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ETHICS AND HUMAN INTERFACE Aranyak SaikiaEthics?Study of what is right and what is wrongSet of standards society or individual places on itself to guide behavior, choices and actionsDimensions of ethics: meta, normative/descriptive, applied?When ethical standards ignored, ‘knower-doer’ split takes place, and the person is ridden with guilt. – Swami Dayananda Success of a administrator depends on two things: skills and contribution to society which depend on values he imbibes. Eg: Laden, Harshad Mehta high skill but low values.Ethical values imbibed in Constitution, religious codes and Indian philosophy.ValuesSet of beliefs to evaluate a particular situation or peopleCan be positive (optimism, tolerance, perseverence, confidence etc) or negative (pessimism, intolerance, overconfidence, greed, envy, anger etc)Affects our behaviorHelps in placing relative importance to objects or situations?Eg: those who condemned 9/11 value peaceful life and non-injury, but the terrorists value violence. Different social environments decide our value systems. But there are certain Universal Values like tolerance, love etc.Role of family, friends, teachers, media and education in inculcating valuesDesire, anger and greed are the gateways to the hell: GitaBasic positive human values: Truth, love, peace, responsibility, justiceMorals?That subset of positive values that helps in differentiating good from badHonesty,integrity, commitment etcEthics is "morality in action"Sometimes moral convictions can be harmful. Eg: commitment is a moral value. But excessive commitment to one's religion is fanaticism?Ethics v/s LawsLaws are also standards, but enforced by the state/govt with sanctions for their violationThey usually enforce the bare minimum ethical standards, eg: PCA 1988, Protection of Civil Rights Act 1965But sometimes laws can be unethical. Eg: Rowlatt Act or Apartheid system. Gandhi, Mandela etc fought against such lawsBeliefsBeliefs are assumptions we hold to be true. When we use our beliefs to make decisions, we are assuming the causal relationships of the past, which led to the belief, will also apply in the future.Values are a subset of beliefs. Other beliefs: religious beliefs, superstitions, belief in superiority of science etc.Virtues v/s values If values are the goals, then virtues are a way to get there. A Virtue is a characteristic of a person which supports individual moral excellence. Eg: wisdom, courage, justice and temperance (4 cardinal virtues). It reflects a good trait of a character and a good habit. Virtues are values in action. 3 Preconditions for ethical scrutiny of human actionsFree willKnowledgeVoluntary ActionDeterminants of EthicsWhether something is right or wrong comes from 4 inter-related sources:Social customs or rules, usually enforced by law or ConstitutionReligious beliefs based on absolute dogma. Eg: Koran, Bible etcConscience and intuition developed over many years and depending on environmentCommon sense rulesTheories of EthicsRefer Mrunal Lecture E1/P2Guiding Ethical decision makingManagers faced with these kinds of tough ethical choicesoften benefit from a normative approach - one basedon norms and values to guide their decision making:Utilitarian Approach: a decision maker is expected toconsider the effect of each decision alternative on allparties and select the one that optimizes the satisfactionfor the greatest number of people. Indvidualism Approach: contends that acts aremoral when they promote the individual’s best longterminterestsMoral Rights Approach: asserts that human beingshave fundamental rights and liberties that cannot betaken away by an individual’s decision. Thus all ethicallycorrect decision are ones that best maintain the rightsof those people affected by it. Moral rights that could beconsidered during decision making are: privacy, due process, conscience, free speech, lifeJustice Approach: moral decisions must bebased on standards of equity, fairness, and impartiality. Factors Affecting Ethical ChoicesPersonal needs, family influence, and religious backgroundExternal rewards and punishments, especially laws, CS Conduct RulesRole of society: people learn to conform to the expectations of good behavior as defined by colleagues, family, friends, and society. Meeting social and interpersonal obligations is important.Values of an organization in which the person worksMoral development: Person decides not to obey laws or orders that go against moral principles or conscience. Eg: police officer decides not to kill a criminal in a fake encounter even when ordered by superior. Consequences of ethics in human actionsOfficers perform their tasks with honesty, integrity, objectivity and with tolerance and compassion. This improves public service delivery and accountability, transparency in public administrationImproves corporate governance practices in companies. They care for the shareholders, consumers and the environment. Managers look after their employees, while companies follow the law. Helps prevent scandals like Satyam, PNB bank fraud, etcHelps resolve conflicts between legality and conscience. Eg: whether to catch a criminal or kill him in a fake encounter. Ensures that the poor, minorities, Dalits and women can live with dignity. Provides for greater diversity and toleranceDimensions of EthicsMeta ethics – Questions what is ‘right’ and ‘wrong’ Normative ethics – What ought to be done. Utilitarianism, Hedonism, Egoism, Deontological, Virtue, Rights basedDescriptive ethics- Empirical estimation of people’s morality. Value free ethicsApplied ethics- Applying ethics to practical issues and scenarios.Bio-ethics- biology, medince etc: Euthanasia, stem cell research, abortion, animal trials, GM crops etcBusiness ethics- how to conduct business, corporate governance, flouting rules, paying taxes etcOrganisation ethics- codes of conduct within the org, training of employees, confidential reporting systemsMilitary ethics- how to fight war, should prisoners be killed, whether to kill civilians, immunity (AFSPA), world heritage convention Politicial ethics: use of money, muscle power, appealing to caste, religion, spoils system, office of profit, keeing promises, privilege of membersDevelopment and environmental ethics- displacement of people by dams, land acquisition, FRA, sustainable devt, pollution during Diwali, stubble burning etcMedia ethics- yellow journalism, paid news, fake news, protection of journalists (Shujaat Bukhari killing), regukation or self-regulatiion. Some unethical practices in IndiaIllegal medical practitioners, private hospitals making 1000% profits by exorbitant charging