence of such corrupt practices undermines the trust and legitimacy in the political and administrative system. Accountability and responsiveness of public servants to the people enhances trust and legitimacy in the government whatever be the form. The two are complementary to each other because responsiveness provides the basis for accountability, which in turn is supposed to make public officials responsible for their actions or inactions. In the final analysis, responsiveness and accountability should result in the increase of transparency in government and enhance the governmental responsiveness and legitimacy. There are internal and external mechanisms to ensure accountability in government agencies that have to deliver goods to the public. The internal accountability mechanisms are the civil service rules and regulations, disciplinary procedures and policies, and management audits and inspectorates. Also, management mechanisms like mission statements, task descriptions, periodic performance reviews, management information systems (MIS), management by objectives (MBOs), evaluation and monitoring indices and codes of conduct are practical internal accountability mechanisms. Generally, such mechanisms are intended to insure that financial resources and property are properly utilized to attain the organization’s goals efficiently. External institutions for enforcing accountability include the legislature, public accounts committees, office of the auditor general, offices of the ombudsman, the judiciary, civil service administrative tribunals and other specialized independent commissions. Another set of external institutions include a vibrant, responsible and independent media and press, pressure and lobby groups, political parties and civil society organizations, such as professional, cultural and economic associations. Summing up in the words of Rasheed, that ethics and accountability are complementary to each other because professional ethics is the basis of accountability. In the civil service, the concept and practice of accountability embrace the notion of civil

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servants being responsible for their omissions and commissions. Accountability should make government transparent and responsive while formulating and implementing public policies. The main principle of accountability embraces the notion that the civil service serves citizens who regularly pay their taxes and carries out its responsibilities and duties strictly within the public interest.

Factors that Contribute to the Lack of Ethics and Accountability in African Public Services In Africa, the decline in the standards of professionalism and ethical behaviour in civil servants were a result of the direct consequence of the political turmoil and economic decline that engulfed many African states since the early 1980s. The failure of the African governments to institutionalize public services dedicated to the highest standards of ethical conduct and professionalism has led to decline in the values of professionalism in the public services. The ethical and accountability standards of African public services have declined because of the reasons given as follows. 1.  Lack of Professionalism, Declining Sense of Integrity and Honesty and ­Conflict of Interest: Lack of professionalism, declining sense of integrity and honesty and conflict of interest are the bane of African public services. There has been an increase in the use of shady personnel practices and officials are deeply entrenched in corruption. For example, promotions in the professional category, such as university graduates or graduates from public administration institutes are not based on merit but on recommendations and right type of connections. There are no clear and objective criteria for staff evaluation. Therefore, it is not the most competent and hard working that are promoted but those who have the right political connections. This also makes the honest staff turn cynical and they too start indulging in corruption.   The legal status of certain categories of employees either lacks clarity or is completely ignored. For example, technical/lab assistants in universities and hospitals do not have a clear legal statute and their salaries and other benefits are haphazardly determined. There is no specific career plan, and merit-based promotion is very rare. This is a major cause of discontent that will compel these employees to indulge in corrupt practices. 2.  Poor Remuneration and Incentive Policies: Poor working conditions and miserable pay are major problems that contribute to the loss of integrity and deplorable service record of African public services.   Low salaries do not motivate government employees to increase productivity or enhance commitment to public service. Further, the salaries that are paid for the government staff are not competitive with the private sector for similar qualifications and levels of competence. This situation has led to uncontrollable loss of professional talent to the private sector leaving public service organizations with mediocre staff.

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  Over the years, several African governments introduced specific reforms in the public services. But, most of these programmes deal with other aspects of the public services and the issue of payments has remained unresolved. Low levels of payments for the staff have produced the following negative consequences on African public services: •  Biologists and chemists, instead of teaching in high schools, prefer to become bureaucrats in government so that they can collect some fringe benefits. •  Engineers, instead of choosing site construction activities, prefer the luxury of staying in an office because they can earn more without much inconvenience. •  Medical doctors in public health institutions and hospitals set up private practices, or provide part-time services in private clinics to make more money. •  University staff engages in extensive consultancy ventures because of the meagre pay packets that they receive from the government. 3.  Administrative and Bureaucratic Malpractices: Administrative and bureaucratic malpractices have adversely affected the integrity of the African public services. Poor compensation and reward policies resulted in the increase of administrative malpractices with far-reaching negative consequences such as frauds, bribes, kickbacks, circumventing laws and regulations to aggrandize personal advantage and using government properly and time for private gains. African governments are unable to pay adequate salaries to their staff and this made public servants to become corrupt so that they can lead a high standard lives. 4.  Weak Institutions for Enforcing Ethical and Accountability Standards: In most of the African countries, enforcing institutions and mechanisms have not been effective in monitoring the standards of professional ethics and accountability in public services. The institutions that enforce service integrity and accountability are professional associations, which, as independent civic society organizations, can prescribe standards of conduct and service delivery so that the members can follow them. But, such associations are very few and are handicapped by institutional, legal and capacity constraints to force professional and ethical standards among civil servants.   The watchdog organizations of the government have often been formally mandated to oversee the strict enforcement of ethical and professional standards of conduct in public service institutions. Some of the examples are inspectorate offices, the auditor general, civil service ethics commissions, anti-corruption and ethics commissions, offices of the ombudsman, attorney and prosecutor general offices and other relevant watchdog organizations. In recent years, most of these have been wanting in effectiveness in enforcing ethical and professional standards because political and bureaucratic problems have affected their efficacy as viable oversight institutions of public ethics and integrity.

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There are several reasons for the failure of watchdog organizations in upholding ethical norms in public services: •  Public employees do not adhere to the legal framework for enforcing accountability. In most of the cases, the legal statute is ignored and is viewed as inconsequential. •  Anti-corruption civil service tribunals or disciplinary councils which look into irregularities, such as abuse of authority, embezzlement of public funds and unlawful enrichment have proved ineffective because of too much patronage. Very often, the higher ups in the organizational hierarchy interfere in the work of such bodies and ask for clemency/leniency to protect their protégés. •  The judiciary is not effective because: i.  Judges in several countries of Africa are under the influence of patronage that affect the public services. ii.  Courts are over burdened with many backlog cases. iii.  There are very few judges as compared to the large number of pending cases. iv.  The support structures for the administration of justice are inadequately trained and poorly paid. Due to the above-mentioned reasons, the African judicial systems and legislatures have become ‘toothless’ institutions to fight corruption. 5.  Politicization of African Public Services: The politicization of African public services will dilute ethical conduct among the officials. The African public services have been manipulated by corrupt politicians. This unfettered politicization of public services has adversely affected professionalism in civil services and promoted mediocrity. It has also compelled the senior civil servants to be answerable to politicians at the cost of a diminished sense of responsiveness and accountability to the people.   The immediate years of post-independence Africa saw the advent of oneparty rule. Multi-party politics was rejected because it was argued that parties would be based upon ethnic groups and this would be a recipe for chaos and inter-ethnic conflicts. Single party politicians gave high managerial and administration positions in the government and parastatal sector to the party, faithfuls and civil servants considered not to be in favour of the ruling party were left out of the loop.   Even the advent of multi-party democracy into the system did not arrest the politicization of public services. Ruling parties continued to reward their loyalists by posting them in key areas in the public services and in the boards/directorates and management of public corporations. Then those who were appointed would remain loyal to their political masters. So, they have to be loyal and committed to the political party in power. Their performance as managers becomes secondary.

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With the result, the core values of pubic service ethics such as accountability, fairness, integrity, objectivity, equity, consistency get diluted. 6.  Deprofessionalization of the Public Services: Deprofessionalization of the public services has undermined the state of ethics and accountability in several African countries. It has seriously affected merit in the services. The personnel for the public ­services were selected on religious, regional or political considerations. If personal loyalty to political masters becomes the primary criterion for keeping one’s job and if performance is not taken into consideration, the bureaucrats will be least bothered about public accountability or to the needs of the people.   Selective recruitment for public jobs based on ethnic, political and religious considerations has created a negative impact on the African public services. First, the public services have become non-competitive, non-aspiring and vegetative. It has come to be occupied by the ‘deadwood’. Second, the quality of services provided by the mediocre staff is poor.   The lower echelons of the public services are overstaffed with semi-skilled workers like clerks, secretaries, letter carriers and reproduction staff, who lack the requisite skills to sell themselves in the labour market. Further, their salaries are low but they continue in service because of security in job. 7.  The Brain Drain Problem: The public service institutions in Africa have long suffered from a serious dearth of competent and professional staff. One of the main reasons for this is the problem of brain drain afflicting public service systems. As the pay and perks are meagre, highly trained professionals migrated in search of greener pastures. First, on the domestic front, Africa’s highly educated managerial and technical personnel have been moving into the private and nongovernmental organizations. Second, they have been lured by multinational corporations and foreign governments, which were ready to offer them better pay and service conditions. The problem of brain drain is having a devastating effect on the African continent. 8.  The Contribution of International Business to the Ethical Deficit and Corruption in Africa: The conduct of international business has contributed to fall of ethical and integrity standards in African states. Bribery became common among the civil servants in Africa. The Western businessmen promoted their exports in Africa by bribing officials. According to Rasheed, such unethical behaviour aided and abetted corruption among the government staff.   There is an urgent need to strengthen ethical behaviour and root out corruption in Africa. Over the past few years, transparency international (TI) has been making efforts in this direction. It made several documents in this regard and demanding action be taken to rectify it. For instance, it recently disclosed that in oil-rich Gabon and Congo-Brazzaville oil and political pay-offs define the contours of corruption. An investigation in France has revealed that secret slush funds were allegedly run by state-owned oil giant ELF Aquitaine in order to pay top officials in both countries as well as in France (Warigi, 2001).

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Efforts to Remedy the Problem of Ethical Deficit and Lack of Accountability in African Public Services Over the years, several African governments have taken steps to rectify the ethical deficit and lack of accountability in the public services. Africa’s development partners, including the World Bank, IMF and bilateral governments, have been pressurizing African governments to take concrete measures in a concerted manner to combat corruption in government. The donor community wanted a track record of clean government so that it can be eligible for receiving development aid and transfer of resources. For this, the African governments enacted a code of ethics and established institutions to enforce ethical behaviour. However, the various steps taken by the African governments to curb corruption and anti-ethical norms have not made any major impact on public institutions. The ­driving forces behind these attempts and why such efforts failed will be the subject of discussion as follows.

1.  The Driving Forces for Ethics and Accountability in African Public Services •  International Pressure: International pressure has been the most important driving force for maintaining high accountability standards in African governments. Multi-lateral and bilateral donors have played a central role in pressing for ethical and governance reform in several countries of Africa. In recent years, donors’ concerns to know how funds are being spent have led to taking steps to curb unethical practices and corruption in government. As a result, various international aid agencies, regional organizations and bilateral governments are making efforts to get an anti-corruption clean bill of health from governments so that they may get more financial aid. •  Emergence of an Active Civil Society Culture: In the recent past, there emer­ ged a vigorous civil society culture that has struggled to increase its involvement in the policy-making and implementation process of the government. Civil society organizations have started playing an increasing role in fighting antiethical behaviour and corruption in public institutions in Africa. Also, they have been vociferously demanding a more transparent, accountable and responsive public service delivery system. In countries where anti-corruption efforts have proved successful, creative partnerships between governments, civil societies, private sectors, independent professional associations and organizations have made a major impact because the civil society organizations have played a stellar role in promoting responsiveness and accountability in public services. •  Democratization and Liberalization: In their fight against corruption and unethical behaviour of the civil servants, the African governments were aided by the winds of democracy that were flowing into the country in the 1980s. Democracy has exerted pressure on African governments to strengthen the principles of good governance by making the administration more ­responsive

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and accountable to the needs and demands of the people. Democratic governance demanded greater transparency in the services. African governments have been seen implementing national ethics, integrity and anticorruption policies to make public institutions accountable and responsive to the people. 2.  Reasons for the Slow Rate of Change: •  Undemocratic Governance is an Impediment to Ethics and Accountabi­ lity of Public Services: The attempt to weed out corruption in many African nations has failed because the nature of governance has remained undemocratic. During the past, the reforms that were introduced to deal with the problems of corruption and unethical behaviour in public institutions have proved to be unsuccessful because they were implemented in an undemocratic environment. The steps to fight corruption and unethical behaviour would be successful only if the African governments show a firm political will and commitment to fight for the principles and practices of good governance. •  Lack of Firm political Commitment to Fight Corruption and ­Antiethical ­Conduct: There should be a strong political will to fight corruption. Most anti-corruption steps by African governments have been public relations exercises. African governments were reluctant to take action in cases relating to corruption or mismanagement unless the government gets some political mileage. Political executives have been interfering in the investigative process seeking leniency/clemency for friends and political loyalists involved in acts of corruption and unethical practices. Establishing anti-corruption institutions alone will not ensure its effectiveness unless it is backed up with measures that can enhance the accountability, transparency and responsiveness of public administrative systems. African governments should demonstrate with a strong political will its commitment to make public institutions responsive and accountable to the people. For instance, apart from ensuring accountability, fair and transparent public services, governments should also involve the civil society for making the system more transparent.

Policies and Strategies to Promote Ethical behaviour and Accountability in Public Services During the recent past, the African government have taken various policy measures to enhance ethics and accountability in government. According to Rasheed, this was on account of the increase in the incidence of unethical practices. The wave of political liberalization that swept across the African continent since 1989 made the people to demand greater enforcement of ethical standards and the punishment of violators. There was also a growing recognition that unethical practices have contributed to the

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e­ conomic crisis of African countries. Further, the pressure exerted by international donors requires African countries to strictly adhere to good governance and curtail waste and squandering of resources.

1.  Create Enabling Conditions to Enhance Professional and Ethical Standards in Public Services: The governments in different countries of Africa should create a healthy environment to promote ethical behaviour and professionalism in public services. Some of the measures that have to be taken include liberalization of the political process and commitment to transparent and accountable governance. It is very important to enlighten the public about the fact that public managers should be held accountable and answerable for results alone rather than political indices for success. Accountability to the citizens and professional conduct should reign supreme over any political criteria for evaluation. The ultimate verdict on civil servants should be passed by citizens as customers of government who will judge the quality and quantity of public service and its delivery in an impartial manner.



2.  Institutionalize Professional and Merit-based Public Service Career Systems: To strengthen integrity and accountability, public servants could be selected on the basis of achievement criteria and merit rather than patronage or political loyalty. Merit selects the best personnel for the bureaucracy. This promotes efficient and effective service management and delivery in modern governments.   Recruitment and selection for public jobs in African public services are still very much influenced by patronage and political considerations. This practice has compelled managers in the public sector to be accountable to politicians rather than standards of impartial professionalism and unfettered civic duty. Further, it has reduced the African public services into mediocrity staffed by second-rate government functionaries.   Recruitment or political considerations sacrifice excellence in public service for mediocrity. As a result, it is the public who ultimately pay the price for poor services. Inefficient public servants are unaccountable and unresponsive to the concerns and needs of the public. Such conditions help in breeding corruption and abuse of office for self-enrichment. Therefore, it is necessary to give attractive compensation packages for public employees, including competitive salaries and benefits for the civil service staff. This can reduce the temptation to engage in corrupt and undesirable practices, such as graft bribes and kickbacks.



3.  Decentralize Public Service to Promote Accountability and Responsiveness in Service Delivery: Decentralization has wider ramifications for ethical values and professionalism in public services. One of the major impacts of decentralization has been to place the responsibility for managing public services at the point of activity. For example in local governments and municipalities, lower levels of governments have become entry or starting points for providing services and carrying out government functions. There would be tremendous scope for enhanced accountability and responsiveness in public service at the local level because the

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people are nearer to the centres of service delivery. Thus, people are in a better position to hold public managers accountable and responsible for the quality and quantity of services. In Zimbabwe, decentralization has opened new opportunities to enhance integrity and accountability in services delivered by municipal and local governments. The steps taken to decentralize public services have encouraged civil society and other stakeholders to hold local government officials and councillors to be accountable and responsive to the needs and concerns of the local populace. In a trial experiment in two municipalities, the following specific measures were taken to build local integrity and accountability systems: •  Incorporating service delivery surveys in the budget cycle. •  Establishing a mechanism for involving residents directly in the preparation of the local budget. •  Making municipal documents and service plans auditable records. •  Commissioning preparation of handbooks for guiding residents on procedures and rules. •  Appointing a full-time public relations officer to receive, among others, public complaints as well as facilitating prompt communication between the community and the council. •  Undertaking value-for-money audits (Matovu & Chihambakwe, 2000).

4.  Enforce Strict Ethical and Accountability Standards on Public Service Managers: The ethical and professional standards must be enforced strictly to make public ­services accountable and responsive to the people. Professionalism is a useful alternative to promote accountability and answerability in government. According to Mosher, many professions have internalized value structures, which are promulgated, inculcated and policed by the profession itself. These set of codes of ethics place the interest of the client over that of the practitioner and prescribe strict propriety in dealing with the interest and privacy of the client. The strict enforcement of such value structures of the professions can make public servants more responsive, sensitive and accountable to the people.



5.  Incorporate Ethics/Civics Education as Part of Civil Service Training and for­ mal Educational Curriculum: The government should introduce ethics/civics education as part of the formal education curriculum in the training programmes of schools of public administration to fight corrupt practices in public institutions. For instance, there is evidence to prove in some countries in South America, that this policy has produced positive results in inculcating the values of ethics and integrity in public service. It is vitally important that the negative effects of corruption and lack of accountability in government and public service and in particular the debilitating effect of widespread corruption on the poor, be brought out in this exercise to educate the present and future generations.

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6.  Institute Preventive Methods to Combat Corrupt Practices and Unethical Values: Preventive methods to combat corrupt practices and unethical conduct have to be used instead of relying on measures that are usually punitive and not fully effective in tackling the problem. For instance, the press is usually quick to report on maladministration. But his not enough. Other steps that should be taken are: Public prosecutors investigate offences by public officials when these offences are reported; attorney generals investigating all acts of criminal nature and judicial review of administrative decisions are alternative deterrents. Further, regular and performance audits by auditor generals can also enforce accountability; and judicial commissions of inquiry appointed at the highest levels of government can also help enforce accountability and integrity in government. Such steps would result in the decline of corruption.

Problems of State Revenue Mobilization in Africa State revenue mobilization processes in Africa are adversely affected by corruption and unethical practices. The reasons for this are as follows: 1.  The generally accepted control, management and planning purposes of government revenue budgeting are inadequately served fuelling widespread corruption and loss of public resources. 2.  Shortage of adequately trained man power, technology and institutional capacity for effective revenue generation are also equally critical problems. Consequently, there is a great deal of loss of resources in the public revenues mobilization processes. The above two factors account for poor revenue/tax collection by African states: (1) weak revenue base and (2) lack of control over expenditures.

1.  Weak Revenue Base: The most important factor contributing to the continued ­fiscal fragility of African governments is the lack of progress in increasing the tax and non-tax revenues. The tax base for most African governments is extremely fragile, especially in countries that are heavily dependent upon taxes on international trade. There are many African countries that rely heavily on exports of primary commodities; As a result, as the terms of trade fluctuate from year to year, their revenue base varies widely (Ramakrishnan, 2002)   Apart from this, African countries do not generate sufficient revenue from user charges from services such as electricity, water, roads and communications. Such public sector undertakings that make losses result in deficit budgets throughout the region. The deficits could be gradually reduced by raising user charges to levels close to marginal costs. Greater reliance on user charges would also look into problems of revenue instability. With adequate safeguards, expanding the base for user charges could reduce instability of revenues because the demand for such services is much less volatile than ­revenue from commodity exports. Several countries have already initiated policy reforms in this area. For instance,

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after providing free health and higher education for decades, the government of Kenya announced its intention to impose substantial user charges in the national budget. After several years of free and highly subsidized college/university education, the Government of Ethiopia has announced a plan for sharing of costs in the coming years.   A third factor contributing to poor revenue performance in Africa is the lack of indexation to domestic prices so as to offset the loss of revenue caused by collection lags in countries with high rates of inflation. The overvaluation of the domestic currency tends to shrinking of tax base and reduced revenues from taxes on tradeables.

2.  Lack of Control Over Expenditures: Countries in Africa have generally found it extremely difficult to control the rate of growth of public expenditures, even tender very suppressive fiscal conditions. Short-term revenue gains from favourable commodity export prices were used to finance expansion of government payrolls and consumer subsidies, especially in nations with heavy reliance on trade taxes. The resulting future commitments are extremely difficult to cut back once the revenue increase has stopped. This pattern has resulted in deficits, the sustained appreciation of real exchange rates and accumulated chronic deficits.   The experience has also proved that lack of control over expenditures is the most important contributing factor to huge deficits, even in countries where there are positive rates of economic growth. The consequences of such lack of control over public spending can be managed with sustained rates of economic growth or with well-developed financial management, national savings and an expanding revenue base. However, since African nations suffer from unstable revenues, the lack of expenditure control results in fiscal deficits, which in turn results in revenue shortfalls.



3.  Main Sources of Revenue i.  Tax Collection from Businesses: As mentioned earlier, African governments have generally a poor revenue mobilization record from business taxes. The reasons are given below: •  Static Tax Rates and Fees: In Africa, business tax rates have remained static for several years and are not indexed to changing prices and values of commodities. This resulted in the decline of the real value of the revenues to be collected by the government on account of inflation. This causes drastic revenue shortfalls thus exacerbating the budget deficit problem. •  Loss of Revenue from the Informal Sector: There is a tremendous loss in revenue because African governments are unable to bring the informal sector of the economy into the tax net to an adequate extent and this has diminished potential revenue. In most of the countries, large amounts of taxes are lost due to contraband and illicit businesses and cross-border trade.

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Also, the failure to maintain books of account by businesses has contributed to subjective tax assessment and has opened the doors for corruption. •  Poor Revenue Collection Efficiency: There are several African governments that have a poor revenue efficiency record, that is, revenues collected fall short of the real potential. This inefficiency is ascribed to: inadequate revenue collection staff, poor salaries that do not motivate staff, poor incentives and working conditions, and lack of tax compliance mechanisms. All these inadequacies generate corrupt practices by tax officials, which in turn reduce the amount of money that goes into government coffers. Also, the inability of African governments to bring the informal business sector into the tax net to all adequate extent has also diminished potential revenue. Further, the public are also reluctant to pay their taxes regularly and the government is not able to deal with tax defaulters. All these have also contributed to poor revenue collections. ii.  Tax Collection in Real State: Tax collection in real estate in several African countries is fraught with a number of problems. These problems have given rise to widespread corruption throughout the system, which in turn resulted in loss of revenues for governments. •  Weak Enforcement Mechanisms to Deal with Tax Defaulters: African governments are unable to take action against tax defaulters on real estate property owners and those who fail to pay their dues to the government. The problem is further compounded by the absence of appropriate and up-to-date records and registers about taxpayers. The poor enforcing capacity coupled with the absence of information on real estate encourages tax evasion and opens opportunities for corrupt practices by tax assessment and collection staff. •  Lack of Organized Data: Accurate data that can be relied upon is crucial for effective revenue mobilization in real estate. There are many places in Africa where adequate information on land and buildings is not available, and this adversely affects the collection of taxes in real state. Proper documentation is lacking and this has prevented the government from applying the right taxing system. The inherent weakness in the system of revenue collection in real estate has meant that all potential revenue are not collected or mobilized. For instance, periodic assessments and re-evaluation of commercial properties and land are very rare. Information on land registration and urban houses is either scarce or in short supply. All these inadequacies will mean that tax assessment and determination will be influenced by the subjective judgement of tax personnel rather than a bona fide set of criteria determined a priori. In the final analysis, all these shortcomings in the system, open up ample opportunities for corrupt practices and reduce the tax that will accrue to the government.

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•  Inadequate Capacity for Revenue Mobilization: The revenue collection process in real estate in much of Africa is resulting in wastage of time, archaic and needs a lot of improvement. It lacks proper management, supervision and control. Improving the revenue administration system and training the needed stall are required to improve the revenue mobilization and utilization performance of governments. In general, overcoming shortages of qualified man power, problems of low motivation of revenue collection and assessment of personnel, archaic administrative regulations and improper staffing and placement practices in the system need to be resolved to enhance the revenue mobilization capacity of African governments in real estate. iii.  Tax Collection in Customs: Almost in all countries of Africa, rampant corruption and unethical practices by public officials are widespread in tax collection in customs. Often, law enforcement agencies such as the police and gendarmes and other law enforcement institutions, receive bribes or gifts to reduce taxes on imports and exports. This enriches the pockets of corrupt officials but deprives government coffers which need revenues very badly.

SUMMARY

  Accountability has become a very important factor in the politics and administration of all democratic countries. The holders of authority or those who exercise power should be made accountable for all their acts of omission or commission.



  The concept of accountability has got both positive and negative connotations. Negatively, it aims to prevent misuse or abuse of power and authority. Positively, accountability seeks to ensure satisfaction of people’s demands and a better order of things, which are cautiously referred to as ‘management’, ‘administration’ and ‘government’.



  Corruption, dishonesty and unethical behaviour among public officials have become common in several countries and are threatening the basic principles and values of the government. Also the public confidence is being undermined and the rule of law is being eroded. Thus, politicians and administrators have to be accountable to the people.



  Adopting laws, management practices and auditing procedures are the basic preconditions for allowing public scrutiny.



  Public accountability has become an important factor in both developed and developing countries. They include countries like the United States, Japan, India and Africa.



  If the bureaucrats are not accountable and responsive to the needs of the people, the system will collapse.

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E n d n o t es 1.  Somphon Wongchonglaw, Strengthening Public Scrutiny and Government Accountability. 2.  Ramesh K Arora and Tanjul Saxena (ed.), Ethics and Accountability in Government and Business (Jaipur, India: Aalekh Publishers, 2003), p. 113. 3.  Ibid., p. 115.

Q u es t i o n s 1. Discuss the concept of accountability. What are the instruments of accountability? 2. Give a brief account of public accountability in countries like the United States and Japan. 3. African public services lack ethics and accountability. What remedial measures would you suggest to ensure it? 4. Corruption and unethical practices in Africa has adversely affected the revenue mobilization. Discuss. 5. Bureaucracy needs accountability and responsiveness. Elaborate this concept giving examples from developing and developed countries.

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11 Administrative Corruption After reading this chapter, you will be conversant with: • Meaning and definition of corruption • Causes and root of corruption • Four perspectives of corruption • Steps to combat corruption • Recommendations of the Santhanam and Vohra Committees on checking corruption • Types of corruption • Meaning and definition of Whistleblowers • A tale of two Whistleblowers • Necessity of Whistleblowers • Whistleblowing in different countries • Protection of Whistleblowers in India • Roots of corruption in India • Office of Lokpal • Lokayukta and its evolution • Central Vigilance commission • Role of CVC in the present scenario

Introduction to Administrative Corruption Administrative corruption is a universal phenomenon and is found in almost all the countries. No country is free from it. The tentacles of corruption have spread far and wide and it is not an easy, task to root it out. ‘Transparency International’, an organization operating from Germany brought out a ‘Global Corruption Report’, showing honesty level of different countries in 2003. Out of full marks of 10 for 100 per cent honesty,

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India secured 2.7 only, whereas Finland, Great Britain and the United States secured 9.7, 8.7 and 7.7, respectively. It shows that a country like Finland, the country securing highest marks in honesty, too has 03 or 3 per cent corruption in their country. Even in Pakistan and Bangladesh, the corruption level is 74 and 88 per cent, respectively but this should not make India complacent while dealing with corruption. It is not an easy task to conduct research studies pertaining to corruption in public administration. It is a risky venture. Such researchers become persona non grata1 both in the academic and official circles. Generally, officials are against exposing their colleagues, who are involved in corruption, nobody would like to paint the public administrative system as corrupt or dishonest. Each country has its own brands and patterns of corruption and it is difficult to generalize on them. In his lecture on morality and ­administration in 1957, Paul Appleby said a code of administrative ethics should be introduced in US ­public service. The National Commission on the Public Service in the United States, in its report (1989) called for rebuilding trust in public officials and remove from the minds of the public, the perception that public officials are corrupt, waste and ineffective. The perception of the people regarding their governments must change. Corruption has become a global phenomenon. No administrative system in the world is free from it, irrespective of the political culture, whether democratic, communist, military dictatorships, socialist or capitalist. It is present in all forms of government and ideology is no barrier. Scandals broke out in modern Western democracies too. Corruption has spread its tentacles all over the globe. Administrative ethics have touched rock bottom in former communist blocs, poverty stricken underdeveloped countries of Asia, Africa and Latin America. India’s former prime minister late Indira Gandhi admitted that corruption has become a global phenomena.

MEANING AND DEFINITION OF CORRUPTION Generally, corruption means that an official deviates from their normal duties violating the rules because of private gains or reasons. According to the definitions of Lectric Law Library’s Lexicon, corruption is an act done with an intention to give some advantage inconsistent with official duty and the rights of others. It includes bribery, but is more comprehensive. Sometimes corruption is understood as something against law such as a contract by which the borrower agreed to pay the lender usurious interest. Then, in such cases, it is considered as corruptly agreed. According to N. J. Nye, corruption includes bribery (use of rewards to pervert the judgement of a person in a position of trust); nepotism (bestowal of patronage by reason of ascriptive relationship rather than merit); and misappropriation of public resources for personal gains’.2 The Prevention of Corruption Act, 1947,3 defines the scope of corruption of public servants as 1.  Accepting illegal gratification. 2.  Accepting valuables without or for a nominal consideration.

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Misappropriation rules have abundant loopholes. Corruption is the deliberate and intentional exploitation of one’s position, status or resources for personal gain or interest to the detriment of public interest. It is the acceptance of illegal gratification provided for not doing an official act to render service or disservice according to the Indian Penal Code, punishable with imprisonment f officials or 3 years or fine.

CAUSES AND ROOT OF CORRUPTION There are several factors that cause corruption in developing countries like India. Some of the important of causes are as follows:4 •  Corruption is the outcome of the increase in the government’s activities, especially its regulatory activities. It enjoys arbitrary powers in areas like recruitment to public services, grant of licenses, permits, contracts, tenders, allotment of railway wagons and so on. It is more pronounced where the public official comes into direct contact with the people at the taluk, registration, excise, public works department and so on, as there is tremendous scope for corruption. The official enjoys a lot of discretionary powers. Also, economic planning also lead to corruption. •  Red-tapism or the cumbersome dilatory procedures are responsible. They cause a considerable amount of delay in moving files. If ‘speed money’ is paid, the files will move quickly. People do not mind paying extra to get their work done. There is collusion between the bribe giver and the taker. •  The inflationary trends prevailing in the country also lead to the growth of corruption. It will result in the rise of cost of living. To maintain their high standards of living, officials take bribes and it becomes a habit. •  Article 311 of the Constitution of India empowers the government to dismiss a corrupt employee but it should be based on strong evidence against the official and it is not easy to prove the charges. Usually, it favours the corrupt. It is a very cumbersome article, which before the 42nd Amendment went generally in favour of the accused. Accused are given a reasonable opportunity to prove their innocence. Even the Santhanam Committee on Corruption felt that Article 311 made it difficult for the government to take action against the accused. The crass material culture, in which everything is measured in money and materialistic development is also responsible for the growth of corruption in the society. Worship of Mammon has become the order of the day. The old moral code of simple living and high thinking has almost vanished and people are becoming more and more acquisitive. There exists what is called an ‘anarchy of values’.5

THE FOUR PERSPECTIVES OF CORRUPTION Corruption can be viewed from four broad perspectives. They are as follows:6 1.  Legal 2.  Historico-cultural

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3.  Public interest 4.  Market-centred According to the legal perspective, corruption means deviating from legal rules or norms of the public office. The legal perspective helps us in giving a broad agreement over the definition of corruption and over the scope of the study. But it does not throw light on the actions and inactions of officials, which corruption laws do not cover. Under the historic-cultural perspective, traditional practices and perceptions are taken as the basis for identifying corruption.In the public interest perspective, corruption is identified in terms of sacrifice of public interest for private gains. Market centred perspective views corruption as a maximizing mechanism that enables a public official to use his official domain to serve himself in accordance with the laws of demand and supply, and at the same time benefiting the corrupt in a situation of scarcity. If there are any loopholes in the laws relating to corruption, it may lead to other forms of corruption. In case of public interest, there is a danger if state officials try to justify even unworthy or illegal actions in the name of public interest. It becomes a case where ends come to justify the means. If corruption is viewed in the historico-cultural context, corruption thrives under the cloak of traditional values and norms of behaviour. While laying excessive emphasis on history as the main determinant of people’s attitude towards corruption, it seeks to relate corruption to the nature of society, making it difficult to see the role of state authorities in colonizing these values to promote and perpetuate other more modern issue-based exchanges. According to Ramesh Arora, corruption can be broadly divided into the following: 1.  Power and authority 2.  Law and policy

Corruption—Power and Authority Corruption is perceived as a craft that can be used by the elites in the state, both political and administrative, for transforming authority into power, which can be exchanged for other kinds of power to favour or disfavour to specific individuals or groups in it. Corruption has two forms. They are the discriminatory exercise of power flowing out of authority and the mode of taking power beyond the limits of authority. The Santhanam Committee had gone into cases of discretionary exercise of authority while the Shah Commission appointed in 1977 has gone into the mode of taking power beyond the limits of authority. In both the cases, corruption may result in contrasting reactions, a sense of helplessness among sufferers and confidence in beneficiaries. Political corruption and administrative corruption are complimentary to each other; they are, in fact, inseparable. Administrative corruption contaminates and affects everybody who comes into contact with it. Politicians connive with the administrative officials and turn a blind eye towards corruption; they are hand in glove with those who are in power.

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Administrative corruption has the capacity to contaminate everyone who comes into contact with it. Politicians will turn the other way when they have to take action against corrupt officials because it suits their purpose. An administrator has several ways to silence the accusers, incriminating evidence will be unavailable and there is a possibility of bribing the prosecutors. The public too has to fight against the prevailing corrupt trends in the society. The nature of the modern administrative state is such that it penetrates into all social activities and mergers into other institutions and sectors. The public sector too has been contaminated by the canker of corruption. Corruption presents a serious challenge to the integrity, well-being and stability of the global society in which everyone is a victim of its distortions of power and governance. The international community has come to realize this and it has intended to take up the aspect of corruption seriously. There is no denying the fact that centralization of authority is the main cause of corruption. It makes both alignments easier for those in power and access difficult for those without power. However, one should not come to the conclusion that corruption belongs to only the higher echelons of power. It even percolates downwards. At the point of operation, power is not only shared but also actualized. Corruption is interlinked with patterns of power organizations in the system or in the manner power tends to organize its relations between the state and the society. The panchayat raj institutions, apart from decentralizing power, also decentralized corruption. Karnataka is the best example for this. Even in West Bengal, studies carried out by Neil Webster indicated that corruption existed in various levels in panchayat institutions. There were malpractices in the implementations of development programmes.

Corruption—Law and Policy In the relations between the state and the society, law and policy provide an important dimension. Corruption emerges outside the framework of law. It is extra-legal or illegal which in turn distorts the very basis of power. Corruption tries to neutralize or manipulate law. According to the national police commission, exhortation by police of periodic payments or hafta from shopkeepers, platform vendors, brothel keepers, promoters of gambling dens and other illegal traders is paid to escape the network of unfavourable laws. Corruption not only has the capacity to neutralize or redefine the features of law but also contributes to the creation of new law as well. The very purposes of law are defeated or frustrated by vested interests. Along with this, some of the policies and programmes of the government are not allowed to succeed. The vested interests or the intermediaries are determined to strengthen their own position by exploiting policies or programmes. This is evident from the fact that a large number of politicians and administrators try to corner benefits at the implementation stage of the policies and programmes. Administrative committees were appointed by the Government of India to examine how corruption could be eliminated. Important among them include the Santhanam Committee and the Vohra Committee.

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RECOMMENDATIONS OF THE SANTHANAM COMMITTEE AND VOHRA COMMITTEE ON CHECKING CORRUPTION A committee for prevention of corruption was appointed under the chairmanship of K. Santhanam. In its report submitted in 1964, the committee gave an insight into the growth of corruption in the society and the causes that had contributed to it. According to the committee, the causes of corruption are as follows:7 1.  Administrative delays. 2.  Overburdening of the government with regulatory functions. 3.  Scope for personal discretion in the exercise of powers vested in different ­categories of government servants. 4.  Cumbersome procedures of dealing with various matters which are of importance to citizens in their daily affairs. To tackle administrative delays, the committee suggested that the following measures should be taken:8 1.  The government should review the existing procedures and practices to find out the causes for the delay and devise suitable steps to minimize the delays at different stages. 2.  Definite time limits should be prescribed dealing with receipts of files and time limits should be strictly adhered to. 3.  Posting at levels lower than that of the under secretary should be avoided, especially in ministries and departments that deal with the grant of license of permits of various kinds. 4.  Levels which important decisions should be taken have to be clearly prescribed. In order to reduce the burden of the government, each ministry/department should undertake a review of the regulatory functions which are its responsibility, with a view to see whether all of them are strictly necessary and whether the manner of discharge of these functions and of the exercise of powers of control are capable of improvement. Regarding personal discretion, the committee recommended that adequate methods of control should be devised over the exercise of discretion. An official possessing discretionary power should not act arbitrarily. Regarding cumbersome procedures, the committee suggested that the citizens should be educated and enlightened on various issues and procedures. Accessibility to administration at different levels should be made easy. Other important preventive measures recommended by the committee are: 1.  Only those persons with outstanding personal integrity should be appointed to high administrative positions. 2.  In making selections from non-gazetted to gazetted rank for the first time, all those whose integrity is doubtful should be eliminated.

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3.  Every officer who sponsors a name for promotion should be required to record a certificate that he is satisfied that the government servant recommended by him is a man of integrity. 4.  Only those with integrity should be given extension or re-employment after retirement. 5.  A redressal cell should be set up in every ministry or department. Bonafide complainants should be protected from harassment or victimization. 6.  All visitors to offices dealing with license/ permits should enter their names and purpose of their visits in a register to be kept at the reception of the office. 7.  Steps should be taken to prevent sale of information. Information not treated as secret should be made freely available. The Santhanam Committee’s report set out to lay down a procedure for (1) dealing with specific allegations against central and state ministers; (2) a code of conduct for central and state ministers; (3) a code of conduct for members of the Parliament and members of the legislative assembly; and (4) a code of conduct for political parties. The Santhanam Committee recommended that the president might constitute, on the advice of the prime minister, a national panel out of which a committee of three persons may be constituted to enquire into the allegations against a minister. At least one of the three persons should have held or should be holding a high judicial office. If a formal allegation is made by any 10 members of the Parliament in writing to the prime minister through the speaker or the chairman, the prime minister should consider himself obliged, by convention, to refer the allegation for immediate investigation by such a committee. The committee constituted out of the national panel should first ascertain whether there is a prima facie case. It should have the power to direct the CBI to investigate and report. If the committee wishes to make some enquiries other than through the CBI, it should be given necessary facilities. The Santhanam Committee recommended that the code of conduct for ministers should include the same provisions as for public servants in respect of acquisition of property, acceptance of gifts and disclosure of assets and liabilities. It was suggested that the code for ministers should be placed before the Parliament. Another matter touching ministers put out by the Santhanam Committee was in respect of fund-raising, which could lead to corrupt practices.

STEPS TO FIGHT CORRUPTION Gerald Caiden has suggested the following steps to fight corruption at the global level. They are as follows:9 1.  Fostering of a democratic ethos: Breeding of corruption takes place in agencies where people are made to feel that they are alienated by public officials who do

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not ­recognize their sovereign authority. Democratic ethos is fostered to restore people’s identification with the polity and restore their sense of ownership. Bureaucracy should represent public opinion and should also reflect the social structure. Democratic ethos can also be fostered through various socializing institutions such as Homes, religious instituation, schools, youth clubs, mass media and armed services. 2.  Fostering of a universal ideology of public service: There has been a concerted attempt to internationalize an ideology for public service. The principles on which the ideology should be based were declared in the French Revolution. They are: i.  Government is a public trust to be used in the general interest and not for a sectional interest. ii.  Public officials have to abide by the laws in the same way as anybody else. iii.  Public officials are the servants of the people. iv.  Public officials should be the embodiment of all public virtues, that is, they should be qualified, honest, hardworking, impartial, wise, just, trustworthy, reasonable and their conduct should be irreproachable. v.  Appointment to public office should be based on merit and not on privilege or discrimination. vi.  Public officials should perform their duties efficiently and economically and guard against corrupt practices. 3.  Fostering of public service code of ethics: A code of ethics for the conduct of public officials, which can be applied in all countries, has to be formulated. Despite the presence of anti-corruption wings in government agencies, they are proving to be inadequate in weeding out corruption. Apart from this, the anti-corruption bureaus are themselves becoming corrupt. At least, a code of conduct will ensure a measure of certainty in the standards of ethical conduct among civil servants. In 1978, the International Association of Schools and Institutes of Administration (IASIA) formulated a code of public service ethics for guidance to its member countries. Since the duties of public officials are too diverse or varied, even if a code has to be formulated, it should be as role-specific as possible so that it can have universal applicability. 4.  Fostering of Public Service Ethics Education and Training: The International Association of Schools and Institutes of Administration (IASIA) has emphasized the need to include values and ethics in education and training programmes for public servants. Members cutting across nations and cultures felt that the IASIA itself should set up the required standards of conduct in the training programmes. The adopted standards are as follows: i.  Instruction in a governmental system which fosters and protects the responsiveness and accountability of public servants to direction and control by the public through representatives.

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ii.  Instructions in a system of public communication, which fosters citizen understanding and makes them to participate in the process of governance. iii.  Instructions in the purposes and the limitations of government as an institution for fostering economic and social progress and cultural values. iv.  Instruction in the rights, obligations and responsibilities of individuals and groups within the social and political system. According to the IASIA’s Ethics Working Groups, the instruction to the public administrator should include the following:10 1.   The prevailing system of laws, regulations and practices governing the conduct of all public officials and employees. 2.   Standards of conduct that prohibit the use of public office for self-interest or private gain or for improper preferential treatment or disclosure or confidential information. 3.   Standards of conduct, embodying respect, fairness and justice by public officials and employees in their individual and group relationships and their contacts with the public. 4.   Modes of behaviour by public officials and employees which reflect the need for responsiveness and loyalty to the professional colleagues and for the support of legitimately established governmental and departmental policies and programmes within a framework of conscientious observance of established rules and procedures ensuring that public resources are utilized in an effective and efficient manner.

TYPES OF CORRUPTION There are three types of corruption. They are collusive, coercive and non-conjunctive. Under the collusive form of corruption, corruptees take a lot of interest in participating in corrupt activities and they use it as a means for deriving benefits greater than the costs of corruption for themselves ‘by jumping the queue or by obtaining undue ­attention or avoiding problems that others face because of their incapacity or unwillingness to resort to similar methods’. Commenting on the prevalence of corruption in India, the Santhanam Committee in its report said: We are told by a large number of witnesses that in all contracts of construction, ­purchase, sales and other regular business on behalf of the government, a regular ­percentage is paid by the parties to the transaction and this is shared in agreed proportions among the various officials concerned. We are told that in the constructions of PWD, 7 to 11 per cent is usually paid in this manner. In all cases, failure to pay the percentage results invariably in difficulty and delay in getting the bills passed.11

In its report, the Janakiraman Committee inquiring into the bank securities scam stated that many top officials of public sector banks helped Harshad Mehta financially by

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bending the rules. Another form of collusive corruption is concerned with interpersonal relations or loyalty. Primordial loyalties such as caste, religion or regional considerations play a very important role among officials who indulge in corruption. Coercive corruption is a one-sided victimizing corruption inflicted upon the corruptee by those in authority. Coercion not only includes physical violence but also mental torture through threats of punishment. The third report of national police commission in its report stated, ‘Corruption in police, as in any other branch of public administration, is clearly linked with the scope for exercise of power to the disadvantage or disadvantaged of one or the other. It is however, qualitatively different in police because of the predominance of extortion and harassment as compared to collusive corruption that prevails in several other departments, particularly those connected with collection of taxes or issues of permits and licenses. Both inaction and undue action form the tactics of such corruption. The Santhanam Committee expressed the view that corruption is largely contingent upon the willingness to corrupt and corruption is interestingly ‘both willingness and capacity to corrupt is found in large measure in the industrial and commercial class’. Non-conjunctive corruption is different from the other two other types of corruption. According to this form, an individual in authority exercises his powers in such a way that he gets all the contracts or goods and services for himself by furnishing false information. The Vigilance Commission in its annual report of 1984–8512 stated that 27 per cent of the vigilance cases in the Department of Telecommunication related to misappropriation of government store materials. Pilfering store materials by making false entries in the registers, entering fictitious names of labourers in the muster rolls and pocketing the wages of workers meant for disbursement are examples of non-conjunctive corruption. In the Posts and Telegraphs Department, out of 225 cases handled by it, nearly 23 per cent were related to misappropriation of stores materials. The attitudes of the public to such types of corruption differ widely. Collusive corruption is closely guarded both by elite sections of the community and the vested interests who enter into it. People are willing to pay some extra money if they feel that it would cut administrative delays drastically. Further, they are largely unaware of non-conjunctive corruption and are generally indifferent to it. People express concern only if they are adversely affected by corruption.

Strategies of Corruption The corruption system has five important strategies. They are mystification, distancing, folklore, colonization and pacification. Mystification: Mystification is the most effective strategy of the corrupt system. It has three important aspects. Generally, those who exercise their authority seek to spread the mystique of their power. People are given the impression that the officials enjoy unlimited authority with a wide range of discretionary powers. Commenting on the mystification of authority, the third report of the national police Commission stated: ‘Certain police powers which involve the exercise of discretion in the day to day working of the police… give scope for corruption and malpractices accompanied by extortion and harassment to the public’.13 Such a strategy is interwoven with the rights of the people. Rights become

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insignificant because people are denied the necessary information regarding their rights. They are ignorant of the fact that they possess rights. They do not have the general awareness. A parliamentary committee attached to the Ministry of Personnel in 1988 stated in its report that the government was spending a lot on anti-poverty programmes even though 60 per cent of the country’s population is illiterate. Mystification is also linked with official acts covered under the Official Secrets Act, which withholds certain kinds of information from the public. But the officials are misusing this power to withhold even the information which need not be classified as secret. Distancing: Distancing is a type of strategy that is adopted to create a distance between persons of authority and those without it and the latter become insignificant and helpless. Under this strategy, people are denied participatory rights and exclusion of people belonging to the operational structure of the state. Owing to this type of distancing, a large number of rural development programmes are resulting in utter failure. Middlemen or brokers indulge in corrupt practices and they siphon off a large chunk of resources. In this form of strategy, the concerned officials play a dual role as a private person and a public person. The public person becomes accessible when approached as a private person through middlemen. Folklore: Gunnar Myrdal has stated that the folklore of corruption in India is highly effective as a strategy. The idea that corruption is pervasive and universally present is spread far and wide like wildfire. Also, the idea that corruption is deeply entrenched in the system and it is highly impossible to root it out is also spread among the people, thus non-conjunctive corruption grows and thrives.14 Folklore of corruption provide a congenial atmosphere for the middlemen to carry on their nefarious activities. Colonization: Colonization means the use of certain harmless traditional practices among the people. Colonization of traditional values and norms is the result of the modern systems of authority and power. Therefore, while carrying out studies on corruption, emphasis should be on the traditions and cultural aspects of the society. It gives an insight into corruption. It also gives an idea into the norms of patterns prevailing in the society. Pacification: As a strategy, pacification seeks to perpetuate the state of corruption. Persons wielding official authority try to obstruct and weaken any measures to eradicate corruption. However, through some symbolic gestures they convey false message to the people that they are taking steps to fight corruption seriously. In order to pacify the people, the government takes measures such as appointment of investigative agencies to look into charges of corruption, ordering of departmental enquiries into official lapses, transfer of cases to vigilance cells and so on.

Combating Corruption in Public Life Ramesh Arora advocates for a multi-pronged strategy to combat corruption in public life. In order to contain or combat corruption, a multi-pronged strategy should be formulated. It is not possible in any short treatise to dwell upon all the possible strategies for combating corruption, since a holistic analysis would demand a focus on socio-cultural,

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economic, political administrative legal judicial and even technological aspects of reforms in the governance system. For effectively combating corruption, the institutional structure of the society has to be transformed. To bring integrity into the political system, the following steps should be taken. 1.  Socio-cultural transformation is the key to any change in the ethical conduct of political and administrative leadership and even the people at large. 2.  The electoral system has to be reformed. It has to be made less expensive and more rational. Donations to political parties should be made more transparent and laws governing political parties should be tightened. 3.  Only persons of impeccable character should be recruited by parties for membership and leadership positions. 4.  The system of transfers should be regulated by law. They should be allowed to regulate the system of transfers of government officials. They should not be transferred indiscriminately at the whims and fancies of the government, there should be no arbitrariness in promotions and disciplinary action should be minimized. 5.  In governmental decision-making, appointments, grants, privileges, subsidies and other benefits, discretion should be minimized. 6.  To mitigate the adverse impact of politician–administrator nexus, important decisions, particularly those having high financial stakes and implications, should be taken or reviewed at the level of the chief secretary, chief minister, cabinet secretary, prime minister and the cabinet. In 1966, the Administrative Reforms Commission of India had recommended the appointment of a two-tier ombudsman type of authority at the Central and state levels in India to prevent misuse of discretion and corruption by politicians as well as administrators. So far, the central authority, to be known as the Lok Pal has not been set up despite six attempts. Similarly, the central vigilance commissioner, who is currently playing a visibly effective role, can prove to be penetrating and profound in impact, in case it is proved.

Strengthening the Effectiveness of the Judicial System In order to prevent the misuse of power by politicians and administrators, the judicial system has to be strengthened and made more active. Only then can the national ethos and ethics can be prevented from further decline. Every society should be based on firm foundations of ethics. Otherwise, it has no future. History is replete with the facts of corrupt societies perishing. No corrupt society flourished. Judicial system has to be strengthened and justice should be speedily delivered. Justice should not only be manifestly done but actually done. Rules for judicial proceedings should make the disposal of cases time-bound. Frequent adjournments

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should not be permitted. Public investigating agencies should not dilute their functioning. Computerization of cases and records and other management techniques should be introduced in the judicial system. The Supreme Court should supervise the workings of the high courts, who in turn should supervise the workings of the lower courts. Auditing in judicial institutions should be done on a regular basis. The criminal cases should be disposed quickly. At present, there are hundreds of cases pending in the Indian courts which should be disposed of quickly. If these cases have to be quickly disposed, a shift system needs to be introduced in which retired judges and judicial officers with proven integrity have to be appointed on a contractual basis. The performance of the special courts that were constituted under the ­provisions of the Prevention of Corruption Act of 1988 has to be reviewed at regular intervals to make them more effective and efficient. The administrative tribunals should also be strengthened. According to Section 161 of the Indian Penal Code of 1860, corruption is the acceptance of any gratification whatever, other than legal remuneration as a motive or reward for doing or forbearing to do any official act or motive or reward for bearing to show favour or disfavour to any person, or rendering or attempting to render any service or disservice to any person. Accordingly, bribe-taking and favouritism were treated as the main corrupt activities under the Indian Penal code. The prevention of Corruption Act, 1947, supplemented the earlier legal provisions concerning corruption. Thus, the Act can be viewed as a piece of legislation, the application of which to the offences embedded in the Indian Penal Code provisions invites a tightened approach. Section 5 (1) of the Prevention of Corruption Act, defines the criminal misconduct of a public servant in the discharge of his duties in terms of illegal gratification, accepting favours in exchange of undue official favours, dishonest and fraudulent misappropriation of official property, obtaining pecuniary advantages far above the official position and having property disproportionate to the legitimate income.15 If there is a strict legal, judicial and administrative control, corruption can be ­mitigated to a large extent. This has been the experience in almost every country. Stringent punishments for the corrupt acts as a deterrent. In this regard, Arora writes, ‘If corruption is made a high-risk activity and if a corrupt person has substantial chances of being caught, punished and even jailed, such risks are bound to act as deterrents’.

Constitutional Protection to Whistleblowers A Constitution Review Commission of India was appointed to correct the loopholes and bottlenecks prevailing in the Constitution. In this regard, it should also recommend provisions for protecting whistleblowers who sound the alarm of serious malpractices, corruption or fraudulent activity into the government or public sector organizations. Then, the officers with integrity, commitment and sincerity will come forward to expose corruption in their organizations. Such officials should not be victimized. It should be based on the pattern prevailing in the advanced Western countries like the United States, Britain, Australia and Canada. This can be called the Public Interest Disclosure Act, which will go a long way in promoting probity and integrity in public life.

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Although the American law extends to both the public and private sector, the Indian law can be based on the model practised in Australia. The proposed law, which is under consideration by the Constitution Review Commission, envisages that a whistleblower can report his public interest concern to a regulator who will be an authority independent of the concerned organization. Under the present framework, the Chief Vigilance Commission could be made such a regulator. The above mentioned legal measures will encourage whistleblowers to come ­forward and expose corruption. The media will also get encouragement from such a legislation to play a constructive role in cleansing public life. The term whistleblowing was first coined by the Nolan Committee of Britain, which means the confidential raising of problems within an organization, not in popular pejorative sense of leaking information to the media. The Committee’s perception would be feasible even for India because it will check the clandestine leaking of information by an employee to media, but would not restrict the media to play its useful role on its own. Satyendra Dubey, a brilliant engineer of IIT, Kanpur, in his early thirties, was working in a responsible post in the Bihar division of a road development project of National Highway Authority popularly known as ‘Golden Quadrilateral’, a project which is dearer to the heart of the prime minister. Dubey wrote to him directly, explaining to him some of the corrupt practices that were taking place in his workplace. His letter to the prime minister was marked ‘confidential’. Unfortunately, the confidentiality was not maintained by the prime minister’s office, and the contents were leaked. Dubey started receiving threatening anonymous phone calls and indirect threatening from persons who matter. Scared, Dubey wrote to his superiors seeking protection. In response, he just received a transfer order, which he complied with moving to his new headquarter at Gaya. On 27 November 2003, his dead body with bullet injuries was found lying in front of Gaya Circuit House. Therefore, it is necessary to give full protection to the whistleblowers. Violators become so accustomed to their practices and the protection given to them that on exposure they express surprise and claim innocence and unfair discrimination.

Amendment of Article 311 of the Constitution The Civil Servant Conduct Rules which deal with inquiries and disciplinary procedures are dealt by Article 311 of the Constitution. According to Article 31 (2), an amended after the 42nd amendment lays down that no person who is a member of the civil service or the union or an all-India service or a civil service or a state or holds a civil post under the union or a state shall be dismissed or removed or reduced in rank ‘except after an inquiry in which he has been informed of the charges against him and given a reasonable opportunity of being heard in respect of those charges’. Prior to the 42nd Amendment, Article 31 went in favour of the accused. The Santhanam Committee also voiced its criticism against Article 311 that it favoured the accused, and they cannot be dealt with effectively. The provisions of the Constitution were abused by the accused. This trend discouraged the superior authorities to initiate action against the superior authorities. However, during the Emergency, (1975–77) Article 311 was amended and it laid down the following.

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Streamlining the Investigation and Prosecution At present, there are a number of investigating agencies at the Central and state levels dealing with cases relating to corruption. The prominent investigating agencies include the Central Vigilance Commission, State Vigilance Commission, Central Bureau of Investigation and Anti-corruption Departments. However, there is no coordination among them. For this, a nodal agency has to be set up to exclusively deal to with this purpose. The Vohra Committee which was appointed to look into corruption also felt that such an agency would help in gathering evidence against the accused through a coordinated functioning of these agencies. There are frequent delays by the concerned government authorities in granting permission to the investigative agencies to prosecute the accused public servants due to some legal constraints. Thus, the prosecution is lengthened unnecessarily. On some occasions, such permission is even denied to the prosecution agencies. For example, the Central Bureau of Investigation, responsible for investigating cases under the Prevention of Corruption Act, registered 110 corruption cases between 1969 and 1996 against IAS officers. In 30 per cent of the cases, the government did not grant permission to proceed against the erring officials and only less than 3 per cent lost their jobs. In February 2001, the Central Vigilant Commissioner, N. Vittal had directed the chief vigilance Officers of all organizations to initiate parallel departmental proceedings ­independent of the court proceedings. As the procedure of investigating agencies is time-consuming and cumbersome, the delay gives benefit to the people and agencies accused in corruption.

Transparency and the Right to Information In majority of the cases, corruption is an upshot of secrecy and avowed confidentiality in the conduct of government affairs. Laws relating to official secrecy in India, especially those relating to the Official Secrets Act of 1923, have made information or details, inaccessible. No wonder, the bureaucrats are manipulating innocent citizens. The Official Secrets Act of 1923 is a replica of the British Act of 1911 as amended in 1920. The provisions of the Section 5 of the Act are so comprehensive that almost all information about the government can qualify to be classified as an official secret. The Officials Secrets Act has become a convenient smokescreen to deny the public even the required or necessary information. In recent times, several state governments like Tamil Nadu, Maharashtra and Goa have enacted laws relating to Right to Information to make their governments, especially the administrative systems more transparent. Transparency and corruption are inversely correlated to each other and that is why the focus has now shifted on providing more transparency. Also, at the national level, a draft bill on freedom of information is in the process of finalization. This is a comprehensive bill, which would enable a common man to have access to the Central and state government records.

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Strengthening the Ethical Component of HRD Civil servant should not be recruited on the basis of a written examination and an interview alone. One of the important drawbacks of the recruitment system is that they are recruited on the basis of a written test and an interview which lasts for a little more than half an hour. This is not an appropriate method. Such a method only judges the intellectual calibre of the prospective candidate but it does not take into consideration the values and ethics that they cherish or their psychological orientations. Thus, alternative strategies have to be devised to recruit candidates to higher civil services. Here, it would be useful to follow some guidelines that are currently in practice to recruit personnel in the defence services. Basing on those guidelines, there should be a multi-stage recruitment system where the behaviour, values and psychological orientations of candidates could be observed and tested by experts after conducting simulation camps at field levels in administration. The candidates should also be made to interact with psychologists to unravel their psychological dispositions. Such sessions with psychologists or psychiatrists would expose the ethical dimensions and the inner lives of the individual. Even the induction and in-service training that are currently imparted to the recruited candidates lacks ethical component. There is no room for morals or ethics in the training programme. There is an urgent need to rectify this imbalance in training at all levels. The IASIA suggested that training in public administration should also include imbibing ethical values among civil servants. In other words, officials should be fair and just while discharging their duties. They should not indulge in self-aggrandizement. Another aspect is concerned with the appraisal of an employee’s ethical conduct. At present, there is a column on the ethical conduct of a civil servant in the annual performance appraisal (APA) which has to be filled by their immediate superior officer. According to the rules, if there is any adverse remark in the APA on the performance or behaviour of the employee, it must be communicated to the employee concerned and they should be given an opportunity to explain their conduct. In most of the cases, if the aggrieved employee is gives his side of the story in writing, the adverse remarks made by the senior officer are nullified. This generally discourages the senior officer from ­recording adverse or negative remarks in the APA sheet of their juniors. In order to plug this loophole, it is suggested that in the APA, a new column to record the ethical conduct of a public official should be incorporated. It should be filled in by a reporting officer. The details in these columns should not be communicated to the officer concerned even if the report is adverse. Thus, the confidential entry will reflect the ethical standards of the employee. Gradually, over the years, the ethical profile of a public official gets formulated. Though such a measure would not adversely affect an employee, such information on the ethical behaviour would help the higher authorities in making selections to highly sensitive posts.

Toning Up Administrative Effectiveness Gunnar Myrdal (1898–1987), the Swedish Nobel prize winning economist published his major work Asian Drama: An inquiry into the Poverty of Nations, in 1968. In his work, he branded India as a ‘soft state’ where there is excessive leniency and complacency in

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the execution of laws. Superior officers are reluctant to exercise supervision over their subordinates. Usually, they turn the other way, if they see corruption. There is too much of acceptance of the deviation from norms and rules, resulting in violation of laws. Generally, in majority of the cases, bribes are paid to the concerned officials for speedy movement of files, in other words, to expedite the administrative decisions or actions. In order to rectify this lacuna, there should be a change in the system to cut administrative delays. Those responsible for the delays must be punished. Over the years, investigating agencies are growing in leaps and bounds. This is because most of the heads of the departments are not discharging their roles of supervising their subordinates. During the 1970s, the former chairman of the Punjab National Bank16 said ‘if the senior officers supervise their subordinates properly, there would be no need for any major administrative reforms’. The Central government and some of the state governments in India have taken measures to simplify the laws, rules and procedures to tone up the effectiveness and increase the efficiency of their institutions. In the union government alone, task forces have been set up in more than 40 government departments and exercises are being carried out internally in this regard. The general perception is that if the cumbersome procedures were simplified, the efficiency would be enhanced resulting in the decline of corruption. However, most of these efforts have been proven to be superficial in nature. There is a need to simplify the procedures associated with tenders, purchases, licenses, land sales and land allotments, maintenance of land records, taxations and excises. In conclusion, it can be stated that if corruption is not checked and rooted out, the development activities in different spheres will suffer in the long run and the next generation will have to pay a very heavy high price for it. If it cannot be totally eliminated, at least it should be minimized. Although a holistic approach would be ideal for tackling corruption, it is not practically possible to wait for all the strategies to synchronize simultaneously. Therefore, it would be better to go in for an incremental and segmented approach instead. But they should be continuous and consistent.

Introduction to Whistleblowers Employees witness wrongdoings on the job and they remain silent spectators. They see their colleagues involving in unashamed plunder of public wealth illegally. They see their colleagues squeezing money from the common man for providing services to him. All such incidents point to the failure of public administration to sustain the faith reposed by people. Some public administrators have belied the hopes and shattered the dreams of the people by openly involving themselves in earning money through various illegal methods. Their colleagues watch such employees helplessly as they cannot do anything. However, there are some individuals, who do not maintain silence in the face of wrongdoing by their colleagues. Such individuals make a difference in the lives of people and public organizations by blowing the whistle. There are numerous institutions and offices, which constantly act as a check on the government. They are audit bodies, vigilance commissions, lokayuktas, media,

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non-profit organizations and judicial bodies. All such bodies and offices deter the government from taking any illegal and immoral action. However, even though such bodies are adept at knowing major activities, some areas remain blind and it is here that the role of whistleblowers comes into existence.

MEANING AND DEFINITION OF WHISTLEBLOWERS A whistleblower is the individual who opposes all unethical practices at the workplace. A whistleblower is one who exercises his right of speech to challenge the abuses found in public administration that betray the public trust. A whistleblower is one who reports or informs on a superior’s or organizations ethical or legal misconduct. A whistleblower informs authorities about harmful, dangerous or illegal activities in the public organization. A whistleblower is a person who speaks out in order to expose public or private sector improprieties or negligence. Therefore, whistleblowing can be defined as an activity of disclosing information by an employee who believes that there is evidence of illegality, waste, fraud, mismanagement, abuse of power, and danger to public health and safety. It is an activity in which the employee tells the employers that they are breaking the law. In a nutshell, whistleblower is an individual who exposes the unethical and illegal practices at work place and such activity is called whistle blowing. Normally, whistleblowing includes the following activities: •  Reporting wrongdoing or a violation of the law at the workplace to the proper authorities and draw their attention towards such activities. •  Refusing to participate in workplace wrongdoing and not allowing the self to become a part to such wrongdoings. •  Testifying in a legal proceeding if there is legal enquiry on wrongdoings. •  Giving evidence of wrongdoings to the media and ensure that such wrongdoings receive wide attention of the people through the media. •  Enlisting the support of like-minded people to oppose unethical and illegal activities at the workplace. •  Expressing concern at the wastage of resources at official departments by drawing attention of the appropriate authorities. •  Requesting the appropriate authorities to take necessary action to stop unethical and illegal practices. It can be stated that whistleblower brings unethical and illegal activities to the notice of the appropriate authorities for necessary action. Such action should stop unethical and illegal practices at the workplace. It is the responsibility of the action taking authorities to protect the interests of such whistleblowers, else they are subjected to harassment.

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A TALE OF TWO WHISTLEBLOWERS In November 2003, Satyendra Dubey, a young engineer working for the National Highways Authority, was murdered. His only fault was being honest and upright and refused to follow the orders of the construction mafia. The murder of Dubey had drawn widespread condemnation from all quarters. Around the same time, that is, two days after Dubey’s murder, Andrew Wilkins was presented with the Whistleblower of the Year Award in Australia. Wilkins also received $5,000 cheque from an anonymous donor. He received accolades from the people for the courage he has shown, when he resigned from an intelligence assessment in protest against the government justification of its war with Iraq. The cases of Satyendra Dubey and Andrew Wilkins are the classic examples of whistleblowing and their repercussions for each individual. Besides, these two cases are examples of two different politico-administrative systems rewarding the whistleblowers differently. In India, the accountability and responsiveness of the public administration system is less compared to Australia. Although Dubey wrote several letters to the PMO and other high level officers, none took the initiative of responding to his letters. Contrarily, the information was leaked to those individuals, against whom Dubey made a complaint to the higher officials leading to his murder. Both men were insiders who brought it to light the unethical practices in their organizations. No individual dared to do such things. Their circumstances too were similar. While the former had complained of irregularities in awarding contracts and financial malpractices in the prime minister’s dream project, the latter had complained of deceit, falsification, distortion and exaggeration of intelligence reports by the prime minister’s office in order to justify its claims to go to war. The divergence comes only in the manner in which response was given to each individual and the manner in which each individual was treated. In India, whistleblowers are in most of the cases, and in extreme cases, murder as it happened in the case of Dubey. On the other hand, in Australia, Wilkins was able to testify to the parliamentary committee. Besides, he was able to represent himself before the Hutton Commission probing the death of David Kelly. Such an activity on the part of Wilkins could not have taken place if he did not receive some assurance from the government. On the other hand, the Government of India did not take adequate measures to protect the identity of Dubey; forget about providing assurance to him. Therefore, Dubey had to risk his life to fight against corruption and malpractices in the system. Besides, the Government of India started instituted a CBI enquiry after much dilly-dallying and after much public criticism. In developing countries like India, which boasts itself as the largest democracy, does little to the sovereign called people. Still people die of hunger and walk for miles to fetch drinking water. The government has failed to provide even basic needs to its entire population. Civil servants working in such an administrative system cannot expect better treatment than what Dubey faced if they speak against malpractices.

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Added to it, the politico-governance in India is plagued with criminalization from central to local levels. Under such circumstances, it is futile to expect justice from the government, which itself represents the system of exploitation. The result was the killing of Dubey, who blew the whistle against the unethical and illegal activities around him.

THE NECESSITY OF WHISTLEBLOWERS It is true that every organization, public or private expects its personnel to be loyal and maintain confidentiality. As long as things are legal and moral, such a stance on the part of the employees is good and even laudable. However, if anything go awry, then the extension of support by the employees is highly unjustifiable. This is particularly true with regard to public organizations, where one finds that the lives of people are at stake on certain occasions. Such instances can be many in public lives and some of them could be as follows: •  Acquiring defence equipment by fraud and corruption, which involves mismanagement and corruption, as happened in the Bofors scam. The misinformation supplied to the soldiers with regard to performance of the Bofors guns could have landed soldiers into trouble, particularly at the need of the hour. •  Release of toxic and industrial wastes into the water bodies in and around the rural areas, thus, endangering the lives of innocent rural people. Added to it, such toxic material into water bodies endangers the lives of cattle and leads to entry of toxic material into agricultural products. •  Non-adherence to safety norms by the airline crew and the railway staff, despite knowing well that travel could be dangerous during certain circumstances. •  Intentionally hiding the true picture of financial accounts of the organization leading to the loss of millions of rupees by the common man. For example, it is criticized that the Reserve Bank of India kept quiet despite knowing fully well the state of affairs of the urban cooperative banks. •  Maintaining silence although knowing fully well that taking some type of medicinal prescriptions cause damage to various parts of the body. •  Entry of coal-miners into the mines despite the officials knowing well that some mines are susceptible to collapse is a great sin on the latter’s part. All such instances provide good ground for the whistleblowers to act positively and proactively to safeguard the interests of those involved in malpractices. It is necessary that the whistleblowers play an active role in unearthing illegal and unethical practices to safeguard the interests of the society at large. Some individuals have shot into prominence because of their courageous act of blowing the whistle against malpractices.

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•  In the year 1971, Daniel Ellsberg a Vietnam War veteran working as an analyst at the Rand Corporation revealed the secrets of the defence department. The documents on the Vietnam War were known as the Pentagon Papers. Daniel explained how successive presidents of the United States had dragged the country into war. He also stated that the presidents had lied its citizens its course and outcome of the war. The disclosure made by Daniel played an important role in turning the public opinion against the Vietnam War. However, the US Government was angry and responded by prosecuting Daniel. •  In the year 1960, Frank Serpico became a policeman in the New York Police Department (NYPD). Unable to accept payoffs, kickbacks and protection rackets, which were rampant in NYPD made a complaint to the police commissioner and the Mayor. His complaints were ignored, which compelled him to reveal the department’s dealings to the New York Times in the year 1971. From then on, the enemies started pounding on him and matters came to head, when he was shot in the face. However, his colleagues did not come to his rescue and he quit the department in the year 1972. •  Peter Wright, who worked in Britain’s Secret Service revealed the shady deals and the manner in which the organization transgressed the lives and property of the people in his whistle-blowing autobiography. Peter also made it clear the manner in which the secret service bugged and burgled in the process of providing service. He also explained how it became a partner to dishonour the Prime Minister Harold Wilson. The government’s attempts to ban the publication of the book were unsuccessful as the House of Lords came to his rescue. •  Jeffrey Wigand, working for the tobacco company, Brown & Williamson revealed that the company had knowledge about the nicotine’s addictive properties in an interview. He also explained the harmful effects of the additives and other effects of tobacco. He was made central witness in the US government’s lawsuit against the tobacco industry, which compelled the tobacco companies to pay $246 billion as settlement. •  Sherron Watkins, the Vice President of Enron, wrote a letter to the Chairman Kenneth Lay and warned him that the accounting methods of the company were improper. A congressional subcommittee investigating Enron’s collapse released the letter. Coleen Rowley, the FBI staff attorney, caused a fluster when she issued a memo to FBI director about how the bureau set aside her pleas regarding her indictment of Zacarias Moussaoui. •  Ralph Nader revealed auto safety problems in his book and the General Motors put him under close surveillance. In fact, attempts were made to damage his ­credibility. However, public support to Ralph saved him from retaliation from the organization. •  Ernest Fitzgerald exposed massive cost overruns in US Defence Department. He came under sustained attack and was finally dismissed. His revelations led to widespread consternation, but received support from people and the Congress.

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WHISTLEBLOWING IN DIFFERENT COUNTRIES Different countries have provided for different types of laws regarding whistleblowers. Some countries have made laws with sweeping powers to the adjudicating bodies to safeguard the interests of the employees and some have provided reasonable levels of protection to safeguard the interests of the employees.

Whistleblowing in the United States In the year 1989, the Congress amended the Civil Service Reform Act of 1978 with the Whistleblower Protection Act (WPA) of 1989, which strengthened the protection for whistleblowers in the federal government. The Act made the OSC responsible for protecting the employee whistleblower. If the OSC fails to act on the complaint, the whistleblower has the right to bring the case before the Merit Systems Protection Board (MSPB). If the employees, including the former employees feel that they suffered for disclosing the matters of gross mismanagement, gross waste of funds, abuse of authority or a violation of law, and rules or regulations, they can seek the assistance of the OSC to set right things. The following employees are protected by the Act: •  Persons who make protected disclosures. •  Persons who suffer as they are believed to have made protected disclosures. •  Persons who suffer because of their relationship with someone who made protected disclosures. After the collapse of Enron and WorldCom, the US Congress passed the SarbanesOxley Act in the year 2002. The Act granted legal protection to whistleblowers in ­publicly traded companies. Any individual retaliating against a whistleblower can now be imprisoned for upto 10 years. It is the responsibility of the Department of Labour to complete its adjudication. Remedies include reinstatement of the employee; back pay of salary with interest; compensatory damages special damages, attorney fees and costs.

Whistleblowing in the United Kingdom The UK’s Public Interest Disclosure Act of 1998 offers protection to employees in the public, private and non-profit sectors. Under the Act, the employment tribunals can stop dismissal and make compensation awards. The Act protects individuals who make disclosures of information in the public interest. It also safeguards individuals from victimization for disclosing the information. The Act has defined protected disclosures and the individuals are safeguarded if their disclosures come under the category of protected disclosures. They are as follows: •  That a criminal offence has been committed, is being committed or is likely to be committed.

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•  That a person has failed, is failing or is likely to fail to comply with any legal obligation to which he is subject. •  That a miscarriage of justice has occurred, is occurring or is likely to occur. •  That the health or safety of any individual has been, is being or is likely to be endangered. •  That the environment has been, is being or is likely to be damaged. •  That information tending to show any matter falling within any one of the preceding paragraphs has been, is being or is likely to be deliberately concealed. An individual has the right not to be subjected to any harassment or detriment by any act of the employer for making a protected disclosure. If any worker is subjected to such harassment, he can make a complaint to an employment tribunal in this regard.

Whistleblowing in India In India, various social groups have been pressing for the passage of Whistleblowers Act, as they understand its significance. The Act is expected to play a significant role in increasing the level of clean governance by providing official protection and recognition to those who expose unethical and illegal practices at work place. However, even though lot of hue and cry was raised against the killing of Dubey, little headway has been made in the direction of instituting such an Act. The government is not in a hurry to initiate any action regarding the protection of whistleblowers. One should be aware of the fact that the passage of the Whistleblowers Act will not immediately lead to establishment of good and clean governance. It will be left to the discretion and courage of the whistleblower. The whistleblower should garner sufficient written evidence and support to blow the whistle. The whistleblower should bear the risk of exposure during legal procedure and should be able to bear the pressure from the public and the media.

PROTECTION OF WHISTLEBLOWERS IN INDIA The Indian political, administrative and economic systems witnessed scams, cases of corruption, cases of cheating and scandals. In fact, they have become a regular feature of the newspapers and news bulletins of the media. Crores of rupees of the common man are being siphoned off by mighty and influential individuals having connections with bureaucrats. Such connections have made the honest helpless in the process of such corrupt and illegal practices. Although there is no law in India regarding the protection of whistleblowers, the killing of Dubey has emphasized the need to enact a law for the protection of honest and sincere officers. Many officers in Indian administration maintain silence, as they would

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be subjected to harassment if they make any public disclosure regarding corruption and malpractices. The protection of whistleblowers is all the more important and necessary as corruption and malpractices have become a part of the administrative system. Some developed countries like the United States, the United Kingdom and Australia have taken measures to protect the employees from the after-effects of whistleblowing. The Government of India needs to initiate steps towards the protection of whistleblowers. The following are some of the steps that should be initiated to ensure the safety and wellbeing of whistleblowers. •  The foremost requirement is that the Central and the state governments should pass an act aimed at protecting whistleblowers so as to protect them from unwarranted harassment. •  It is necessary that the Official Secrets Act (which was passed by the British government during the pre-independence in the year 1923) should be suitably amended. Such an amendment should give civil servants reasonable amount of freedom to express their views including the malpractices in the bureaucracy. •  Countries like Canada, Australia, New Zealand, the United States and France have passed acts to have free access of information to its citizens from the government. In the same manner, the Government of India too has passed the Freedom of Information Act. However, it is not widely circulated so as to enlighten the citizens of their right. •  It is necessary that the government define the meaning of the term ‘public disclosure’ intended for the benefit of the society. Such definition of the term not only saves the government from the embarrassment but also saves civil servants from unwarranted harassment. •  It is not only the Central government but the state governments as well should initiate measures to protect whistleblowers. They should pass whistleblower acts to protect whistleblowers from unwarranted harassment. •  Unlike lokpal bill, which in most of the cases excluded the prime minister from its jurisdiction, should include him as well. At the state level, the chief minister should come under the jurisdiction of lokayukta to ensure free and fair trial of whistleblower and corruption cases. •  Compared to other civil servants, the officers of all India services enjoy better terms of service conditions and also constitutional protection. It is the responsibility of the officers belonging to these services to protect whistleblowers working under them. •  The identity of the whistleblowers should be protected and under no circumstances their identity should be revealed. Maintaining the anonymity of the whistleblower encourages others to reveal malpractices in the administrative set up.

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•  To some extent, whistleblowers should be provided immunity from legal actions. As the legal actions are often vexatious, many employees do not show interest to reveal the inside story. •  In the United States, the whistleblowers are protected from financial impact that the disclosures have on their life due to reprisals under the False Claims Act. In the same manner, the government should protect the financial position of the whistleblowers. •  The judiciary should play an active role in the cases of whistleblowing and ensure that civil servants receive justice in the course of legal proceedings. •  The active role of media is also important in the process of whistleblowing as media is in such a position that it can bring out the facts and put them things in the right perspective. Satyendra Dubey was a little known person until he blew the whistle regarding the corruption. Such things are possible due to active role of the media. •  It is necessary that the whistleblower should have concrete evidence regarding the malpractices or corruption to come out openly. Besides, he should act in good faith so as to safeguard the interests of the organization in specific and the society in general. •  Voluntary organization should extend support to the whistleblowers in bringing corrupt and illegal practices to the notice of the society and enlighten them regarding such practices. Exposing malpractices in public administration is very difficult, as the whistleblower has to face reprisal both internally as well as externally. The whistleblower should face the wrath of his colleagues and at the same time face the anger of those individuals, who are hand-in-glove with the corrupt employees. That is what happened regarding Dubey, who faced tragic death. The government is the guardian of people’s lives and property and at the same time, it is also responsible for safeguarding the interests of civil servants who are honest and sincere towards their activities. The responsibility of any government does not end with the enactment of a few acts, but extends to its effective implementation as well.

Introduction to Vigilance Machinery in India Corruption is one of the most deplorable maladies of the Indian civil service. In fact, corruption has sneaked into almost every administrative agency in India and has shaken the confidence of common man in the efficacy of administrative machinery. From time to time, efforts were made by the successive governments to weed out the malaise but with little results. The Government of India made several attempts to institute the office of Lokpal to check corruption in India; but all such efforts went in vain. Nevertheless, the government was serious in checking corruption in the administrative machinery and

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towards such objective, the Government of India and various state governments have established vigilance agencies to check the rot of corruption. Vigilance agencies have been active in India in ensuring compliance of rules by the administrative agencies and have succeeded in instilling discipline among the administrative agencies.

Roots OF CORRUPTION IN INDIA Corruption in India is as old as the civilization itself, although its early evidence could be found from the writings of Kautilya in his Arthashastra. He found that it is not possible for officials working on behalf of the state to embezzle some amount in the course of collection of revenue. ‘Just as is impossible not to taste honey that finds itself at the tip of the tongue, so it is impossible for a government official not to eat up at least a bit of the king’s revenue’. He found that it is inevitable for the officials working in the revenue administration to indulge in corruption. As it is not possible to observe the fish drinking water, in the same manner, it is not possible for anybody to identify malpractices on the part of officials working for the government. Kautilya even identified 40 types of corruption to which officials can resort to, during the discharge of their functions. According to him graft, frauds, favouritism and theft, are included in the list of corrupt practices of government officials. He found that effective spying would help identify the culprits involved in corrupt practices. Such individuals should be removed from the service and their properties be confiscated by the king. Kautilya suggested that such culprits should be tonsured and banished away from the kingdom. However, even after applying strict code of morality and honesty, it is doubtful whether the Mauryan administration was free from all maladies of corruption. The beginning of medieval era brought in many social, cultural, political and economic changes in India. The establishment of Turkish rule and later that of Mughals brought in changes in the functioning of administrative apparatus under the influence the rulers. The term bakshish came into vogue, which was given to the employees for the work done by them. Gradually, bakshish became a practice all over the administration during medieval period. The same bakshish gradually led to the crumbling of Indian resistance to the British as the latter gave same bakshish to military commanders to side with them during crucial battles. The East India Company continued the tradition of corruption and as the officials of the Company themselves were involved in corrupt practices. Even the Governor-General, Warren Hastings was impeached for his misdeeds. Most of Indians who were recruited in the British civil and military administration were given low salaries compared to the British officers. To a large extent this was true and this provided a good alibi for the personnel working for the British government to resort to extra income. It is not correct to state that the personnel working at lower levels were involved in corrupt practices. Even the governor-generals, made tours to various princely states and collected gifts from their rulers, which encouraged the personnel working at all levels to resort to corrupt practices. Civil servants found that during World War II, they got a splendid opportunity to enrich themselves. The scarcity of goods and

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commodities during World War II prompted civil servants to resort to wanton corruption. Even the Indian National Congress expressed its apprehension regarding corrupt environment in which the civil service was working in India. It is not that government was not aware of such corrupt activities, in fact the central and state governments made several attempts to weed out corruption. Corruption increased to new heights since the end of World War II among civil servants. Both the central and state governments have expressed their concern regarding the sudden increase of corruption. The state governments made attempts to weed out corruption even before independence. For example, Orissa set up an Enforcement Organization in the year 1944 for the enforcement of orders to meet the wartime shortages. The province of Madras (now Tamilnadu) constituted a wing to make enquiries into the allegations pertaining to corruption against civil servants. It was known as ‘X’ branch and was made a part of the criminal investigation department. It functioned under the direct control of the inspector general of police. The province of Bombay also set up a branch to deal with the cases of corruption in the year 1946. Just before independence, an administrative tribunal was constituted in Uttar Pradesh to deal with erring civil servants. All such attempts to weed out corruption were indeed laudable but did not make much headway for the simple reason that the officials responsible for such jobs were not well-trained. Nevertheless, such attempts indeed paved way for keeping vigilance on the functioning of government departments.

Scenario in Post-independence India After independence, the government undertook large-scale developmental activities, which provided more opportunities for civil servants to indulge in corruption. The central government was pressurized from all sides to combat corruption. The publication of Santhanam Committee on Prevention of Corruption, led to the constitution of Central Vigilance Commission in the year 1964. Taking a cue from the efforts of the Central government various state governments established vigilance machinery to check corruption. For example, the states like Gujarat, Andhra Pradesh, Rajasthan, Karnataka, Punjab, Kerala, West Bengal and Orissa established vigilance machinery in their respective states modelled more or less on the lines of the Central Vigilance Commission. However, the functioning of vigilance machinery in the states did not function as expected by the government and a process of gloom set in. Some states like Haryana, Kerala and Punjab, which established vigilance commissions chose to discard them and such activities were given to the departments. One finds regular departments exercising vigilance over other departments in some states even today.

THE OFFICE OF LOKPAL The Administrative Reforms Commission (ARC) looked into the adequacy of existing arrangements for the redress of citizen’s grievances and the need for establishing new machinery for the redress of citizen’s grievances. The ARC discovered that the institution

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of ombudsman in Scandinavian countries, the office of parliamentary commissioner New Zealand, proved efficacious in redressing citizen’s grievances. Therefore, the ARC too emphasized the need to establish an institution on such lines in India. On the basis of its observations, the ARC recommended a two-tier machinery for redressal of citizen’s grievances. The Lokpal was supposed to deal with complaints against ministers and secretaries at both the central and state levels. The Commission recommended that there should be another vigilance body called Lokayukta, one at the Centre and one for each state. According the Commission, the Lokpal and Lokayukta should have the ­following characteristics: •  They should act independently and impartially. •  The process of investigation of Lokpal and Lokayukta should be informal and should be conducted in private. •  Their appointment should be non-political to ensure their integrity and honesty. •  The status of Lokpal and Lokayukta should be equivalent with the judicial functionaries. •  The matters in which the discretionary powers are used by civil servants and ministers should be brought under scrutiny. •  Their proceedings should not be interfered by judicial bodies. •  They should not look forward to the government for any pecuniary benefits. All such characteristics are essential for both the Lokpal and Lokayukta so as to ensure highest standard of integrity in public life.

Lokpal The ARC recommended that the president of India should appoint the Lokpal on the advice of the prime minister. The Commission also felt that the prime minister should also take into the consideration the views of the chief justice of India and the leader of the opposition party. The Lokpal should have the tenure of 5 years and is eligible for reappointment for another 5 years. He can be removed from the office in the manner prescribed in the Constitution for the removal of a judge of the Supreme Court. The Lokpal can resign from the office by tendering his resignation letter to the president of India. His salary conditions will be same as that of the chief justice of India. The Lokpal should not have any business, political or legislative connections, which would impair his efficiency in the discharge of his functions. The Commission was of the view that the Lokpal should be free to choose his own staff and he should determine their conditions of service. To ensure that the Lokpal should not come under the influence of the government, his budget should not be subject to the control of the Parliament. However, he should submit an annual report to the Parliament on the activities undertaken by him during the past year. In addition to his activities, the Lokpal can also state various suggestions, which can improve his functioning.

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The Lokpal should have the power to investigate the administrative activities done by either the concurrence of the minister or the secretary, if an individual is aggrieved by such activities of the government. It is the discretion of the Lokpal to make an inquiry into such complaints and complete the process of investigation impartially. However, the jurisdiction of Lokpal was excluded in the following matters: •  Matters affecting the relations between the Government of India and foreign governments. •  Matters pertaining to the investigation of crime or protection of security of the state. •  Matters pertaining to the appointment, removal, pay and discipline. •  Grant of honours and awards. Some matters are excluded from the purview of the Lokpal so as to ensure that his involvement in the government processes do not lead to delays in administrative processes. It is true that attempts were made by several governments to institute the office of Lokpal but all efforts went in vain. The lokpal bill was presented during the fourth Lok Sabha in 1968 for the first time and was passed. However, while it was pending in the Rajya Sabha, the Lok Sabha was dissolved. The bill too, thus, lapsed. The bill was revived in the years 1971, 1977, 1985, 1989, 1996, and 1998 and more recently in the year 2001. However, each time, the bill faced numerous problems before the government could take a decision the House was dissolved or the bill was allowed to lapse. Therefore, as of now, there is no institution of Lokpal in India. Nevertheless, the institution of Lokayukta came into existence in a number of states.

LOKAYUKTA AND ITS EVOLUTION The search for more effective mechanisms to deal with corrupt practices was on as the government constituted many committees to look into the matter. The recommendations of the Administrative Reforms Commission constituted by the central government in the year 1966 proved to a turning point in the history of administrative reforms in India. The Commission found that corruption has spread into every nook and corner of public administration in India, both at higher and lower levels. Hence, the Commission recommended the constitution of an apparatus on the lines of ombudsman of the Scandinavian countries. It recommended the constitution of Lokpal and Lokayukta for enquiring into the allegations of corruption and other related activities. Lokpal was to look into the malafide affairs of political leaders and civil servants at both central and state governments. Lokayukta was to look into the corrupt practices of political leaders and other official levels at the state level. The government of Maharashtra was the first state to initiate measures pertaining to Lokayukta in the year 1971, followed by Rajasthan in the year 1973 and Bihar in the year 1974.

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The Lokayukta and Upalokayukta in Karnataka The Karnataka Lokayukta Act was passed in the year 1984 on the recommendations of the ARC. The government also abolished the Vigilance Commission and transferred all the proceedings pending with it. The aim of setting up the Commission was to improve the standards of public administration by looking into complaints against the administrative agencies and officials. The Lokayukta is expected to look into cases of corruption, favouritism and official indiscipline in administrative machinery of Karnataka government. According to the Act, the Lokayukta and Upalokayukta are to investigate and report on allegations or grievances relating to the conduct of public servants. The term ‘public servants’ who are included in the Act are as follows: •  The chief minister. •  All other ministers and members of the state legislature. •  All officers of the state government. •  Chairman, vice-chairman of local authorities, statutory bodies or corporations established by or under any law of the state legislature including co-operative societies. •  Persons in the service of local authorities, corporations owned or controlled by the state government, a company in which not less than 50 per cent of the shares are held by the state government, societies registered under the State Registration Act, co-operative societies and universities established by or under any law of the legislature. After the completion of the investigation, if the Lokayukta considers that the allegation against a public servant is true, then the public servant has to quit his office. If he is the chief minister or other ministers, then they should vacate their office. After the initial preliminary investigation, if the Lokayukta is satisfied that a case exists against the public servant, then he may initiate proceedings against such public servant. The governor appoints the Lokayukta and Upalokayukta, and they are appointed for the purpose of conducting investigations and enquiries into corrupt practices of the public servants. The number of Upalokayuktas could be more than one depending on the number of cases to be tackled. The person to be appointed as the Lokayukta shall be a person who has held the office of a Judge of the Supreme Court or that of the Chief Justice of a High Court. The Lokayukta is appointed on the basis of the advice tendered by the chief minister. The chief minister in turn consults the chief justice of the High Court of Karnataka, the chairman, Karnataka Legislative Council, the Speaker, Karnataka Legislative Assembly, the leader of the opposition in the Karnataka legislative council. The governor appoints the Upalokayukta. For the appointment to the office of the Upalokayukta an individual should have held the office of the Judge of a High Court. As in the case of Lokayukta, the chief minister advises the governor after consulting

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various constitutional dignitaries. At the same time, the Lokayukta or Upalokayukta are not to hold any other office or should not be a member of the Parliament or a member of the state legislature. Even the incumbent appointed for the office of Lokayukta or Upalokayukta should not hold any office of trust or any other position connected with political parties. In case the incumbents hold any such office they should vacate them before entering the office of either Lokayukta or Upalokayukta.

Conditions of Service and Powers The Lokayukta and Upalokayukta hold the office for a fixed term of 5 years from the date of entering into the office. Their term can end if the incumbents submit their resignation to the governor and are not eligible to any office under the government of Karnataka. The Lokayukta or Upalokayukta receive salary and other allowance equal to that of the chief justice of a high court and that of a judge of the high court, respectively. The Lokayukta or Upalokayukta are empowered to issue search warrants if they consider that certain information to the activities pertaining to civil servants is necessary. If the accused civil servants fail to produce any information relating to their corrupt practices, possess any valuable items like jewellery, gold, or money, any information they deem it to be important for the conduct of enquiry, besides, the Lokayukta or an Upalokayukta are empowered to summon any individual in person for receiving information. After making a detailed enquiry into the malpractices leading to the injury or hardship of the complainant, the Lokayukta or an Upalokayukta sends a detailed report to the competent authority for remedying redressal of the grievance. It is the duty of the competent authority to take action within a period of 1 month and intimate the same to the Lokayukta. After satisfying himself on the action taken report by the competent authority, the Lokayukta closes the case. The Lokayukta presents an annual report to the governor, which in turn is laid before the state legislature. The functioning of Lokayukta in various states provides a sorry state of affairs. Few lokayuktas could make some efforts to make the administrative apparatus corruptionfree, but such efforts waned with their departures. In some of the states, their functioning had been good in the initial days of the establishment of the office. But, with the passage of time, hopes were dashed to the ground as the political leaders intentionally weakened the office of Lokayukta by not providing enough support to it. From example, in Bihar, the Lokayukta had to close down a case as he did not receive the necessary information from the state government for more than eight years. Therefore, one could discern the view that the performance of Lokayutka did not pose a positive impression among people.

The Vigilance Commission in States Some of the states are content with the vigilance Commission, which is more of an administrative agency of the government. The vigilance Commission is set up by an executive order by the state government. The Commission advises the state government

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on issues pertaining to corruption. It is the duty of the Commission to make a detailed study of the cases referred to it by the government or the cases taken up by it on its own. The jurisdiction of the Commission extends to all employees serving under the control of the state government. Although there are some variations regarding the functions of the vigilance commission, generally the following functions are undertaken by the vigilance commission. They are as follows: •  To undertake inquiry into transactions of the government which are alleged to have been illegal and improper and in which public servant/servants are involved for their personal benefit. •  Investigating into the complaint made against the conduct of public servants that they have acted or refrained for the benefit of himself, family members or any other known person. •  Enquiring into the misconduct, lack of integrity, corrupt practices, pertaining to civil servants working under the state government. •  To call any report, statement, form from the secretariat or any other department of the state government so as to enable general vigilance over their functioning. •  To take under its control all the complaints and relevant information pertaining to the cases of corruption and give necessary directions to the state government regarding the action to be taken against erring officials. •  To look into any other matter referred by the state government. •  To provide necessary assistance to the departments in enquiring into the conduct of public officials.

State Vigilance Commission in Uttar Pradesh The state of Uttar Pradesh has brought in vigilance commission in the year 1964. It is a three-member body, which seeks to reduce corruption in the administrative agencies. The functions of the commission are as follows: •  Advising the government regarding alterations in the procedure or practices followed by the government agencies with regard to minimizing corruption. •  Collecting the information relevant to checking corrupt practices in government agencies. •  Advising the government to adopt certain specific measures pertaining to the redressal of citizen’s grievances. •  Calling for reports and information from all government departments and other public agencies so as to exercise general supervision and check corruption. •  Receiving information regarding the action taken by the government on its recommendations. Little independence and authority are given to vigilance commissions to carry out investigation pertaining to corrupt practices in public administration. Although the state

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level Vigilance Commissions are organized on the lines of central vigilance commission; it is found that they did not prove to be a suitable tool in checking corruption. Even if they were successful in booking the culprits and conduct investigations, the state governments are reluctant to act against the erring officials for one or the other reason. There is a need to initiate reforms in the functioning of vigilance commissions so as to make them effective. The civil services of the state government play an important role in the implementation of developmental policies and programmes. The civil services of the state government are in active contact with the people of the state at every level and hence it is necessary that the personnel policies and practices followed by the state governments be in tune with the changing needs of the people. The process of recruitment, training and promotions should be evaluated from time to time and ensure proper standards so that the personnel policy of the state government is in harmony with the needs of the state government and also people.

CENTRAL VIGILANCE COMMISSION The Government of India set up the Central Vigilance Commission (CVC) by an executive order in the year 1964 on the recommendations of Santhanam Committee on ­prevention of corruption. The Commission was to advise and guide Central Government agencies in the field of vigilance to check corruption. The CVC was expected to play an important role in monitoring all vigilance activities under the Central government. It was supposed to advise various Central government organizations in planning, executing, reviewing and reforming their vigilance work. In the year 1998, in pursuance of the directive of the Supreme Court, the Government of India converted the CVC into a statutory body through an executive order. In the year 2003, The Central Vigilance Commission Act, 2003, received the assent of the president and hence came into force. The CVC was to enquire into cases of corruption, which come under the Prevention of Corruption Act, 1988. The CVC consists of a commissioner and not more than two vigilance commissioners. The present Central Vigilance Commissioner is P. Shankar, and the other two vigilance commissioners are H. J. Dora and Janaki Ballabh. The president appoints the commissioner by warrant under his hand and seal. However, such appointment is made after obtaining recommendation of the ­committee comprising the prime minister, the minister of home affairs, and the leader of the opposition in the House of the Lok Sabha. The commissioner shall hold office for a term of four years from the date on which he enters upon his office or till he attains the age of 65 years, whichever comes early. He is ineligible for reappointment in the Commission after the completion of his term. The Central Vigilance Commissioner or any Vigilance Commissioner can be removed from his office on the ground of proved misbehaviour or incapacity. Such a thing is done by the Supreme Court, after an inquiry, reported that the Central Vigilance Commissioner or any Vigilance Commissioner ought be removed.

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The powers and functions of the CVC are as follows: •  The CVC exercises superintendence over the functioning of the Delhi Special Police Establishment, if the offences are committed under the Prevention of Corruption Act, 1988, or the Code of Criminal Procedure, 1973. •  It gives directions to the Delhi Special Police Establishment for the purpose of discharging the responsibility entrusted under the Delhi Special Police Establishment Act, 1946. •  The CVC makes an inquiry into the allegations of the public servant if they have committed an offence under the Prevention of Corruption Act, 1988, or the Code of Criminal Procedure, 1973. •  The Commission reviews the progress of investigations conducted by the Delhi Special Police Establishment. •  It advises the central government, corporations, government companies and societies on all those matters that are referred to it by the government. •  The CVC also exercise superintendence over the vigilance administration of the various ministries of the central government or corporations. The CVC has made specific recommendations with a view to improve transparency and accountability of the government agencies and public sector undertakings. The techniques suggested by the Commission are e-procurement and e-payment. The details are as follows: •  The CVC has suggested various measures for improving transparency, accountability and efficiency in the PSU. The CVC emphasized that the public sector undertakings adopt e-procurement to bring in economy and efficiency in the procurement of goods, works and services and so on. Some of the state governments like Andhra Pradesh, Karnataka as well as some Public Sector Undertakings like SAIL are already making use of e-procurement systems. The CVC has issued a directive that all government organizations over which the Commission has jurisdiction should publish their tenders and complete bid documents along with the application forms on the Web site. This is the first step towards ­e-procurement and would help in curbing malpractices prevailing in various government ­organizations, where competition is sought to be restricted. •  The CVC also suggested that the government agencies and public sector undertakings should introduce e-payment to ensure transparency and accountability. Added to it, e-payment also reduces corruption. It is found that the banking ­industry has made rapid technological advances in India. Therefore, by taking into consideration, the CVC suggested that the government agencies and ­public sector undertakings should introduce e-payment. Such system will help significantly in reducing transaction costs involved in making payments by way of cheques. At the same time, it will also minimize corruption, which accompanies handing over

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cheques to contractors, suppliers and others like persons receiving refunds from income tax and other departments. The Commission possesses all the powers of a civil court trying a suit under the Code of Civil Procedure, 1908, and has the following powers: •  Summoning and enforcing the attendance of any person from any part of India and examining him on oath. •  Requiring the discovery and production of any document. •  Receiving evidence on affidavits. •  Requisitioning any public record or copy thereof from any court or office. •  Issuing commissions for the examination of witnesses or other documents. •  Any other matter, which may be prescribed. The Commission is deemed to be a civil court and every proceeding before the Commission is deemed to be a judicial proceeding.

THE ROLE OF CVC IN THE PRESENT SCENARIO In the changed economic scenario and increased liberalization and globalization, the functions of the Commission have become complex. There is a need for strict supervision and close surveillance over the Public Sector Undertakings (PSUs) as large investments have been made for its growth and development. It is difficult to generalize the state of health of vigilance in the PSUs. The CVC has found that most of the PSUs did not codify rules and regulations and consequently some sort of ad hocism permeated into important management decisions. The style of functioning also lends to charges of lack of transparency and to a large extent such criticism is justified. In the absence of a uniform governing and accountability system, the major activities of the PSUs assume relevance. This is much more relevant in the era of globalization and economic liberalization as one finds free environment for the PSUs to operate. They have been given certain discretionary powers to act competitively and in the absence of a good accountability system, it becomes all the more important for the Commission to keep a vigil on their activities. Accordingly, the Commission has taken the initiative of making a fair and comprehensive assessment of the availability of manuals and codified instructions. Such an assessment is done in the areas such as purchases, stores, maintenance, operations, finance and personnel. The exercise is not a one-time affair but a continuous one.

Consultation with the Commission Regarding Appointments It is necessary that before appointments are made to the PSUs and banks at higher levels, the ministries be required to consult the CVC. Such verification is necessary

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for knowing the antecedents of the persons considered for top positions in PSUs and banks. It is a necessary mandate to ensure that the individuals adoring high positions possess exemplary conduct and honesty. In order to streamline the process of selection of senior level personnel in PSUs and banks, the government issues guidelines from time to time. According to the revised guidelines, the administrative ministries should make a reference to the CVC for the scrutiny of antecedents of the person to be appointed to senior level positions in the PSUs. It is the responsibility of the secretary of the ministry to furnish all details pertaining to the candidates to the Commission. If the ministry does not make such reference, the Commission is entitled to take the matter to the cabinet secretary, who in turn will pursue the matter. Therefore, the Commission has accorded top priority to the proposals referred to by the administrative ministries for the scrutiny of antecedents of individuals. The information is maintained in a computer database and is subject to review at different levels. It is the Commission’s endeavour that the selections made for top-level appointments are made in such a manner that only those individuals with good antecedents are appointed.

The Recommendations of the Arvind Pande Committee Report The CVC constituted a committee under the Chairmanship of Shri Arvind Pande, Ex-chairman, SAIL. The committee submitted its report in the year 2004. The committee found that the current business environment calls for speedy decision-making due to the changes induced by globalization, liberalization, technology and continuously increasing competition. Public sector enterprises (PSE) are expected to maximize returns on investment. Management of these PSEs are expected to take business decisions in a dynamic scenario with all the corresponding risks. The committee was constituted to study the working of the vigilance administration in the PSUs and give appropriate recommendations to strengthen the internal vigilance structure. The committee recommended that the CVC and the PSUs should adopt such a strategy which can integrate the modern day requirements of risk management, security management, and financial controls and compliance. This effort will add discernable value to the competitiveness of the enterprise apart from promoting probity, and integrity amongst public officials and supporting, synergizing and fostering ­corporate governance. The Committee also recommended that the CVC should enhance its activities to achieve greater depth and coverage of vigilance activities in the PSUs, covering the following activities: •  Demanding and/or accepting gratification or offering and/or giving gratification other than legal remuneration in respect of an official act or for using his influence with any other official. •  Obtaining a property, movable or immovable, whose value is beyond the company’s norms, without consideration or with inadequate consideration from

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a person or an organization with whom they have or likely to have official dealings or their subordinates have official dealings or for whose benefit they can exert influence over decisions. •  Obtaining for themselves or for any other person any valuable object or property or pecuniary advantage by corrupt or illegal means or by abusing their position as a public servant. •  Possession of assets disproportionate to their declared and known source of inheritance and income. •  Misappropriation, forgery or cheating or other offences that attract the provisions of CrPC/IPC. Gross or wilful negligence, reckless decision-making; blatant violation of systems and procedures; misapplication or non-application of laid down professional codes standards; exercise of discretion without appropriate reasoning of the exigencies or the public interest; attempts to conceal information on major exceptions, deviations, omissions and commissions are some of the acts where the disciplinary authority with the help of the CVO and wherever necessary, the board’s, sub-committee/advisory panel, which should carefully study the case and weigh the circumstances to come to a conclusion whether there is reasonable ground to doubt the integrity of the officer concerned. If the integrity is not in doubt but the act amounts to a misconduct or indiscipline, the same must be dealt with appropriately as per the disciplinary procedures of the company. The committee recommended that the CVC gives its views, advice and recommendations in one go and more selectively rather than at different stages of several cases. The Committee also recommended that the CVC should desist from advising on minor issues and leave them to the disciplinary authority concerned. Concluding the discussion, it can be stated that performance of the civil services depends to a large extent on the controls imposed on it. It is found that too many negative elements are attributed to the civil service in India, of which corruption occupies the first position. The flourishing corruption in Indian administration is largely attributed to the acceptance on the part of civil servants as well as common man. That is the reason why despite the existence of too many institutions and laws, not even a dent could be made on corruption. In the words of N. Vittal, the former Central Vigilance Commissioner, ‘Corruption is a way of life in India’. However, such sweeping statements should not distract the honest individuals, particularly after the strengthening of the vigilance machinery at the Central level and after the active role being played by the media. There is a need to revamp the existing vigilance machinery of the Central and state government to make it more effective, efficient and foolproof. Information technology has opened new vistas for keeping a strict surveillance on civil servants. Hence, there is an opportunity to minimize corruption in Indian public administration and establish a citizen-friendly civil service.

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SUMM A R Y

  Corruption involves the misuse of public office for private gain by deviating from the established norms, rules and regulations.



  According to N. J. Nye, corruption includes bribery (use of rewards to pervert the judgement of a person in a position of trust); nepotism (bestowal of patronage by reason of ascriptive relationship rather than merit) and misappropriation of public resources for personal gains.



  Corruption has four perspectives, namely, legal, historico-cultural, public ­interest and market-oriented.



  There are three types of corruption, namely, collusive, coercive and non-conjunctive. Under collusive corruption, corrupts actively participate in corruption and use it as a means for deriving benefits greater than the costs of corruption themselves. Coercive corruption means a one-sided victimizing corruption inflicted upon the corruptee by those in authority. Non-conjunctive corruption means the public official misuses their power to bestow benefits upon themself as a private person by making false claims or acquiring goods or wages.



  The Government of India had appointed the Santhanam committee in 1964 and the Vohra Committee in 1993 to examine the causes of corruption and make suggestions.



  Although it is not possible to eradicate corruption totally, at least the government should take measures to minimize it.



  A whistleblower is the individual who opposes all unethical practices at the workplace. A whistleblower is one who exercises his right of speech to challenge the abuses found in public administration that betray the public trust.



  In November 2003, Satyendra Dubey, a young engineer working for the National Highways Authority, was murdered. His only fault was being honest and upright and refused to follow the orders of the construction mafia.



  In the year 1989, the Congress amended the Civil Service Reform Act of 1978 with the Whistleblower Protection Act (WPA) of 1989, which strengthened the protection for whistleblowers in the federal government.



  The UK’s Public Interest Disclosure Act of 1998 offers protection to employees in the public, private and non-profit sectors. Under the Act, the employment ­tribunals can stop dismissal and make compensation awards.



  Corruption in India is as old as the civilization itself, although its early evidence could be found from the writings of Kautilya in his Arthashastra, in which he identified 40 types of corruption.

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  The Santhanam Committee on prevention of corruption recommended the ­constitution of Central Vigilance Commission and taking a cue from the Central government various state governments established vigilance machinery to check corruption.



  The Administrative Reforms Commission discovered that Lokpal and Lokayukta should be established on the lines of ombudsman in Scandinavian countries, the office of parliamentary commissioner of New Zealand, proved efficacious in ­redressing citizen’s grievances.



  The functioning of Lokayukta in various states provides a sorry state of affairs. Few lokayuktas could make some efforts to make the administrative apparatus corruption-free, but such efforts waned with their departures.



  In the year 1998, in pursuance of the directive of the Supreme Court, the Government of India constituted the Central Vigilance Commission.



  It is necessary that before appointments are made to PSUs and Banks at higher levels, the ministries be required to consult the Vigilance Commission. Such verification is necessary for knowing the antecedents of the persons considered for top positions in PSUs and banks.



  The committee recommended that the CVC gives its views, advice and recommendations in one go and more selectively rather than at different stages of several cases. The committee also recommended that the CVC should desist from advising on minor issues and leave them to the disciplinary authority concerned.

Endnotes 1.  Ramesh Arora and Tanjul Saxena (ed.), Ethics and Accountability in Government and Business (New Delhi: Aalekh Publishers, 2003), p. 163. 2.  Ibid., p. 164. 3.  P. B. Rathod, Personnel Administration: Dynamics and Dimensions (Jaipur: ABD Publishers, 2004), p. 79. 4.  Ibid., p. 75. 5.  Ibid. 6.  Ibid., p. 164. 7.  R. Kannan, Integrity in Public Life and Service: How Indian Public Services came to be Infested with Corruption. 8.  Ibid. 9.  Ramesh Arora and Tanjul Saxena, op cit., p. 177.

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10.  Ibid., p. 179. 11.  Ibid., p. 172. 12.  Ibid., p. 173. 13.  Ibid., p. 174. 14.  Ibid., p. 175. 15.  Ibid., p. 186. 16.  Ibid., p. 194.

Questions 1.  How will you define corruption? What are the causes and types of corruption? 2.  What strategies would you suggest to combat corruption? 3.  Discuss the recommendations made by the Santhanam Committee (1964) and the Vohra Committee (1993) to check corruption? 4.  What do you mean by whistleblowing? How has whistleblowing come into existence in public sector undertakings? 5.  Many countries have constituted different types of laws regarding the ­whistleblowers Discuss. 6.  It should be the responsibility of government to provide protection to the ­whistleblowers. What measures should be initiated by the Government of India. 7.  Discuss the office of Lokayukta and its evolution in India. 8.  Give a brief account of functioning of vigilance commission in states. 9.  Critically discuss the nature and functioning of central vigilance commission in India. 10.  Discuss the need and evolution of the office of Lokpol in India. 11.  The office of Lokpol has assumed great significance in recent years. Discuss the ongoing debates on it.

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12 Public Service Ethics in the Era of Globalization After reading this chapter, you will be conversant with: • Meaning of globalization • Ethical dimensions of public administration

Introduction Globalization is one of the most sought after issues in the present day context as it ­generated great enthusiasm and deep concern among people. Those individuals who see globalization as an opportunity have welcomed it with great gusto. On the other hand, some individuals have expressed concern regarding globalization. Although it is difficult to take sides, it can be said without doubt that globalization has resulted in a borderless world. Such a world has tremendous implications for the public administration. Under the impact of globalization, the role of public administration has changed from ‘rowing to steering’. Instead of providing services directly to the people, the government is emphasizing on the role of a facilitator. Therefore, one finds that there has been an ethical transformation of governments all over the world. The transformation is ethical in the sense that the basic philosophy of the government, that is, from ‘providing to facilitating’, has undergone a sea change. Under the changed conditions of globalization, it is necessary to evaluate the role of public administration, particularly from the perspective of its new ethical role.

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MEANING OF GLOBALIZATION The term globalization has evoked tremendous interest among scholars and professionals belonging to almost every field of study and activity. Such interest has led to too many definitions and views resulting in confusion. Nevertheless, globalization can be defined in a general way so as to connote some meaning to the students of public administration and the opportunities or challenges offered by it. Globalization is seen as the new international order that has emerged after the end of the Cold War, which has integrated the world economy into a single market. Some have defined it as the process of increasing mobility of goods, services and finances, across borders of the world resulting in the global market. According to one view, globalization has led to certain qualitative and quantitative changes, which in turn resulted in new set of conditions and processes. Some scholars have identified globalization as the free flow of capital, technology, ideas, information and people across the world. To a large extent, globalization has resulted in the free flow of capital and goods across the world unlike in the past with the integration of the world economy. Nevertheless, it does not mean globalization is a new phenomenon. Globalization is not a new phenomenon, as it existed in the past as well. If the term globalization is defined as the free flow of capital and goods, then the roots of globalization can be traced back to days of human civilization like Indus and Mesopotamia. But, the term globalization was not used during those days. However, impetus was received after the consolidation of Roman and Persian Empires. The integration of the world economy hastened after the development of telegraph, the stem engine, the railways and so on. All these things dramatically increased trade and commerce and increased mutual dependence on each other. Therefore, globalization can be considered as an advanced stage of historical process of interdependence. However, the momentum of such dependence increased in the recent past integrating the world economy into a single market.

THE ETHICAL DIMENSIONS OF PUBLIC ADMINISTRATION Public administration had been a tool of delivering public goods and services right from the days of ancient history. Even though the term ‘bureaucracy’ was not known, the institution of public service existed for undertaking some essential functions. They included protection of the lives and property of subjects, collection of revenue and undertaking some welfare functions. All these functions were essential during those days; there was no fixed rules and the lives and property of people was at the mercy of the marching marauder. Therefore, the ethical duty of the king and his administration was to protect the lives and property of the people and regulate their conduct. From then onwards, the activities of

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administration under the king were considered as ethical as it facilitated the sustenance of human life amidst anarchy and chaos. Such an image of administration was carried further into the medieval and modern, where the term ‘administration’ was appended with the term ‘public’. The appendage of the term public to the institution of administration was the result of the evolution of ‘welfare state’. The role of the state was not limited to mere regulatory ­functions, but extended well beyond that. The state did not limit its stand as a mute spectator but ­intervened in the socio-economic activities for the welfare of the people. It was ­instrumental in initiating welfare measures as public administration, which shouldered the responsibility of upliftment and advancement of the people. Therefore, the ethical dimensions of public administration in the modern period were enlarged to include all those aspects pertaining to welfare of the citizens. Every government was responsible not only for the protection of the lives and property of the people but also the material, psychological and moral development of its people. According to Ordway Tead, every activity of the public administrator is a moral activity, and hence it assumes importance in the evolution and progress of human civilization. W. B. Donham opines that if civilization ever fails, it would be because of the breakdown of public administration. It can be stated that all the activities aimed at improving the people, particularly downtrodden and marginalized sections of the society in the developing nations can be considered as ethical ones. It is not that public administration in developed nations is not engaged in ethical activities. In both, developing and developed nations, the institution of public administration is involved in ethical activities, but with a difference. Public administration in developed countries plays a role of a facilitator, whereas public administration in developing countries is engaged in the role of a provider. Both the roles are ethical. Public administration in developing countries was involved in developmental activities, besides the regulatory functions. If public administration in India was to be taken as example, then one finds that it played an important role in the life of the citizens; from pre-natal to post-death stage. This is true with all the developing countries engaged in socio-economic development. In India, public administration has shouldered the following functions, which bring out its ethical dimensions: •  The Ministry of Agro and Rural Industries implements the Prime Minister’s Rojgar Yojana (PMRY) aimed to provide employment to more than a million persons by setting up micro enterprises and thereby strive towards their development. •  The Department of Health has various programmes dealing with filaria, leprosy, tuberculosis, iodine deficiency, mental health, Aids, cancer and others, so that the citizens are assured of a long and healthy life. •  The Ministry of Labour and Employment regulates the labour laws pertaining to safety in mines and oilfields, industrial disputes concerning employees, vocational training for professional development of workers, social security measures, provident funds and maternity benefits.

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•  The Ministry of Panchayati Raj is concerned with the rural through development programmes such as Sampoorna Grameen Rozgar Yojana (SGRY), Swarnjayanit Gram Swarozgar Yojana (SGSY) Pradhan Mantri Gram Sadak Yojana (PMGSY) Indira Awaas Yojana (IAY) Pradhan Mantri Gramodaya Yojana (PMGY), Samagra Awaas Yojana Annapurna Watershed Development Programmes under DPAP and DDP Central Rural Sanitation Programme (CRSP). The Swajaldhara ­programme is aimed at providing community-based rural drinking water supply. •  The Ministry of Social Justice and Empowerment is entrusted with the welfare, social justice and empowerment of disadvantaged and marginalized section of the society, viz., Scheduled Caste, Minorities, Backward Classes, persons with disabilities, aged persons, street children and victims of drug abuse and so on. Basic objective of the policies, programmes, law and institution of the Indian welfare system is to bring the target groups into the main stream of development by making them self-reliant. •  The Ministry of Tribal Affairs focuses on the integrated socio-economic development of the most under privileged section of Indian society the Scheduled Tribes (STs) in a coordinated and planned manner. •  The Ministry of Urban Employment and Poverty Alleviation formulates policies, sponsors programmes, coordinates the activities of various Central ministries, state governments and other nodal authorities and monitor programmes concerning the issues of urban employment, poverty and housing in the country. Therefore, it can be stated that the Government of India, in association with the state government is performing various welfare activities. All such activities are aimed the overall development of material and moral of the people. Therefore, as public administration strove towards the material and moral development of the people, the activities of public administration can be considered as ethical.

Administrative Ethics in the Era of Globalization It is true that the world was integrated and interdependent in the past as well. However, the integration of the world into a single market is supported by the information age. Therefore, the process of globalization has hastened at a rapid pace. Citizens have enhanced their access to information and education and thereby increase their capacities to prove their mettle under globalization. In the same manner, the institution of public administration has undergone a sea change in the era of globalization. It is true that globalization has opened novel opportunities to the people and public administration. However, it has posed certain challenges to the institution of public administration, which has come under severe pressure from within and outside. The institution of public administration has been subject to reform by the respective national governments, whenever the governments felt the need. Globalization has made it compulsory for the government to reform the administrative apparatus by

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s­ trengthening it to meet the new challenges posed by globalization. Under globalization, no government can deliver goods and services without updating their processes and techniques. Therefore, to a large extent, public administration has powered itself with information technology making its delivery system efficient. The classic example, of application of information technology to the process of governance in the era of globalization is the e-governance. E-governance has succeeded in delivering goods and services to the people in the most effective and efficient manner. Nevertheless, in every country, particularly developing countries like India, there will be a section of people, for whom it is difficult to integrate with the global world. The ethical role of public administration comes here, that is, to serve the downtrodden sections of the society and enable them to integrate with the global world. Under globalization, should the institution of public administration undergo and adopt glasnost and perestroika. The former refers to openness and the latter refers to an economic policy adopted in the former Soviet Union. Osborne and Gaebler have brought the role of public administration under globalization in a most meaningful manner. According to them, the government should steer, not row and empower communities to solve their own problems rather than simply deliver services. Mission and values, rather than rules, should drive the institution of public administration in the process of uplifting the people. There are many activities where public administration has an ethical role, that is, material and moral development of the people. Poverty Alleviation and Inequality: Globalization has so far benefited only a few countries and sections of the society. Still many countries and some sections of the society are not integrated with the world economy. It is true that globalization has posed certain challenges and at the same time, it has opened up new opportunities. Many governments have failed to utilize the opportunity provided by globalization and have failed to transfer the benefits of globalization to the poor and downtrodden. In the age of globalization, public administration should ensure sustainable development with a view to eradicate poverty. The massive levels of inequality and poverty are

Poverty in An Unequal World The world has deep poverty amid plenty. Of the world’s 6 billion people, 2.8 billion— almost half—live on less than $2 a day, and 1.2 billion—a fifth—live on less than $1 a day, with 44 per cent living in South Asia. In rich countries, fewer than 1 child in 100 does not reach its fifth birthday, while in the poorest countries as many as a fifth of children do not. And while in rich countries fewer than 5 per cent of all children under 5 are malnourished, in poor countries as many as 50 per cent are. This destitution persists, even though human conditions have improved more in the past century than in the rest of history—global wealth, global connections (Continued)

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Poverty in An Unequal World  (Continued) and technological capabilities have never been greater. But the distribution of these global gains is extraordinarily unequal. The average income in the richest 20 countries is 37 times the average in the poorest 20—a gap that has doubled in the past 40 years. And the experience in different parts of the world has been very diverse. In East Asia, the number of people living on less than $1 a day fell from around 420 million to 280 million between 1987 and 1998—even after the setbacks of the financial crisis. Yet in Latin America, South Asia, and Sub-Saharan Africa, the numbers of poor people have been rising. And in the countries of Europe and Central Asia in transition to market economies, the number of people living on less than $1 a day arose more than 20 fold. Source: World Bank, 1999–2000, World Development Report.

increasing day by day and it is the ethical responsibility of public administration to address those issues. Amartya opines that ‘the basic concerns relate to the massive levels of inequality and poverty, not whether they are also increasing at the margin’. It is true that a large part of humanity does not have the capacity of influencing its immediate environment as much as it likes. Public administration provides all the necessary ingredients to the people so that they improve the capacity to influence their immediate living environment. Under globalization, the national economies are linked with the world economies and naturally the national economies are prone to external pressures, in addition to the already existing pressures from inside. Therefore, public administration will have an important role to play in a global economy. It has to guide the activities of the people in such a manner that they benefit from globalization. Towards this objective, public administration should provide its citizens access to high quality of education, health care, information and technology, social security, infrastructure and so on. It is the responsibility of the government to ensure that such access to citizens is available at affordable cost so that citizens reap the benefits of globalization. Democracy and Human Rights: Public administration had been a tool in the hands of political representatives to deliver goods and services to people. At the same time, it also paved the way for the participation of people in the process of democratic governance. However, such a participation was peripheral in nature and therefore, people could not be empowered in the long run. As empowerment suffered, people were deprived of their human rights in the process of governance. This is particularly true regarding poor and downtrodden sections of the society, who are not even aware of human rights and political rights. Such people participated in the process of governance only during electing the government for a fixed term. In many countries, certain sections of the society are discriminated, deprived of basic human rights and abused at the hands of the administration. Globalization demands greater openness of its activities and empowerment of people. Openness and empowerment pave the way for spread of information among citizens so that they reap the fruits of globalization. The government is under ethical

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obligation to reveal information to the people, as it exists for the sake of people. Hence, they should be provided with all the needed information in the era of globalization. Information should be accessible to citizens without any hitches. The activities of public administration should be transparent as far as possible so that citizens know what the government is doing for them. It is the ethical right of citizens to know the activities of the government. The Government of India has passed Freedom of Information Bill, 2002, so that citizens access information from public office. Added to it, the information technology has facilitated the spread of information to the nook and corner of the country. Particularly, the Internet has paved the way for the dispersal of information to the common man. The Government of India and the state governments put most of the information on the web so that citizens come to know of it and express their views. In the same manner, it is the ethical right of the citizens to participate in the process of governance and thus empower themselves. The Government of India in tune with globalization has passed the 73rd and 74th Constitutional Amendment Acts, to ensure the people are empowered at the grassroots level of Indian democracy. The Acts have specifically provided reservation for women with a view to uplift them from the social, political and economic bondage, to which they were subjected to in the past. Therefore, it is the ethical responsibility of public administration to ensure that citizens receive information pertaining to government activities and gets empowered by participating in the local government bodies. Protection of Environment: Environment provides certain essential elements for the human beings in the sustenance of their lives on the earth. It is incumbent upon the human beings to protect the environment, which prevents natural disasters. However, it is difficult for a single individual to strive towards the protection of environment. Concerted efforts should be made by the government in order to protect the environment for future generations. As the very survival of human beings depends on the environment and as it is incumbent upon the government to protect the lives of the people; it is ethical on the part of the government to protect the environment. It is the ethical duty of the government to protect and sustain the environment for future generations. Globalization has paved the way for free movement of goods, services and capital by lifting barriers in trade and commerce. The corporate sectors are provided with more opportunities to invest and reap profit, particularly in developing countries. Therefore, natural resources have become targets of such corporate sectors, where they have invested money for reaping benefits unmindful of the implications. On the one hand, the natural resources are being depleted, and on the other, industrial pollution are increasing. However, it is a fact that globalization did not lead to depletion of natural resources, but it definitely increased the chances of such depletion as they have free access to the hitherto protected natural resources. Globalization has thrown new challenges to public administration. It is responsible for protecting the environmental degradation and saving the ecology. Public administration is confronted with combining the policies aimed at opening the economy, on the one hand, and protecting the environment, on the other. If the environment and

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e­ cosystem become prey to the corporate sector, then there is every danger that the number of natural calamities to increase in the developing countries and people victimized by such calamities and disasters. Events like droughts, floods, avalanches, heat waves and windstorms are likely to increase. Natural systems at risk include glaciers, coral reefs and atolls, mangroves, boreal and tropical forests, polar and alpine ecosystems. All such changes are likely to inflict huge sufferings on the poor and vulnerable living in the developing countries. The Intergovernmental Panel on Climate Change (IPCC) has been established by World Meteorological Organization (WMO) and United Nations Environment Program (UNEP). The IPCC assesses scientific, technical and socio-economic information relevant for the understanding of climate change, its potential impacts, and options for adaptation and mitigation. According to it, the damages from climate changes could be as follows:1 •  Decreased water availability for populations in water-scarce regions. •  Dangers for human health, that is, increase in vector-borne diseases such as malaria in tropical countries, or heat stress morbidity and mortality in North America. •  Decrease in agricultural production, especially in Africa and Latin America. •  Widespread increase of flooding in many human settlements. •  Rising sea levels, which will affect particularly small island states resulting in the displacement of millions of people. •  Collapse of many ecosystems.

Pledge to boycott Cola products in Palakkad Palakkad: The Anti-Coca-Cola Agitation Committee and various other organizations waging a struggle against exploitation of groundwater by Hindustan CocaCola Beverages Private Ltd. at Plachimada have taken a pledge to boycott products of Cola companies. A public meeting was held at Plachimada on Friday to mark the third anniversary of the satyagraha in front of the Cola unit at Plachimada, which began on 22 April 2002. The company began operations in March 2000. A year later, it was found that there was depletion of ground water. The Perumatty grama panchayat, which gave licence to the company in the face of local protest, refused to renew the licence. In 2003, the government banned the exploitation of ground water, as the area was declared drought-affected. The panchayat, in April 2003, filed a writ petition in the High Court against a government order against its decision not to renew the licence of the company. The Single Bench of the High Court on 16 December 2003, upheld the panchayat (Continued)

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Pledge to boycott Cola products in Palakkad  (Continued) decision and directed the Cola unit to stop the exploitation of ground water and find alternative sources of water for its use. The Cola Company appealed against the Single Bench order and on 7 April 2005, the Division Bench set aside the Single Bench order. The Division Bench allowed the company to draw 5 lakh litres of water a day. The Perumatty grama panchayat has filed an appeal in the Supreme Court against the Division Bench order. Source: The Hindu, 23/04/2005

The ethical responsibility of public administration lies in protecting the environment and saving the ecosystems so as to ensure that the interests of the people making a living out of it are protected. For agriculturalists and tribal people, directly depend on the environmental factors and if there is a threat to environment, then the interests of these groups are directly jeopardized. At the same time, people living in urban areas also depend on environment for drinking water, fresh air, generation of hydel power and so on. Therefore, it can be stated that the interests of the entire human community are directly or indirectly dependent on the environment and ecosystem. Thus, it can be stated that public administrators are ethically responsible for the protection of environment and ecosystems. Migration and the Worker’s Interests: Migration to the developed regions from developing and underdeveloped regions is an age-old phenomenon. People migrate from ill-developed places to well-developed places in search of better opportunities, which existed in the pre-globalization era as well. However, globalization has led to easing of the barriers between different countries, thus facilitating the free movement of workers from one place to another. Such a movement of workers has posed a serious challenge to the public administration. It is found that public administration in developing countries is steeped in red tapism causing innumerable problems to workers, skilled and unskilled. The workers are not encouraged to exhibit their innovation and creative abilities and they are forced to leave for greener pastures. For example, the educated youth in India show their earnest interest to leave for developed countries like the United States, the United Kingdom, Canada and Australia. Under such conditions, what is the ethical role of public administration in developing countries like India. Is it not the ethical responsibility of the public administrators to encourage such individuals to exhibit their creative abilities by staying in India? Added to the migration of educated youth from developing countries to developed countries, which can be called ‘external migration’, one finds the existence of ‘internal migration’ Internal migration refers to the process of migration of people, who lack access to drinking water, sanitation and healthcare facilities, from one state to the other. It is the ethical responsibility of public administrators not to stop the migration but to create a congenial environment, where the creative abilities can be exhibited. This is

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particularly true regarding the educated youth who have the potential of doing miracles on the basis of their knowledge. Such a brain drain can be halted if good conditions are provided within the country itself. Because of brain drain, developing countries are loosing the valuable talent, which could have been utilized for the socio-economic development of the country. At the same time, public administration should cater to the services of the poor and needy, particularly those residing in rural areas. The failure of rains and the recurrent drought have made the lives of people living in rural areas miserable. In the ­process of earning their livelihood, people are thronging into cities. This exodus of rural people into cities has put additional burden on the civic infrastructure of municipal governments, particularly in developing countries like India. The municipal government has failed to provide even basic amenities to the people because of such exodus of people thus resulting in the increase in the number of slums. Therefore, it is the ethical responsibility of public administrators to provide at least basic services to the people living in rural areas so that they do not migrate to cities and find them in piquant position. Another dimension of globalization, vis-à-vis, employment is that the working conditions of employees. No doubt, the physical working conditions and facilities provided by the multinational corporations (MNCs) are good. But the ethical responsibility of public administration is to ensure that such MNCs abide by the law of the land. The MNCs should also pay due respect to local customs and traditions so as not to antagonize people and draw flak from the government. Ageing and Healthcare: The population of the world is increasing at an alarming rate as in the mid 2001, the population of the world reached 6.1 billion, and 77 million people are being adding up every year. Such an increasing rate of population is due to two factors. One, the increasing birth rate, and second, increase in the ageing of the population. Governments can control the increasing birth rate, but the problem pertaining to ageing is difficult to control. Globally, the number of elder persons (60 years and older) would more than triple (from the present number of 606 million to 2 billion) and it becomes difficult for public administration to provide services to this section of population. Already, the federal government in the United States is providing various benefits to this section of the population. In other developing countries too, governments are providing many services to the ‘aged people’. With the expected rise in the number of these people further in future, public administration is required to meet such demand. Another problem, which has become a cause of worry for the governments worldwide, is increase in the number of HIV/AIDS cases. An estimated 34 million people worldwide died from HIV/AIDS and the disease infects another 40 million people and the epidemic continues to spread at an accelerating rate. The victims of the deadly disease are innocent women and children. As it the bounden duty of the government to safeguard the lives of the people, the government should take necessary steps to curb the spread of the disease. Of course, the government may not be able to provide services to all the individuals suffering from

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the disease. Therefore, it is incumbent upon the government to mobilize civil societies in tackling the disease.

Supporting HIV/AIDS-affected Children NEW DELHI, MARCH 30. Governmental and non-governmental organisations today committed themselves to protecting caring and supporting children affected by and vulnerable to HIV/AIDS. They have recommended a comprehensive national policy to guide the developments in this area besides strengthening the existing policies and regulatory framework by a coordinated approach. Endorsing the “Delhi Commitment” adopted after the two-day national consultation on HIV-affected children here today, the Ministries of Human Resource Development Health and Family Welfare, U.N. agencies and Faith-based groups re-dedicated themselves to strengthening capacity of families to protect and care for orphans and vulnerable children. The commitment also asks the signatories to mobilize and support community-based responses by focusing on the most vulnerable children who are not in households and re-integrating them into a household setting. It also ensures access to essential services for such children by improving the provisions of care and services to vulnerable children and families. Source: The Hindu, 31 March 2005

AP e-Seva lacks Security Locks The Andhra Pradesh Government’s flagship e-governance application project, eSeva, that has won accolades from several quarters has been indicted by the Comptroller and Auditor-General of India (CAG) for ‘its lack of transparency’ and ‘exposure to security risks’. Data integrity, reliability, and safety across the project were also inadequate, CAG said. The audit report also found fault with the State Government for allotting the project, which was on the build, own, operate and transfer (BOOT) model, to a consortium of companies headed by the Hyderabad based Ram Informatics Ltd and CMS Systems, while neglecting bid by TCS. In the report for the year 2001–2002 tabled in the Assembly, CAG observed that though the project to put e-governance into action was conceptually good, it suffered from lack of transparency, inefficiency and ineffective implementation, (Continued)

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AP e-Seva lacks Security Locks  (Continued) largely due to lack of preparedness of the participating departments and inadequate coordination. In a tough review, CAG observed that the network was exposed to serious risks of inadequate physical access and logical controls. The key data and huge volumes of cash pertaining to various departments had been left to the administration of the private operator without adequate internal controls. CAG also noted that the eSeva project was started without formal budget provision and without conducting feasibility study. The Director, eSeva project, in implementing the programme, largely neglected financial rules. The project was rushed through even when the participating departments were not ready. The bid evaluation process adopted in selecting the operator lacked in transparency and only one operator was selected instead of two in violation of the Government orders. Further, adequate documentation did not exist for any Complete technical documentation, including the source code specified in the tender was also not obtained. This had resulted in a situation where the Director was completely dependent on the operator and there was no business continuity plan. Further, the Government assets worth Rs. 90 lack relating to the pilot project were handed over to the private operator free of cost though this was not provided for in the agreement. The Digital Divide: Globalization is accompanied with the information age paving the way for the application of information technology to government processes. The application has led to transformation of government activities to such an extent that the information about the government programmes is available to everybody through the Internet. Although, it is true that there is a wide dispersal of information as the government has put most of the information on the web, one finds certain flaws in the manner in which the information technology is applied to the government processes. One finds that the government is not serious about financial implications of all the programmes, which are run by using the information technology. For example, the state government of Andhra Pradesh has initiated e-Seva, to act as an integrated centre for citizens for certain services. The application of information technology has another dimension as well. It is true that the citizens are receiving better and qualitative services after the application of information technology to the government processes. As the computers at various public offices are connected to the Internet, information is exchanged within no time paving the way for good governance. However, all such services come at a premium cost, which is not affordable to the poorer sections of the society. The poorer sections of the society cannot bypass the computers and new technologies without which the government offices cannot function. Thus, it can be stated that the poor are further

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marginalized in the process of development. The onset of information technology has no doubt facilitated better services to the citizens, but the poor are marginalized symbolizing the evil effects of digital divide. Under such circumstances, the public administrators should give some priority to the needs of the individual clients. Even though the role of technology is emphasized in government offices, it should not be forgotten that such technology should be affordable and accessible to the common man. It is the ethical responsibility of the public administrators to shrink and the divide to such an extent that the common man has access in the process of governance and development. It is the ethical responsibility of the public administrators to ensure that information technology takes public service to the doorsteps of citizens. ‘The challenge states are facing is how to close the digital gap and create the opportunities for a wider participation of all people in the information age’.2 Crime at International Level: Globalization is accompanied by the Internet revolution, which erased the borders of the world. The establishment of the borderless world is good as the quantity for trade and commerce can be increased to a large extent. However, the demolition of borders, physical and virtual, has led to increase in the number of criminal activities. Terrorists, who operated at regional level or national level, have started operating at international level as the process of communication has become faster. According to the UN, the threat of international crime, particularly terrorism, should not be neglected in the era of globalization as the world has become small and interdependent. Globalization has provided access to international markets, and drug barons and flesh traders have used it as an opportunity to expand their trade, particularly through the Internet. Such cases have been on the rise in the recent past and have posed a direct challenge to public administration, particularly the security forces. Given the nature of fatal consequences of drugs on human beings, the trade in drugs and narcotics should be immediately curbed. It is the ethical responsibility of the government to ensure that the illegal trade in drugs, arms and ammunition, women and children, is stopped. It is the ethical responsibility of the public administrators to suppress all activities associated with terrorism and at the same time every country should cooperate with each other for curbing terrorist activities.

On UN Wanted List New Delhi: The United Nations put Dawood Ibrabim, underworld don, and the alleged mastermind behind the 1993 serial blasts in Mumbai, on its wanted list of individuals having links with the Al-Qaeda. Source: The Hindu, 9 May 2005

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Finally, it can be stated that the institution of public administration has been serving mankind in one form or the other. However, its activities were simple during the ancient days like maintenance of law and order and collection of revenue. However, the beginning of modern era brought in drastic changes in the functioning of public administration. Public administration, as tool to discharge the welfare functions, gained prominence. Particularly, in developing countries like India, public administration was expected to meet the demand of the downtrodden sections of the society. All such activities of public administration were mired with ethical dimensions. Be it regulatory functions like maintenance of law and order or welfare functions like implementation of development programmes. The onset of globalization has opened new opportunities and posed new challenges to the institution of public administration. Opportunities include application of ­information technology to the government processes, upgrading the administrative structures, increase in quality of services. At the same time, the challenges include the entry of MNCs often competing with public sector undertakings, coordination of various regulatory authorities rather than controlling, reorienting the functioning of the government and upgrading the human potential to meet the challenges of globalization. It is true that public administration as an instrument of socio-economic development has undergone basic changes. Nevertheless, the ethical content in the activities of public administration remained same. In fact, the discussion can be concluded by stating that the ethical dimensions of public administration increased after the dawn of globalization; as the institution of public administration did not give up its basic philosophy, that is, moral philosophy.

SUMMARY

  Corruption involves the misuse of public office for private gain by deviating from the established norms, rules and regulations.



  Under the impact of globalization, the role of public administration has changed from ‘rowing to steering’. Instead of providing file services directly to the people, the government is emphasizing on the role of a facilitator.



  Globalization has opened novel opportunities to the people and public administration. However, it has posed certain challenges to the institution of public administration, which has come under severe pressure from within and outside.



  Public administration will have an important role to play in a global economy. It has to guide the activities of the people in such a manner that they benefit from globalization. Towards this objective, public administration should provide its citizens access to high quality of education, health care, information and technology, social security and infrastructure.

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  It is the ethical responsibility of public administration to ensure that citizen receives information pertaining to government activities and gets empowered by participating in the local government bodies.



  The ethical responsibility of public administration lies in protecting the environment and saving the ecosystems so as to ensure that the interests of the people making a living out of it are protected.



  It is the ethical responsibility of public administrators not to stop the migration but to create a congenial environment, where the creative abilities can be exhibited.



  It is the ethical responsibility of the public administrators to suppress all activities associated with terrorism and at the same time every country should cooperate with each other for curbing terrorist activities.

E n d n o t es

1. World Public Sector Report, Globalization and the State (New York, NY: United Nations, Department of Economic and Social Affairs, 2001).



2.  Ibid.

Q u es t i o n s 1.  Globalization has changed the role of public administration from rowing to steering. Discuss the changed role perspective of public administration in India. 2.  Discuss the administrative ethics in the era of globalization.

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13 Indian Administration: Some Ethical Dimensions After reading this chapter, you will be conversant with: • Background of Indian administration • Ethical issues in India • Lokpal and recent debates

Introduction The socio-cultural background determines the functioning of every administrative ­system. If the socio-cultural values of a society are virtuous and ethical, the institution of public administration will naturally belong to a high order of ethical functioning. Indian history is rich it its socio-cultural heritage with top priority to values and ethics of every individual, which in turn is seeped into the entire society. Ethical values were so universal in the past, that even the king could not claim exceptions from them. It was his bounden duty to respect and protect the Dharma, which was nothing but righteousness. It is true that the administrative system in India flourished well in the past, but the ethical standards of public administration could not be taken too far. The intervention of British, who established the institution of public administration for serving their colonial interests led to the decline of ethical standards in Indian public administration. The people started looking upon public administration as alien to their needs and started despising it. In fact, the image of every public administration system depends on the respect it receives from its clientele, and the administrative system in India is not an exception to it. However, the administration in India is neck deep in unethical quagmire. Sincere endeavours should be made to bring the institution of public administration from it to enhance its prestige in the eyes of common man.

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BACKGROUND OF INDIAN ADMINISTRATION The Indian administration in its present form owes its origin to colonial government, which intended to strengthen and sustain its rule for a long time. Initially, the East India Company concentrated on trading but later started administering the country. However, the individuals serving the Company were also made a part of the administrative ­apparatus although they did not possess civil service professionalism. They only knew trading and looting. They were given a free hand to administer as well as involve themselves in trading activities. In the process, they also received gifts and nazaranas from the local chiefs and nobles. The early officials of the East India Company looted and plundered and amassed great wealth. The British government, which took over the reins of Indian government initiated measures to make the civil service professional. It is true that civil servants under the regime of the British government were more professional compared to the ones under the Company. However, the gap between the civil servants and the people remained throughout the British rule. The dawn of independence raised the hopes of people as change in government meant change in the rulers as well as the civil service system. However, the national leaders did not feel the necessity of changing the entire politico-administrative system after independence. Added to it, the leaders did not find suitable alternatives to replace the existing system and hence had to depend on the existing politico-administrative system. Unfortunately, the characteristic features, attributed to the Indian civil service also entered into the civil service of independent India. The characteristic features of the India civil service before independence included unresponsive to the needs of the people, prevalence of corruption and malpractices, lack of accountability to people, lack of transparency regarding administrative activities, the upper hand of civil servants vis-à-vis elected representatives, inhuman treatment of people and so on. It is true that the Government of India made sincere and serious efforts to purge of the negative traits of public administration in India. For example, it appointed the reform commissions for recommending them to make the administrative apparatus citizen friendly. The commissions also made numerous recommendations for making public administration in India citizen friendly. However, such recommendations only lie in the racks of public offices, as civil servants do not like administrative reforms, which dilute their discretionary powers. They are not interested to loosen their hold in the process of governance as they crave for sustenance of their hold on people through their powers. The ethical dimensions of public administration in India should be understood from this perspective, that is, the environment in which it originated and grew. The administration in India was steeped in many malpractices during the British rule, as there was no appropriate accountability system for enforcing the accountability of civil servants. The British government never intended to establish an administrative system, which would move closely to the people. Civil servants always intended to

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­ aintain a gulf between themselves and the common man. All such elements struck to m the administrative system even after independence. Even after these many years if independence and reforms, the citizen is at the receiving end; at the mercy of the public administrator. On numerous occasions it is found that the political representatives themselves are at the mercy of the public administrators, which is a cause of worry and trepidation in a developing country like India.

ETHICAL ISSUES IN INDIA The Indian administration is steeped in unethical quagmire from which it should come out to face the challenges posed by liberalization, privatization and globalization. It is true that all public administrators are not resorting to unethical practices. At the same time, a large chunk of public administrators in India are behaving unethically, which has influenced the institution of public administration as well. There are certain issues in Indian administration, which have proved that ethical practices in India are at a low ebb; although much fanfare is made about them to receive applause from the people. Some of the issues are discussed here to bring out the actual standards and practices being followed in Indian administration. Administrative Reforms: Administrative reforms are an ethical act as they are aimed to enhance the effectiveness and efficiency of public administration. Dorman B. Eaton has examined the British civil service and came to the conclusion that civil service reform is an ethical act. Administrative reforms pertain not only to changes to the structures and processes, but aimed at changing the attitude of the civil servants to correct their erratic and unethical behaviour. During the process of administrative reforms, civil servants are re-trained and re-educated so as to make them friendly and courteous towards people. It is the ethical duty of the public administrators to serve people with utmost care. If they cannot do it on their own, the recourse is initiation of administrative reforms to ensure that they behave ethically through training and educational programmes. In India, the process of administrative reforms aimed at strengthening the administrative apparatus for delivering the goods and services to the people. Right from the days of independence, the government made efforts to reform the administrative system. The Secretariat Reorganization Committee, Report of Reorganization of the Machinery of Government the reports of A. D. Gorwala (report on Public Administration and Report on the Efficient Conduct of State Enterprises), the reports of Paul H. Appleby, the Administrative Reforms Commission are a few to be named. However, it is found that the process of administrative reforms in India did not pave the way for delivery of goods and services to the people to the point of satisfaction. It is true that the Government of India and the state governments are making several attempts to reform the institution of public administration by changing the attitude of the civil servants through training and development programmes. However, the government has failed in its attempt. Civil servants still think that they are doing a favour to the

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people and are oblivious to the fact that it is their ethical duty to serve the people. The application of information technology to government processes too did not lead to the establishment of citizen-friendly government, which is nothing but unethical behaviour on the part of public administration in India. Citizen Participation in Governance: The public administration in India is the brainchild of British rule, which intended to rule the country with an iron hand. To a large extent, it succeeded in continuing its rule for almost two centuries. The British government deliberately made attempts to keep the citizens at bay by limiting the franchise to a limited number of sections of the population. Such limited franchise naturally limited the access to political power to a limited number of population; thereby thwarting citizens from participating in the process of governance. Although efforts were made by the British government to enlist the participation of people in the process of governance, they did not succeed. After the attainment of independence, the Government of India made sincere and serious efforts to enlist citizens’ participation. The government initiated panchayati raj for enlisting peoples’ participation in the process of governance. The panchayati raj was supposed to enlist peoples’ participation at three levels, village level, intermediate level, and district level. Many state governments enacted legislations pertaining to the local government and the institution of panchayati raj was established with much fanfare. As citizens of a democratic country, it is the right of every citizen to participate in matters concerning them. Therefore, the institution of panchayati raj was considered to be an ideal tool for enlisting citizens’ participation. However, the experience shows that panchayati raj failed to evoke popular response. Although the 73rd Constitutional Amendment Act made sweeping changes in the panchayati raj system; the low level of assertiveness among people in rural areas and lack of awareness may not lead to the institution’s success. The ethical dimension is that, although the Constitution of India provided for citizens’ participation in the process of governance through various institutions, too many hurdles have been erected by the bureaucratic elements. To a large extent, public administration in India thwarted people from participating in the process of governance, which is unethical. It is unethical because it is the right of every citizen to voice his concerns and feelings in the process of policy formulation. The voice of the people is muzzled by public administration in India through various techniques. Right to Information: It is the ethical duty of public administrators to provide ­necessary information to its citizens. However, public administration in India possesses all the elements of a bureaucracy enunciated by Max Weber including the maintenance of secrecy. As an institution, the socio-economic environment in which it thrives heavily influences public administration. The combination of bureaucratic and feudal elements has caused havoc to the administrative efficiency by formulating those policies in which the citizens have no stake. The citizens are kept at bay and information pertaining to the administrative services is kept secret. Citizens do not know how to get and where to get information from public offices. Even if they ask for information, they get a curt reply from the civil servants.

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To a large extent, such flaws were rectified by the passage of the Freedom of Information Bill by the Parliament, which is aimed at conferring statutory right to ­citizens to access information from the government. The bill is expected to provide openness in the functions of the government and would prove a novel and far-reaching experiment. The passage of the bill has provided India an entry into the group of around 20 countries, which have initiated measures pertaining to transparency, openness and accountability of the government activities. However, the mere passage of the Freedom of Information Bill would not lead to the citizen’s empowerment and enhance the ethical stand of the public administrators. It is doubtful whether all public administrators in India are aware of the new bill. Even if they are aware of the passage of the bill it is doubtful that they would provide the required information to citizens. The problem is further compounded by the lack of awareness among people. The rate of literacy is low and the people who assert their rights vis-à-vis are only a handful. Under such conditions, it is doubtful that the public administrator in India would enhance their ethical stature by providing necessary information to the citizens and fulfil their legal obligations. Accountability of Civil Servants: Accountability is the hallmark of every public administrator working under a democratic government. It is the ethical responsibility of every public administrator to be accountable to the people. Accountability is not limited to minor and technical details carried during the process of programme implementation. The element of accountability of public administrators is a larger issue, which includes issues impinging on policy formulation. Therefore, it is the responsibility of every public administrator to stick to the established code of conduct while formulating public policies. Accountability also encompasses the personal life of public administrators on certain occasions. The public administration in India is accountable for their acts of omission and commission in the process of policy formulation and implementation. As a whole, the executive branch of the government controls the institution of public administration. Therefore, public administration in India is accountable to the executive. Public administration in India is accountable to the legislature as well through the executive branch of the government. Such accountability is not only legal but also ethical for the enforcement of which there are many offices and institutions in India. For example, the office of the Comptroller and Auditor General (CAG), a legislative body, ensures that public administration in India sticks to the rules of accounting in the process of expenditure. Such a check is not only limited to legality, but takes into consideration other aspects like propriety and honesty, to ensure that public administration is accountable to the legislature in comprehensive and complete manner. However, despite the existence of elaborate machinery and processes, the public administration has exhibited its despise to the accountability mechanism. In spite of frequent criticism at the hands of the CAG, public administration in India did not mend its ways as it frequently violates the financial rules while expending the resources, thereby bidding farewell to their ethical responsibility.

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Welfare Administration: In a developing country like India, public ­administration plays a significant role in the upliftment of the masses. India is a country where a large section of the masses live in conditions of penury. Added to it, the productive resources are concentrated in the hands of few sections of the society. In fact, that was the reason why the government insisted on ‘socialistic pattern’ of society. Public administration was considered as the only instrument of accomplishing such an ethical objective. Such an ethical role of public administration was envisaged to bring social justice to people by implementing welfare programmes such as Integrated Rural Development Program, Marginal Farmers Development Agency (MFALDA), Small Farmers Development Agency (SFDA), Training for Rural Youth and SelfEmployment (TRYSEM), and Development of Women and Children in Rural Areas (DWCRA). However, the implementation of all such programmes is flawed as the genuine beneficiaries rarely receive the benefits under the programmes. The influential sections of the society and the middlemen cornered majority of benefits under such welfare schemes. There was no space for the genuine beneficiaries as public administrators did not take enough interest to identify the beneficiaries and on certain occasions, they embezzled funds in connivance with political leaders. Therefore, the ethical role of public administration was tarnished on many occasions. Public–Private Partnership: Liberalization, privatization and globalization have influenced the structures and processes of the government in India. The government has accepted the participation of private entrepreneurs to improve the quality and quantity of public services. As the Government of India and other state governments face paucity of resources, it has become necessary for the government to pave the way for private– public partnership in certain government programmes. For example, the laying of new roads, construction of bridges, construction of industrial estates, construction of houses, construction of IT parks, establishing e-governance system and so on. All such activities and programmes are undoubtedly good as they improve the quality and quantity of public services. Besides, the financial and human resources of the government can be better utilized in other areas where the presence of the government is necessary and important. In fact, it is an ethical act to invite private entrepreneurs to participate in certain public works and government programmes as it ensures better services to people and also ensures efficient utilization of the tax payer’s money. All such programmes are planned according to the concept of Built-Operate-Transfer(BOT). However, such programmes and activities instead of helping the society at large are helping a few influential individuals and the actual ethical issues are being sidelined. The government is foregoing a large chunk of revenue with public–private partnership. Some state governments have facilitated the application of information technology to receipt of government bills under an agreement with private parties. The private parties provide the necessary infrastructure to such public offices, which provide services to citizens. It is true that the quality of services has increased; but at the same time, the cost too increased drastically. The sad part of it is that the private parties are earning more money than the government agencies, which is unfair on the part of the government.

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It is criticized that the bosses in the government have paved the way for such exploitation of the people by the private parties. In the same manner, some governments are intending to provide an opportunity to the private parties to construct and repair roads and bridges. It is a good idea that private parties are being roped in to build infrastructure like roads and bridge. However, viewed from another perspective, the veil is unmasked as private participation is intended to benefit only the private parties at the cost of the common man. The roads and bridges are constructed by private parties under the concept of Built-Operate-Transfer. For example, during the operational stage of roads and bridges, the private parties are at a liberty to collect money from all the vehicles that cross such roads and bridges. In one form or the other, the government is trying to shift the burden of expenditure to the common man, which is an unethical practice. In a country like India, where majority of the people are steeped in poverty, it is unethical on the part of the government to shift the burden on them. Policy Formulation: The government is expected to act in a non-partisan manner and formulate those objectives, which are aimed at benefiting the society. Any activity of the government aimed at benefiting majority of the people can be called an ethical activity. It is the prime responsibility of every government to resort to ethical policy formulation. However, in a country like India, citizens’ awareness is very low and naturally, the ethical dimensions of the government are also at a low ebb. Policy formulation is heavily influenced by extraneous factors. The extraneous factors can be attracting voters during the election time, benefiting those individuals who are close to the power centre, which again is unethical. These days most of the state governments are resorting to such unethical practices aimed at benefiting the members of their own political party or those individuals who are close to the ministers. In the process of such unethical activity, larger interests of the people are being sacrificed and only a few individuals are getting benefited. The government is least concerned about the views and opinions of the people and is much concerned about the prosperity of elite sections of the society. For example, the government would accept the application of a rich man for granting a piece of land for a recreation club but would reject the application for the allotment of land for cultivation by a poor farmer. In most of the cases, it is found that the policies of the government are unethical as they are aimed at bypassing the interests of the poor for the rich sections of the society. Such unethical practices are on the rise in the recent past which should be curtailed as quickly as possible. Corruption: Corruption is another unethical practice, which has become a part of life for almost every Indian. In fact, the conditions are such that Indians have started loosing interest in cases and issues pertaining to corruption and malpractices in public administration. The main reason for such disinterest is that they fully know that individuals resorting to such corrupt practices would go scot-free. In fact, there might not be a public office having interface with citizens that is corrupt-free. Public administrators working in such public offices presume that corruption is their fundamental right, which signifies the height of justification of corruption in India.

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The civil service conduct rules in India clearly state the activities in which civil s­ ervants should not be involved to ensure highest ethical standards. The officers of all India services are specifically instructed according to their conduct rules that they should submit a return of his assets and liabilities on his first appointment as prescribed by the government. At the Central level, there is separate set of rules for regulating the conduct of civil servants. They are as follows: 1.  All India Services (Conduct) Rules, 1968 2.  All India Services (Classification, Control and Appeal) Rules, 1969 3.  Central Civil Services (Conduct) Rules, 1964 4.  Central Civil Services (Classification, Control and Appeal) Rules, 1965 5.  Railway Servants (Conduct) Rules, 1966 However, civil servants often do not give much importance to such rules, which thwart their corrupt practices and often indulge in unethical and corrupt practices. Although the government made many efforts to reduce the degree of corruption, it did not yield fruitful results. On the other hand, the number of cases pertaining to corruption and unethical practices has increased like never before. Sadly, the conviction rate has been too low in such cases, which is a pointer to the negligence of the disciplinary authorities. Citizen-friendly Administration: Many efforts are afoot to make public administration in India, as it is ethical on the part of public administrators to move closely with citizens and cater to their needs. Any public administrator can reach the highest ethical standard only by being friendly to the citizens and ensuring prompt delivery of goods and services to them. It is unethical for any civil servant to keep the citizens at bay and erect barriers between them and the public. Despite the fact that many efforts have been made to make public administration more citizen friendly, the gap between them is increasing day by day. The following example, although a tip of the iceberg, would narrate the level of citizen friendliness one can find in India.

IPS Trainees Clash with Pan Shop Owner Hyderabad: A scuffle over a pack of cigarettes between four IPS probationers and a pan ship owner near the National Police Academy escalated to a major clash in which four persons, including two trainee officers, were injured on Sunday night. The police version was that around 9.20 p.m. four probationers had gone to Aramgadh crossroads for dinner. ‘While one went to fetch food from a hotel, the other three went to purchase cigarettes’, the Hyberabad DCP, M. K. Singh, said. He said that there was a scuffle between the probationers and the pan shop owner, Venkatesh, when the latter charged them extra money though the MRP was Rs. 59. ‘Even as the scuffle was on, the local public thrashed the trainee officers due to (Continued)

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IPS Trainees Clash with Pan Shop Owner  (Continued) which two of them—Keval Khurana and Anand Prakash Tiwari—suffered serious injuries’, Mr. Singh said. They were immediately admitted to a local hospital. Meanwhile, one of the trainees, lrshad who was present with Khurana and Tiwari, rushed to the Academy and informed his colleagues about the incident. It was around 11.20 p.m., when at least 20 angry trainee officers came out and allegedly started throwing stones on whoever they spotted on the road. By the, person who had thrashed the officers had left the scene. Those who were not at all concerned with the incident became targets of the trainees. Source: The Hindu, Tuesday, 3 May 2005

If this is the case of the IPS trainees, one can well imagine the functioning of public administrators in India. It is highly unethical on the part of public administrators to preach and not practice ethics.

Remedial Action against Unethical Practices The British laid down the structure of Indian administration for pursuing their commercial and colonial interests. The administrative structure was largely designed to meet the imperial objectives of the British government. As trade and revenue collection occupied centre stage during the British rule, the administrative resources were geared to meet those demands. In fact, the administrative structure was designed in such a manner that it would benefit and sustain the British rule. For example, the British created the present day post of the ‘District Collector’ for the efficient collection of revenue rather than for implementing welfare programmes. Nevertheless, the government reoriented the administrative structures and processes to meet the demands of independent India. Although the structure and processes were largely inherited from the British, necessary changes were initiated to meet the demands of the welfare state. Although such efforts were successful to a large extent, some gaps remain unplugged even today. They are widespread corruption, flawed policy formulation, wide psychological distance between the public administrators and citizens. All such problems are the result of dip in the ethical standards in public administration. Therefore, it is necessary that remedial actions should be initiated to enhance the ethical standards in public administration. The remedial action can be initiated on the following lines: •  Fundamental Right: The Constitution of India provided for certain fundamental rights to its citizens to enjoy liberty, freedom and independence and ensure their overall development. It can be stated that to a large extent these rights have paved the way for the overall development of citizens, despite the existence of certain hitches. The former Chief Vigilance Commissioner, N. Vittal, made a suggestion that the citizens should be given the ‘Right to Corrupt-Free Services’ for strengthening the hands of citizens visà-vis public administration in India. According to him, corrupt-free service is a basic necessity of good governance and good governance itself is one of the human rights.

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The former CVC emphasizes that such a right focuses the attention of the people to the evils of corruption and a consensus can be evolved on it as a social evil. The awareness among students will bring forth a generation of citizens who will be aware of the corruption as a social evil and know their rights in case they meet corrupt officers. Such awareness gradually leads to generation of public opinion, which will provide the necessary sanction for altering social behaviour. •  A Code of Conduct for Public Servants: Numerous efforts are being made to make public administration ethically strong and enhance its image in the eyes of the people. The MCRHRD, the training institute for training the civil servants of the state of Andhra Pradesh formulated a code of conduct for the public servants. According to the draft code, the respect for public institutions depends on the integrity with which they function. If the public institutions have high level of integrity in the delivery of goods and services to its citizens, then such institutions enjoy respect from people. In the pursuance of such objective, the institute has drafted a code of conduct for public servants, which are as follows: a. Public servants should fulfil their lawful obligations to the government with professionalism and integrity. b. Public servants should perform their official duties, honestly, faithfully and efficiently, respecting the rights of the public and their colleagues. c. Public servants should not bring the public service into disrepute through their private activities. The draft also suggested that public servants should maintain the confidence and faith reposed in them by political representatives. They should also maintain professional integrity by providing fair and impartial justice to the ministers. At the same time, public servants should be aware of the fact that though their advice is not binding on the ministers; even then they should apprise the ministers of the pros and cons of the policies. •  Hota Committee Report: The Government of India appointed a committee under the chairmanship of P. C. Hota to examine the gamut of civil service reforms. The terms of reference were designed to make the civil service

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Responsive and citizen friendly Transparent Accountable Ethical

in its actions and interface with the people. The committee opined that the core values of integrity, objectivity, merit and excellence form the basic framework of ­permanent civil service. The committee felt that the ethical principles constituting the civil services code should be incorporated in the new statute on civil service. The committee also suggested that annual property return of all public ­servants should be put on the Web site, and rules should be implemented for attachment of benami property of corrupt public servants. The committee also suggested that

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Article 311 of the Constitution should be suitably amended to enable the president/­ governor to dismiss/remove public servants summarily in case of corrupt practice/­ having assets disproportionate to known source of income. •  The Government of India announced in the year 2000, the formation of a National Commission to review the working of the Constitution. The terms of reference of the Commission were to examine how best the Constitution could respond to the changing needs of an efficient, smooth and effective system of governance and socio-economic development within the framework of the parliamentary democracy. The Commission was also supposed to recommend changes in the Constitution without interfering with its basic structure or features. The Commission felt that the absence of clear-cut relationship between the people and the state functionaries is responsible for much which has gone wrong. All this happened because the colonial legacy of administration held sway in the post-independence era as well. For instance, the change of nomenclature from ICS to IAS did not even constitute a cosmetic change. While making reference to integrity, the Commission felt that the holders of public offices should distinguish a good public administration from a bad one. According to the Commission, the term ‘integrity’ is much more than financial honesty in official dealings. Unless public office is regarded as a trust that a public servant holds for public good, even the most enlightened policies for promoting the welfare of the society will not work. The commission made specific recommendations with regard to checking, corrupt practices, and one among them is the enactment of Public Interest Disclosure Acts, popularly called Whistle-blower Acts. Such acts improve accountability in government and public sector organizations by encouraging people to report malpractices. The commission also felt that for ensuring probity in governance the enactment of a Lok Pal Act is necessary. Finally, it can be stated that ethical standards in Indian administration are at a low ebb causing worry among the people. It is true that the ethical standards in public administration are at low ebb, but the reasons should be found in the people themselves. In most of the cases, Indians give preference in getting things done even by greasing the palms of the public servants. It is this selfish attitude of the people, which has exacerbated the problem of ethics sliding down in Indian administration. Unless, people understand the repercussions of such acts it becomes difficult to halt the flow of unethical practices in India.

India Against Corruption: Jan Lokpal Bill Introduction According to the current version of the Lokpal Bill, the authority will not have any power to either initiate action suo moto in any case or even receive complaints of ­corruption from public. This is making the lokpal bill useless. But according to the Jan lokpal bill,

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full powers will be vested to initiate investigations suo motu in any case and also to directly entertain complaints from the public. This is something very important and needs to be addressed by the government. We see most of the political parties finding this as a threat to them. The government proposed lokpal bill just wants the lokpal to be a advisory body and just forward complaints to the respective departments and it does not vest any right to register a FIR like that of the police. This bill does not give power to the Lokpal to do any investigation against the prime minister, dealing with foreign affairs security and defence and also no jurisdiction over bureaucrats and government officers. These are the major lacking of the current version with the government, whereas a Jan Lokpal bill will address the above-mentioned issues. The civil society supports the bill and is trying its best to force the government to implement it. The civil society is of the opinion that ‘We are the people, who have put them on to rule the country and they will have to do it for us’. This movement from a person like Anna Hazare should be supported by each and every citizen of India and compel responsible people to take an accepted decision at the earliest. Lokpal bill at the current states has lots of loopholes and does not serve the purpose. The Lokpal cannot, under the proposed bill, investigate any case against the prime minister in the arena of external affairs and defence. As a part of this movement, N. Santosh Hegde, a former justice of the Supreme Court of India, Prashant Bhushan, a senior lawyer in the Supreme Court along with the members of the India Against Corruption (IAC) movement drafted an alternate bill, named the Jan Lokpal Bill.

History of Lokpal Bill This bill is 40 years old and is still not passed by the elected representatives. There have been different governments in power, but none wanted this to come up as this would be a biggest hurdle for corrupt politicians. India has changed; the young Indians want a clean country and will do anything and everything to get this done. The publication of Santhanam Committee on prevention of corruption, led to the constitution of the Central Vigilance Commission in the year 1964. Later various state government established vigilance machineries to check corruption.

The Office of Lokpal The ARC (Administrative Reforms Commission) looked into the adversaries of existing arrangement for the redressal of citizens’ grievances and proposed a rule for establishing a new machinery. Based on the institution of Ombudsman in Scandinavian countries and the office of parliamentary commissioner of New Zealand, the ARC recommended a two-tier machinery for addressing the grievances of citizens. 1.  Lokpal to deal complaints against the ministers and secretaries at both the Central and states level. 2.  Lokayuktas one at Centre and one for each state.

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The Commission prescribed features for both the vigilance bodies, which are as following: •  To act independently and impartially. •  The process of investigation of Lokpal and Lokayukta should be informal and should be conducted in private. •  Their appointments should be completed to ensure integrity and honesty. •  Discretionary powers used by civil servants and ministers should be brought under their scrutiny. •  Judicial bodies should not interfere in the proceedings of Lokpal and Lokayukta. •  They should not look forward to the government for any pecuniary benefits.

Lokpal ARC recommendation on formation of Lokpal, which are as follows: •  Appointment by the president of India on the advice of the prime minister. •  The prime minister should consider the views of the Chief Justice of India and the leader of the opposition party. •  Tenure of five years and provision for reappointment. •  Removal like that of a judge of the Supreme Court. •  Lokpal to be free to choose his own staff and determine their service conditions. •  The budget not to come under the preview of the Parliament. •  To submit the annual report to the Parliament. Activities: Included power to investigate the administrative activities done by either the concurrence of the minister or the secretary, if an individual is aggrieved by such activities of the government. It is the discretion of the Lokpal to make an enquiry into such complaints and complete the process of investigation impartially. However, the jurisdiction of the Lokpal extends to the following matters: •  Matters relating to relations between the Government of India and foreign government. •  Matters pertaining to the investigation of crime or protection of security of the state. •  Matters pertaining to the appointment, removal, pay and disciplines. •  Grant of honours and awards. All these matter were excluded: •  To ensure that his involvement in the government process do not lead to ally in administrative process.

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•  Attempts were made by several governments to institute the office of Lokpal but all efforts went in vain. The 1968 bill on Lokpal was presented and passed in the fourth Lok Sabha, but was pending in the Rajya Sabha and when Lok Sabha got dissolved the bill was lapsed. The bill was revived in the years 1971, 1977, 1985, 1989, 1996 and 1998 and more recently the 2001. Each time the bill faced numerous problems and before the government could take a decision the house was dissolved or the bill was deliberately allowed to lapse. Therefore, as of now, there is no institution of Lokpal in India, however, the ­institution of Lokayukta come into existence in a number of states. Every political party has included the lokpal bill issue in their election manifesto but none has implemented it. In 2004, our current Prime Minister, Dr. Manmohan Singh, had promised on this issue, but still nothing has been done to get this bill passed without any loopholes. In its present form it is useless and the civil society has not accepted it. It needs to be drafted in a way which will make the things independent from the people in power.

Recent Controversy At present, the existing bodies that deal with corruption either have no independence from the government or have no faith to put the power to good use. None of the existing bodies can deal with corruption both in the bureaucracy and the political class. The CBI is supposed to be autonomous; but is directly under the control of the government. The CVC is autonomous but can deal only with corruption in bureaucracy and can make only recommendations. The people of India are sick of corruption. The latest revision of the proposed lokpal Bill is certainly an improvement over the anemic bill drafted by the law ministry in December 2010, but the government is still not ready to go the whole log. It wants to retain certain controls; this unfortunately may provide escape route to the corrupt. Though the civil society has rejected the official lokpal Bill with almost one voice, the confabulations in the run-up to Anna Hazare’s hunger strike have brought out differences with activists on the alternative Jan Lokpal Bill. The differences had come to light at the two meetings held on 3 and 4 April to examine the provisions of the Jan Lokpal Bill espoused by Hazare, who began his fast unto death on 5 April. Both meetings were attended by members of the ‘India Against Corruption’ group, which is spearheading the campaign to replace Lokpal with Jan Lokpal. The 4 April consultation was held by a sub-committee of the National Advisory Council (NAC), while the 3 April meeting, which took place in Nehru Memorial Museum and Library, was organized by the National Campaign for People’s Right to Information (NCPRI), which had participated in the drafting of the RTI Act 2005. The confabulations evidently showed that some of the key provisions of the draft Jan Lokpal Bill had not been thought through, despite all the improvements made on

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the basis of inputs from across the country. It was felt that the powers envisaged for the corruption watchdog were overboard without adequate safeguards. Similarly, there are differences within civil society on whether Hazare should have gone ahead with his hunger strike programme without waiting for the NAC to complete its review of the two drafts and give its recommendations to the government. This is apparent from a statement issued by Mazdoor Kisan Shakti Sanghatan (MKSS), which pioneered the RTI movement in the country. Even as it appreciated Hazare’s efforts in creating a groundswell of support for a strong Jan Lokpal Bill, the MKSS statement, co-signed by NAC member Aruna Roy, made no secret of its disagreement over Hazare’s demand for a joint committee consisting of government and civil society representatives to finalize the provisions. Cautioning that ‘bypassing democratic processes for political expediency, however desirable the outcome, may be detrimental to democracy itself ’, MKSS said that its focus was not on ensuring that there was 50 per cent representation, for civil society in the drafting committee but to demand that the government immediately announce its intention to pass a strong lokpal legislation based on wide public consultations. This note of discord came close on the heels of a press note issued by Roy and another NAC member Harsh Mander stating that ‘two of the major issues of contention’ over the Jan Lokpal Bill at the 4 April meeting were ‘the inclusion of grievances within the ambit of the bill’ and ‘the issue of provisions for transparency under this bill’. On the first issue, the NAC note said cryptically that ‘there is a concern whether the Lokpal can adequately meet the requirements of a grievance redressal system’. On the issue of transparency, it expressed doubts over the efficacy of the proposal that the Lokpal be empowered to put all its evidence in the public domain irrespective of the limitations prescribed by Section 8 of the RTI Act. Hazare’s supporters also suffered a setback on account of the reservations expressed to the media by Karnataka lokayukta, Justice Santosh Hegde, who is touted by them as one of the authors of the Jan Lokpal Bill. After attending the meeting of 3 and 4 April, Hegde said that Hazare should have withheld his fast till the NAC gave its report and the government took a call on it. He also confirmed that he had misgivings about some of the provisions of the Jan Lokpal Bill, although it was otherwise far better than the government draft. The NCPRI too came out in the open saying that ‘there is need for further consultation before the principle as well as the mechanisms for an effective Lokpal can be finalized’. We the people of India, do not want any compromises on the anti-corruption law. The Lokpal will be a three member body with a chairperson, who is or was a chief justice or judge of the Supreme Court, and two members who are or have been high courts judges or chief justices. Implementation of the lokpal bill will hopefully reduce corruption in India. It provides for filing complaints of corruption against the prime minister, other ministers and members of the Parliament with the ombudsman. Anyone finds a public servant to be corrupt can file a complaint and the Lokpal has to complete the inquiry within six months.

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Anna Hazare: Jan Lokpal Bill The Jan Lokpal Bill or citizens’ ombudsman bill is a draft anti-corruption bill drawn up by prominent civil society activists seeking the appointment of a Jan Lokpal, an independent body that would investigate corruption cases, complete the investigation within a year and envisage trial in the case getting over in the next one year. Drafted by Justice Santosh Hedge, former judge of the Supreme Court, and present Lokayukta of Karnataka; Prashant Bhushan (Supreme Court Lawyer) and Arvind Kejriwal (RTI Activist), the draft bill envisages a system where a corrupt person found guilty would go to jail within 2 years of the complaint being made and his ill-gotten wealth would be confiscated. It also seeks power to the Jan Lokpal to persecute politicians and bureaucrats without government permission. Retired IPS officer Kiran Bedi and other known people like Swami Agnivesh, Shri Sri Ravi Shanker, Anna Hazare and Mallika Sarabhai, are also part of the movement called ‘India Against Corruption’. They describe the movement as an expression of collective anger of people of India against corruption. They have come together to join/ request/persuade/pressurize the government to enact the Jan Lokpal Bill. If this bill is enacted it would create an effective deterrence against corruption. Hazare, an anti-corruption crusader, Fast-unto-death, demanding that this bill drafted by the civil society be adopted. The India Against Corruption movement criticized the lokpal bill of the government an ‘eyewash’. It also lists the differences between the bills drafted by the government and the civil society.

Salient Features of Jan Lokpal Bill 1.  An institution called Lokpal at the centre and Lokayukta in each state will be set up. 2.  Like the Supreme Court and Election Commission, they will be completely independent of the governments. No minister or bureaucrat will be able to influence their investigations. 3.  Cases against corrupt people will not linger on for years anymore. Investigations of cases will have to be completed in one year. Trial should be completed in next one year so that the corrupt politician, officer or judge is sent to jail within two years. 4.  The loss that a corrupt person caused to the government will be recovered at the time of conviction. 5.  It will help the common man; If a citizen is victimised by red-tapism in an government department and their work is not completed within a stipulated period, they can raise a complaint to the Lokpal. The Lokpal is capable of imposing fine on the guilty officer, which will be given as compensation to the complainant. 6.  So, if any citizen aggrieved due to non-issuance of a ration card or passport or voter card or is denied of his right to file a FIR by the police within a stipulated time can approach the Lokpal with a complaint. The Lokpal will get it done in a month’s time. Citizens can also report any case of corruption to Lokpal like ration

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being siphoned off, poor quality roads been constructed or panchayat funds being siphoned off. 7.  The government will not appoint corrupt and weak people as Lokpal members. Its members will be selected by judges, citizens and constitutional authorities and not by politicians, through a completely transparent and participatory process. 8.  The entire functioning of Lokpal/Lokayukta will be completely transparent. Any complaint against any officer of Lokpal shall be investigated and the officer will be dismissed within two months. 9.  CVC departmental vigilance and anticorruption branch of CVC should be/and will be merged with the Lokpal. Lokpal will have complete powers and machinery to independently investigate and prosecute any officer, judge or politician. 10.  It will be the duty of the Lokpal to provide protection to those who are being victimized for raising their voice against corruption. Karnataka Lokayukta, Santosh Hedge who is member of the newly appointed joint committee on lokpal bill, said the prime minister should come under the purview of the anti-corruption measure, allowing the ombudsman to investigate him if needed. He said, there is no reason why the prime minister should not be included; therefore, their issues are no more contentious issues.

Lokpal Bill and Jan Lokpal Bill Lokpal bill at the current state has lots of loopholes and does not serve the purpose. The Lokpal cannot, under the proposed bill, investigate any case against the prime minister in the arena of external affairs and defence. As a part of this movement, N. Santosh Hegde, a former justice of the Supreme Court of India, Prashant Bhushan, a senior lawyer of the Supreme Court along with the members of the IAC movement drafted an alternate bill, named as the ‘Jan Lokpal Bill’. A bill of this kind needs to be passed and implemented with all the loopholes closed, independent from politicians and bureaucrats like the Supreme Court of India and the Election Commission. This movement from a person like Hazare should be supported by each and every citizen of India and compel the responsible people to take an accepted decision at the earliest. Lokpal will not have any power to either initiate action suo motu in any case or even receive complaints of corruption from general public. The general public will make complaints to the speaker of Lok Sabha or chairperson of Rajya Sabha. Only those complaints forwarded by the speaker of Lok Sabha/chairperson of Rajya Sabha to Lokpal would be investigated by Lokpal. This not only severely restricts the functioning of Lokpal but also provides a tool in the hands of the ruling party to have only those cases referred to Lokpal which pertain to political opponents (since speaker is always from the ruling party). 1.  Lokpal has been proposed to be an advisory body. Lokpal, after enquiry in any case, will forward its report to the competent authority. The competent authority will have final powers to decide whether to take action on Lokpal’s report or not.

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In the case of cabinet ministers, the competent authority in the prime minister. In the case of the prime minister and the members of the Parliament the competent authority is the Lok Sabha or Rajya Sabha, as the case may be. In the coalition era when the government of the day depends upon the support of its political partners, it will be impossible for the prime minister to act against any of his cabinet ministers on the basis of Lokpal’s report. For instance, if there were such a Lokpal today and if Lokpal made a recommendation to the prime minister to prosecute A. Raja, obviously the prime minister will not have the political courage to initiate prosecution against A. Raja. Likewise, if Lokpal made a report against the prime minister or any member of the Parliament of the ruling party, will the house ever pass a resolution to prosecute the prime minister or the ruling party member of Parliament? Obviously, they will never do that. 2.  The bill is legally unsound. Lokpal has not been given police powers. Therefore, Lokpal cannot register an FIR. Therefore all the enquiries conducted by Lokpal will tantamount to ‘preliminary enquiries’. Even if the report of Lokpal is accepted, who will file the charge sheet in the court? Who will initiate prosecution? Who will appoint the prosecution lawyer? The entire bill is silent on that. 3.  Lokpal will have jurisdiction only on members of Parliament, ministers and the prime minister. It will not have jurisdiction over officers. The officers and politicians do not indulge in corruption separately. In any case of corruption, there is always an involvement of both. So according to government’s proposal, every case would need to be investigated by both CVC and Lokpal. So now, in each case, CVC will look into the role of bureaucrats while Lokpal will look into the role of politicians. Obviously the case records will be with one agency, and the way government functions it will not share its records with the other agency. It is also possible that in the same case the two agencies arrive at completely opposite conclusions. Therefore, it appears to be a sure way of killing any case. 4.  Lokpal will consist of three members, all of them being retired judges. There is no reason why the choice should be restricted to judiciary. By creating so many post-retirement posts for judges, the government will make the retiring judges vulnerable to government influences just before retirement as is already happening in the case of retiring bureaucrats. The retiring judges, in the hope of getting post-retirement employment would do the bidding of the government in their last few years. 5.  The selection committee consists of the vice president, the prime minister, leaders of both houses, leaders of opposition in both houses, law minister and home minister. Barring the vice president, all of them are politicians, whose corruption charges Lokpal is supposed to investigate. So there is a direct conflict of interest. Also selection committee is heavily loaded in favour of the ruling party. Effectively ruling party will make the final selections. And obviously ruling party will never appoint a strong and effective Lokpal.

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6.  Lokpal will not have powers to investigate any case against the prime minister, which deals with foreign affairs, security and defence. This means that corruption in defence deals will be out of any scrutiny whatsoever. It will become impossible to investigate into any Bofors in future. According to Hazare, since all institutions are under governmental control they do not have autonomy and that is the main reason why corruption is so widespread. With the introduction of the Lokpal bill there will be autonomy and corruption would be wiped off. ‘Every institution that has been formed to check corruption is under the government, therefore, it is not effective. All institutions are under government that is why they do not have autonomy. This new Jan Lokpal bill will bring autonomy in all the institutions, this will lead to the wiping of corruption’, said Hazare. Several people have criticized the movement and Hazare’s ways of forcing change. But Hazare justifies his method of protest as he did not do it for his personal benefit but for the benefit of the entire country. Hazare truly believes that with the passing of this bill it will be ensured that corrupt ministers will go to jail. Hazare ended his 98-hour long fast after the government bowed before the people power and agreed to most of the demands put forward by the veteran social activist and Gandhian. The final agreement was made after three meetings held over two days, which showed no signs of either side willing to budge from their stand. The government agreed to Hazare’s demands. In fact, Hazare and his supporters believe that the government had agreed beyond their demands. ‘The government has agreed beyond our demands. I am thankful to the Prime Minister, Sonia and Kapil Sibal. UPA government cares about the concerns of the People’, said Swami Agnivesh. In the agreement, the government has committed itself to introducing the new lokpal bill in the forthcoming monsoon session of Parliament. Union Law Minister Veerappa Moily will be the convenor of the 10-member joint drafting committee that will commence its work forthwith and evolve its own procedures to prepare the proposed legislation. The five members of the civil society include Anna Hazare, senior lawyers Shanti Bhushan and Prashant Bhushan, RTI activist Arvind Kejriwal and Karnataka Lukayukta Santosh Hegde. Shanti Bhushan will be the co-chairman along with the Finance Minister Pranab Mukherjee. The government will be represented by Mukherjee, Sibal, Moily, Home Minister P. Chidambaram and Water Resources Minister Salman Khurshid. The drafting committee will complete its work by 30th June 2011 and the Cabinet approval will be taken before the start of the monsoon session. The monsoon session of the Parliament is likely to start in the first week of July 2011. Though both sides talked tough on Friday morning, Hazare sent a draft to the government containing his demands and after discussions between Sibal and Hazare’s emissaries, the government sent a draft to the fasting leader. The government draft conceded the demand for a joint committee and other details of the draft agreement. Hazare demanded that there should be co-chairman from the civil society side with five members from both sides and that it should be constituted through a notification and not by a letter of the Law Ministry. The government finally agreed to this proposal paving

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the way for a resolution. He agreed to be part of the committee to keep pressure on the government and for a minister to be chairman so that ‘the Cabinet will accept the recommendations (of the committee)’. Prime Minister Manmohan Singh gave clear indications that his government will not give in to the demands of the activists to include the prime minister and the higher judiciary under Lokpal, the proposed corruption ombudsman. Bringing the prime minister and the higher judiciary under the Lokpal’s jurisdiction are among the key differences between the government’s vision of the Lokpal bill and the draft Jan Lokpal bill. Dr. Singh made it clear that while he was personally in favour of the inclusion of the prime minister, his party and the government were opposed to it. His Cabinet colleagues felt ‘the inclusion of PM could create an element of instability in the system that could, on occasion get out of hand’ the prime minister said. ‘I, for one, have no hesitation in bringing myself under the purview of the Lokpal’, said Dr. Singh speaking at a rare interaction with the media. In his 7 years at the helm of India’s largest democracy, he has addressed just three television press conferences and has rarely given interviews to the media. Recently, as his government wobbled through corruption charges and charges of policy paralysis, the prime minister’s silence increasingly became conspicuous. Dr. Singh said the office of the prime minister was already covered by the Anticorruption Act. Any person holding this office was a ‘24-hour servant of the people’ who can be removed by the Parliament through a vote of no confidence. Even though the prime minister cautioned that he was not saying anything one way or the other on the matter, it was amply clear which way he leaned on the issue. Dr. Singh said he wanted to be guided by political parties as there were a number of divergent views in the country. Tamil Nadu Chief Minister, J. Jayalalithaa and Punjab Chief Minister Prakash Singh Badal have already given their views on the subject and they are opposed to bringing the prime minister under the ambit of the Lokpal. Dr. Singh opposed the inclusion of higher judiciary under the Lokpal as it would be against the constitutional scheme of things. He said there were ‘clear reservations’ against the inclusion of the higher judiciary. Judiciary must be encouraged to find its ways and means to regulate its own affairs consistent with the spirit of the Constitution; he said ‘How would the Supreme Court pronounce on complex issues if it is subject to the jurisdiction of the Lokpal’, Dr. Singh asked. Hazare, who galvanized popular support for his Lokpal movement by going on a fast-unto-death in April, said that the prime minister was being controlled by a ‘remote control’. Hazare, who has announced that he would resume his indefinite hunger strike on August 16, has said he would not go back on his demands, such as the inclusion of the prime minister and higher judiciary under the Lokpal. Kiran Bedi, a former top cop who is now an activist-associate of Hazare, said the prime minister should commit himself to the cause of the Lokpal and take a personal stand, like he did on the 2008 Indo-US nuclear deal. Dr. Singh said he had high personal regard for the activists and that is why he had met Hazare in March and assured him that the Parliament would take up the

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lokpal bill. But within two or three days Dr. Singh said, it was clear that there were other forces ‘controlling Hazare’ interaction with Baba Ramdev was a similar honest attempt to engage with him. There are some important issues on which different opinions have been expressed by Team Anna And the government.

(a)  Structure of the Lokpal Team Anna’s View 1.  It should be a 11-member body having different wings for investigation, prosecution and vigilance. It should be a machinery for grievance redressal and for protecting whistle blowers. 2.  The CVC and part of the CBI dealing with the corruption cases will be merged with the Lokpal. 3.  The members should be chosen by a selection committee having two politicians, four judges and two constitutional office-holders. 4.  The search committee should consist of retired constitutional authorities. It should work in a transparent and participative manner. Government’s View 1.  Agrees to all member body but the Lokpal should not deal with vigilance. 2.  Vigilance function is performed by CVC and corruption wing of the CBI and it should continue to exist separately. 3.  Six of the 10 members of the selection committee will be politicians. 4.  The search committee will be selected by the selection committee. An overview of the two opinions Keeping the CBI and CVC out of the Lokpal is only half a solution. It seems to be duplication of work, and hinders the creation of a truly effective anti-corruption mechanism. Also, having a Lokpal as well as CVC runs the risk of the government playing one against the other. Although the CVC is an independent body, it can only make recommendations. Although the CBI has powers of investigation, it is not independent from government control. So, why have these separate agencies when their merger can create a robust body with the existing staff of the various vigilance departments (which report to the CVC), the CVC and CBI making the new Lokpal’s personnel? Who also support the more transparent and participatory selection process proposed by Team Anna. We also suggest that the Lokpal members be paid lucrative salaries to attract the best talent and to make them less vulnerable to allurement. Indeed, this should apply to judges, ministers and members of Parliament as well.

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(b)  Inclusion of the Prime Minister Under the Ambit of the Lokpal On the principle of equality, the prime minister should come under the ambit of the Lokpal. Secondly, since the prime minister holds several portfolios and political corruption is more in those departments, he should not be kept beyond the reach of the Lokpal. Government’s View The prime minister’s inclusion will paralyse the entire administration. If the prime minister were to come under the Lokpal investigation he could be divested of his portfolio or dropped from the government. The prime minister’s immunity against prosecution would cease to apply the moment be demits office. However, the general opinion of the public is that the prime minister should be under the Lokpal’s purview. If the head of the government is corrupt, it would be a mockery of justice to let him get away with it. Team Anna’s provision has safeguards against the prime minister being hounded with politically motivated or frivolous complaints, because all complaints against him would be first heard by a Lokpal bench comprising no less than 7 of its 11 members—a large enough body to filter out motivated cases against the prime minister. According to the Constitution, immunity is granted only to the president, not the prime minister. Even the otherwise weak bill drafted by the Law Ministry in December 2010 included the prime minister within the Lokpal’s purview. As a further safeguard, the bill could provide that the prime ministers will not have to quit merely because they are being investigated by the Lokpal, but quit only if they are found to be guilty. In fact, in all cases involving those in important positions including ministers, members of the Parliament, officers and judges, there should also be a provision for automatically fast-tracking the investigation and trial so that they are either convicted or allowed to get back to normal functioning as soon as possible.

(c)  Accountability of the Members of the Parliament to the Lokpal for Their Conduct in the Parliament Team Anna’s View Lokpal should investigate the matter on receipt of a reference from the chairperson of either house and after investigating he should submit the report, to the chairperson. But later Anna’s team went back on this principle and clarified that ‘we want conduct of MP’s within parliament if it is an offence under the Prevention of Corruption Act is also be covered’. Government’s View Lokpal should probe an member of Parliament only for that activities outside the Parliament. Whatever an member of Parliament does in the Parliament, it is his parliamentary privileges.

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It appears the immunity provided by the government’s draft is in keeping with the controversial Supreme Court judgment of 1998 in the JMM case holding that members of Parliament who had taken bribes and bailed out the Narasimha Rao government were ‘entitled to the protection that the Constitution plainly affords them’. In other words, member of Parliament cannot be scrutinized for how they vote in Parliament or what they say on the floor of the house or anything else which can be seen as part of their legislative duties. This is not desirable, especially when there are instances of members of Parliament asking questions at the instance of corporate or other interests. We should be in tune with global practices. The US Supreme Court, for instance, has discarded the view that legislators could not be accused of corruption for anything they did in the House. India needs to make the same change.

(d)  Power of the Lokpal to Sack the Corrupt Bureaucrat Lokpal should be empowered to recommend appropriate measures/penalties under conduct rules and these recommendations should be binding on the government later it said the Lokpal shall have powers to impose departmental penalties and that high court should ordinarily not say those orders. Government’s View But the government feels that the Lokpal cannot erode the job security provided by the constitution to bureaucrats. It can make recommendations that can be forwarded to the UPSC for consultation. What we feel, the original purpose of the job security provided by Article 311 of the Constitution was to insulate bureaucrats from arbitrary and vindictive action. While it does serve that purpose, it is also being increasingly used as a cover for the corrupt. Veerappa Moily, now as the law minister and earlier as chairperson of the Administrative Reforms Commission, has called for a review of Article 311. (Now, as member of Lokpal drafting committee has done a volte-face on Article 311.) We do not think it should be repealed for the simple reason that it does still provide honest bureaucrats protection from a vindictive political master. The process of complaint and action should, however, be speeded up so that Article 311 cannot be a prolonged cover for the corrupt. While giving the Lokpal the power to sack babus seems excessive, but rules should be spelt out to link various offences to specific punishments. Mere suspension or transfer for an obvious excess/crime, for instance, seems a non-punishment. The punishment, therefore, must be commensurate with the offence.

(e) Should the Anti-corruption Wing of the CBI be Merged with the Lokpal? Team Anna’s view Team Anna supports it.

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Government’s views The government is reluctant to merge the CBI’s anti-corruption wing with the Lokpal. Allowing the CBI’s anti-corruption wing to function separately, while having an investigative machinery under the Lokpal, would mean overlap of jurisdiction and duplication of efforts. It makes more sense for the Lokpal to be a single agency for all corruption cases involving the bureaucracy. After all, the public anger against corruption is mostly from lower-level officers. The Lokpal should not deal with NGOs. There are lakhs of them. If they are included, complaints about NGOs will clog the Lokpal and paralyse it.

(f)  How will a Lokpal Member be Accountable? Team Anna’s view Anna’s team feels that a citizen can make a complaint to the Supreme Court against any Lokpal member and seek his removal. As per complaints against the staff of the Lokpal, they will be heard by an independent authority to be set up for this purpose. Government’s views Government is of the opinion that a Lokpal member can be removed only through a government reference to the Supreme Court. The complaints against its own staff will be investigated by the Lokpal itself. The government seems to control both selection and removal of Lokpal members. That would defeat the very purpose of a truly autonomous Lokpal. Any citizen should be free to complain against a Lokpal member. As for complaints against the staff, allowing the Lokpal itself to investigate such complaints creates scope for conflict of interest. So, a separate body that deals with judicial accountability can deal with such complaints.

(g)  Should Judiciary be Under the Ambit of Lokpal? The Jan Lokpal Bill proposes a machinery having sole authority to prosecute members of the higher judiciary. But jurists believe that it will disturb the basic structure of the Constitution. The consequences will be even worse, if Jan Lokpal Bill becomes an independent investigating and prosecuting agency.

Jan Lokpal Would Harm India: The Government’s View Jan Lokpal a cure worse than the disease The jurisdiction of the Jan Lokpal Bill is all pervasive; it covers all public servants including members of higher judiciary. This legislation seeks to break new grounds. It is an attempt to reign in and discipline members of the higher judiciary. This has far-reaching consequences. First, some eminent jurists believe it might destroy and damage the basic

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structure of the Constitution. The autonomy and independence of the judiciary is ­protected under the Constitution, which allows a member of the higher judiciary to be removed only through the cumbersome impeachment process. The intent was to ensure that justice is administered without fear or favour. Instead, we need a robust judicial accountability bill.

No Judge will Ever Dare Differ with the Views of a Prosecutor of the Jan Lokpal Jan Lokpal Bill provides an alternative machinery, wherein 11 elected men will have the sole authority to prosecute a member of the higher judiciary. The consequences are even worse, when you consider that under it the Jan Lokpal Bill will have independent investigating and prosecuting agencies. No judge will ever dare differ with the views of a prosecutor of the Jan Lokpal since he might face prosecution himself if his orders are misunderstood. One of the litigants to a dispute is always unhappy with the outcome of a court proceeding. Presently, unhappy litigants are willing to face the wrath of the court by hurling unsubstantial scandalous allegations against judges. With the Jan Lokpal in place, these allegations will be made on a daily basis, threatening the autonomy of the judicial process, vitiating the course of justice. We cannot allow this to happen.

Lokpal Seeks to Arrogate to Itself the Power to Discipline Government Servants The second matter of concern is that the Jan Lokpal seeks to arrogate to itself the power to discipline government servants. This would require a constitutional amendment. At present, the tenure of a government servant is protected by the procedural requirements embedded in Article 311 of the Constitution. Besides, the quantum of punishment is required to be determined by the Union Public Service Commission on a reference made to it under Article 320 (3) 9(c) of the Constitution. In the event of such an amendment, the Jan Lokpal will have the authority to discipline all employees of the Central government. This is a directional shift from the existing constitutional structure and interferes directly in matters of maladministration. This will paralyse the functioning of the government.

Decision-making will be Casualty for Fear of a Complaint Government servants will be fearful of possible disciplinary proceedings. Everyday ­complaints will be lodged by government servants against each other to settle personal grievances. Decision-making will be casualty for fear of a complaint by a colleague. Those far removed from administration are providing solutions, which are both utopian and impractical. The Jan Lokpal also wishes to bring the office of the prime minister under its jurisdiction. In a democracy, all public servants are accountable. None can object

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in principle to such a proposition. The issue is whether the Jan Lokpal consisting of 11 wisemen should be given that authority. Union Minister Kapil Sibal finds the Lokpal could be detrimental to the functioning of the judiciary and the executive. It will lack accountability oppressively and undemocratically. However, we should not ignore the other viewpoints. Some people opine that the Jan Lokpal Bill is naive in its approach in combating corruption. Lokpal Bill is premised on an institutional imagination that is at best naive, at worst subversive of representative democracy.

The Ongoing Discussion Our Prime Minister Dr. Manmohan Singh gave his personal view that he has no hesitation to be put under the ambit of the Lokpal Bill. Hazare praised the prime minister to show his commitment in this regard as he has done in the nuclear deal with the United States. Kiran bedi also remarked that the prime minister should go by his conscience and allow the office of the prime minister to come under the Lokpal. However, Dr. Raj Baldev, Cosmo Theorist, and lead man of God Believers Association, believes that the prime minister is not an individual but an institute on behalf of the country; hence, the future of this decision is related to the country’s stability which can be put to jeopardy on the instance of people like Anna Hazare. He further said the matter has been left to the political parties and that is the wisest thing the prime minister has done. The demand by Anna Hazare will weaken the democracy and this should not be allowed at any cost. Social activist Swami Agnivesh has sought the support of the civil society to implement a comprehensive Jan Lokpal Bill. He said the constitution has not exempted the prime minister from the purview of the anti-corruption law and the Lokpal and its members are answerable to the Supreme Court. Hence, there is no reason for fears that the Lokpal could become an extra constitutional body. Justice V. R. Krishna Iyer also opined that both the prime minister and the Chief Justice of India should be brought under the purview of Jan Lokpal Bill. However, he is not sure that the absolute power will not corrupt the Lokpal. Can anyone be given the power to prosecute the prime minister at the line of corruption? We should not replace pragmatism with idealism. He calls for a militant movement against corruption but the word militant should be used with utmost care. Iyer’s concern for probability in public life is commendable. However, dubbing all three organs of the state corrupt is not fair. If a Lokpal with sweeping powers is put above the state machinery, who is to keep a check on the Lokpal? Will not absolute power corrupt the Lokpal? Toby Philip says a movement against corruption should be democratic not militant. The endless debate on the Lokpal is getting tiresome. As it is, we are incurring a huge expenditure on various commissions and committees. The Lokpal will only add to the expenditure. There is no dearth of laws in India to deal with corruption. All VIPs languishing in jail for their alleged involvement in corruption are being dealt with under the existing laws. This only proves that the implementation of the

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e­ xisting laws is enough to deal with corruption. Any loopholes can be plugged. The Lokpal is not a panacea for all ills. What if some members of the Lokpal become corrupt in future? Political support to corruption seems to have reached epic proportions. It is most unfortunate that instead of commending a group of concerned citizens under the leadership of Anna Hazare—which has launched an anti-corruption crusade on behalf of civil society—our political masters have left no stone unturned in suppressing the struggle. Using violent means to disperse a peaceful protest, questioning the authority of valiant stalwarts in Team Anna and attempting to introduce an ineffective, watered-down version of the Lokpal bill will ultimately prove the nemesis for the ruling party. Former high court judge and member of Rajya Sabha, Rama Jois said the country needs a ‘quit corruption movement’ on the lines of the Quit India Movement. ‘It is high time we start a revolution severe than that of freedom struggle to eliminate corruption from the country. We should do it at least for the generations to come’, he said ‘Corruption has reached its peak in the country foiling the dreams of thousands who sacrificed their lives to free this country from foreign rule. Earlier leaders fought for the freedom, but now they fight for power’, he said. To change the system, we should first change the attitude of people, he said. ‘The Lokpal bill can create a fear among the corrupt but cannot help eradicate corruption. These days, no one shies away from demanding bribes or accepting it. Stricter laws and making people, especially the youth, aware of the destructive effect of corruption can help eliminate it from the country’, he added. Justice V. R. Krishna Iyer’s short and crispy response (July 2) to the article ‘Lokpal bill and the Prime Minister’ (July 1) clearly articulates why the prime minister and the higher judiciary should not be exempt from the Lokpal bill’s purview. We have had a prime minister against whom there were allegations of bribery in a defence purchase deal, and another who was accused of bribing a political party to win the trust vote in Parliament. We have also read reports of judges involved in corruption. It is only proper to bring the prime minister and the judiciary within the Lokpal’s purview. Anil Divan’s article on the Lokpal reinforces the merit in civil society’s call to bring the prime minister within the purview of an ombudsman. True, the post of prime minister is a dignified one and should not be tarnished unnecessarily. But in an environment full of corruption and nepotism, a powerful instrument that can bring all institutions within its purview is absolutely necessary. There can be no two opinions on including the prime minister within the jurisdiction of the Lokpal. Dr. Manmohan Singh, too, has agreed to the inclusion. What, then, is worrying the exclusionist team of the Congress? It bears to recall the age-old principle: ‘Be you ever so high, the law is above you’. India Against Corruption is the movement of every citizen of India, and they would not prove themselves cowards to stand against corruption like politicians. This is the freedom fight against the slavery of the corrupt and the looters. This movement is motivated on the principles of Mahatma Gandhi, for a better India. Finally people are becoming sensitive. I feel this law is very important for the growth and development of the country.

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It is not first investments which will develop but this law will prevail. Congratulation for big fight against corruption. Hazare had asked his supporters to prepare for a bigger battle against the government, if the parliament fails to pass the Lokpal Bill, a law that the country has been waiting for more than 40 years. Setting 15 August as the deadline, Hazare said that certain corrupt politician might not let the bill pass easily and if need be, a stronger fight against corruption would be required. ‘This is the battle, we have to fight a war’, he said to his supporters. Since there is no law for those who are corrupt, they are not scared to face charges, But with the implementation of the Jan Lokpal Bill, corruption will be a serious force to reckon with. The much hyped Lokpal Bill was introduced in the Lok Sabha on 14 Aug 2011. On the same day, Hazare burnt copies of the government draft of the legislation along with his supporters in his hometown Ralegaon Siddhi in Maharashtra’s Ahmednagar district. The social activist who has been campaigning for a stronger and graft legislation, exhorted people across the country to do the same. Members of Team Anna accused the government of cheating the common man who has no intention of ending corruption in the country. Hazare said his movement was meant to change the system and not bring the government down. However, the government slammed the civil society for burning copies of the Lokpal Bill. HRD Minister Kapil Sibal says ‘this is an affront to parliament. If this is the way, it will create problem for the democracy’. But the team called the legislation weak, anti-poor and anti-Dalit. Team Anna said that it will burn the draft of the bill till 16 August 16, the day when Hazare had decided to launch an indefinite agitation against the bill.

SUMMARY

  The Indian administration is steeped in unethical quagmire from which it should come out to face the challenges posed by liberalization, privatization and globalization.



  Administrative reforms are an ethical act as they are aimed to enhance the effectiveness and efficiency of public administration.



  It is the ethical duty of public administrators to provide the necessary information to its citizens.



  Accountability is the hallmark of every public administrator working under a democratic government. It is the ethical responsibility of every public administrator to be accountable to the people.



  The civil service conduct rules in India clearly state the activities in which the civil servants should not be involved to ensure highest ethical standards.



  The former Chief Vigilance Commissioner, N.Vittal suggested that the citizens should be given the ‘Right to Corrupt-Free Services’ for strengthening the hands of citizens vis-à-vis public administration in India.

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  The Hota Committee also suggested that the annual property returns of all ­public servants should be put on the Web site and rules should be implemented for attachment of benami property of corrupt public servants.

Q u es t i o n s 1.  How far has the administrative reforms in India been able to enhance the effectiveness and efficiency of public administration? 2.  ‘Accountability is the hallmark of crazy public administrator’. In the light of this statement discuss Right to Information Act? 3.  What remedial measures would you suggest against unethical practices in India? 4.  Write short notes on (a)  Welfare administration in India (b)  Recent controversy on the issue of Lokpal (c)  Citizen-friendly administration (d)  Evolution of Indian administrative service.

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Glossary Antyodaya Benami Brain Drain Digital Divide DWCRA

E-seva Humanism IRDP Jen Li Lokayukta Lokpal Nazaranas Ombudsman

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The programme launched by the central government to improve the living conditions of poor people in rural and urban areas. All transactions which are done on a third parties name to suppress the identity of the original owner. The movement of people from one place to another leading to the depletion or loss of intellectual and technical personnel. The distance created between the people and the government offices due to the application of information technology, which most people are not aware of. The programme at improving the living conditions of women and children in rural areas is called Development of Women and Children in Rural Areas in which women are organized in groups for taking up some entrepreneurial activities. The programme of the Government of Andhra Pradesh to provide integrated services to the citizens at a single place. It primarily deals with humane treatment of employees and emphasizes on human resources in an organization. Integrated Rural Development Programme was launched by the Government of India for overall progress and development of people living in rural areas. It refers to virtue, love, moral character, humanity, goodness, benevolence and kindness, which make an individual ethical in his dealings. It is the familiarity of an individual with the conduct rules pertaining to the proper behaviour in the social interactions and dealings. The office established to redress the grievances of the citizens at the state level is called as Lokayukta. The Administrative Reforms Commission suggested the setting up of an office to redress the grievances of the citizens, which was named Lokpal. The gifts given to the nobles and officials by the public to please them for getting things done. It was widely practised in medieval India. The office or the institution founding Scandinavian countries established to redress the grievances of citizens.

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Soft State

A soft state is the state in which the implementation of the government laws is not strict. There is laxity among the government officials to implement the laws pertaining to corruption. TRYSEM Training for Rural Youth and Self-Employment (TRYSEM) was launched by the government to prepare the youth for taking up entrepreneurial activities. Utilitarianism The doctrine that the greatest happiness of the greatest number should be the end and aim of all social and political institutions. Whistleblower A whistleblower is the individual who opposes all unethical practices at workplace by reporting or informing on a superior’s or organizations ethical or legal misconduct. It refers to the moral outlook of judging what is right and what is Yi wrong. Such ability can be understood in terms of a person’s character or uprightness.

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Bibliography Arora, R. K. 1972. Comparative Public Administration. Delhi: Associated Publishing House. Arora, Ramesh K. and Saxsena, Tanjul (ed.). 2003. Ethics and Accountability in Government and Business. Jaipur, India: Aalekh Publishers. Beverly, James A. and Schultz, David. Encyclopedia of Public Administration and Public Policy. Facts on File. Bhattacharya, Mohit. 2009. New Horizons of Public Administration. Delhi: Jawahar Publications. Cooper, Terry L. (ed.). 1994. Hand Book of Administrative Ethics. New York, NY: Marcel Decker Inc. Dubhashi, P. R. 1986. Administrative Reform. Delhi: B.R. Publishing Corporation. Administrative Reform: G. E. Garden. Heady, Ferrel. 1984. Comparative Public Administration. New York, NY: Marel Dekker Inc. Heady, Ferrel. 1995. Public Administration, A Comparative Perspective. Marcel Dekker Inc. Henry Nicholas. Public Administration and Public Affairs, 11th edition. Prentice Hall of India. Ramesh, M. and Araral, Eduardo. Representing the Public in Public Service, New Public Management Reforms. Routledge Publishers. Sapra, R. K. Public Policy. Delhi: Sterling Publishers Pvt. Ltd. Singh Shiv Raj. 2003. Public Administration in the New Millenium: Challenges and Prospects. Anamika Publication. Stahl, O. Glenn. 1936. Personnel Administration. New York, NY: Harper and Bros.

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