of illiterate patientsFood adulteration. Eg: maggiHooch and bootleggingChild labour. Some middle class HHs employ child labour and beat them up, while providing the best facilities to their own childrenCheating foreign touristsFrauds and Ponzi schemes, Nirav Modi, Mallya, Harshad Mehta etcFemale foeticideWatching downloaded pirated movies How to inculcate values?Family: If parents informally talk bad things about a particular caste or religion, if they knowingly violate traffic rules, child will imbibe the same. Respect for girl learnt at home if women treated with respect at home. If parents are meticulous about cleanliness in both private and public property, child will follow the same.Type of family also matters: Nuclear- can lead to individualism and liberalism with focus on women’s rights. Joint- values of sharing and caring with negative values on gender stereotypesSociety: If egalitarian society, then values of giving and sharing. If society has communal tensions, then child will acquire communal values. If society has people from different castes, languages etc, then respect for diversity. If corruption rampant, then tolerance for corruption.Educational institutions: teachers as role models, values of liberty/equality/fraternity taught in textbooks, values of our freedom struggle, learn about Indian Constitution, participation in games, debates etc, discipline, team work, etc, ragging of juniors, excessive focus on exams without actually learning the basics, scientific temper, but gender stereotypes can be perpetuated as found in UNESCO report. Role of teachers: teachers need to live by example. GK Gokhle was the political guru of GandhiShould value education be imparted?: Yes: so as to inculcate values of honesty, respect for diversity, non-violence, tolerance, integrity etc. No: can be used as propaganda by state to further its own ideals and suppress dissent. Textbooks should only impart Constitutional values -democracy, secularism and human values (truth, love, compassion).Other ways: Telling inspirational stories, documentaries and movies like PINK, Rang de Basanti, etc; media and journalists through unbiased reporting and showing both sides of the debate, etc; festivals and cultural centresEthics in personal lifeBeing truthful and honest with family membersNot harming others: physically or mentallyTeaching moral values of honesty, integrity and compassion/tolerance to childrenTreating both son and daughter equallyNot engaging in any form domestic violence or verbal abuseTaking paternity leave and allowing wife to work outside homeProtecting the family from bad influence like alcohol, drugs, partying late at nightGiving time to familyProtecting the environment by switching off lights, saving water, not using plastic bags, tgetting rid of use-and-throw culture, especially for e-goods. etcHelping someone in need without expecting anything in return. Ethics in public and private relationships: some issuesIf a person becomes bankrupt because of his lavish “private” lifestyle (Hedonism), then he is automatically ineligible from various constitutional / statutory “public” posts in India. Thus, private life does have bearing on the public life of a person.For the same reason, Judges have to ‘recuse’ themselves from the cases involving their relatives or friends.Kesab Chandra Sen opposed child marriage but married his own underage daughter to Maharaja of Cooch Bihar. Similarly, renounce caste system in public but prevent inter-caste marriage in own family. State should stay away from private life of an individual. But it is the private life, from where most injustices begin such as domestic violence and malnutrition of girls in a family.Bringing officers’ assets under Lokpal can affect their privacy and also threaten their livesOrthodox Christians consider contraceptive (birth control) drugs and abortion as sinful. So, what if he becomes a chemist or doctor? Should he run away from his duties? Private religion vs public dutyReligion is private: but should state intervene if unethical things taking place in the name of religionShould different ethical standards apply in public and private r/s? eg: honesty in household r/s but should IB officer talk about secret ops to wife? Does she have the right to know about an op where her husband’s life is in danger?Manager of a company makes misleading ad on a product, but tells his own family to know procure it. Lessons from leaders, reformers and administratorsREFER PG 179-180 OF LEXICON (MUST) ATTITUDEIt’s a state of mind- your positive/negative feeling towards a person, object, event, idea, environment. It determines how people will arrive at a correct judgement.Aptitude, on the other hand, is the competence and skill required to accomplish a task. Eg: Aptitude for civil services, for computer science, engineering, performing arts etc. Attitudes are directed towards an object, event, person or organization and give specific reaction to them.Attitude affects group behavior e.g. Jury service, racial prejudice, work environment, voting pattern and more.They help us understand ourselves and others.They can be explicit – formed by recent eventsThey can be implicit- derived from past memories and traumatic experiences.They protect us from acknowledging harsh realities of life and thereby help coping up with emotional conflict.They’re situational.Some thinkers say Attitude is permanent, forms habit and becomes predictableSome thinkers say Attitude is tentative- a person will form attitude from his past experience but if new situation comes he’ll evaluate and change attitude. Thus, Attitudes are spontaneous reaction to environment.Persuasion can change attitude of a person. If a trustworthy, expert, likable person says, “rich people’s love for fur-clothes has led to extinction of xyz. Species”. Then next time you see a rich lady, you’ll feel repulsed. Attitudes shaped by:Values and beliefs. Eg: If we value our own religion over others, then we will have an intolerant attitude towards other religions Experiences. Eg: After forced to give bribe to policeman, I will have negative attitudes towards policeEducation and persuasion. Eg: Textbooks can teach about the importance of being optimistic, tolerant, humble etc. teachers can be role modelsPeers and family, culture, social influence. Society, tradition, and the culture teach individuals what is and what is not acceptable. Eg: In cultures where people help each other out, a cooperative attitude develops. Economic background: A rich man might think privatisation of edu is okay. IEC campaigns and propaganda: Social mediaRecent examples include no-smoking health campaigns and political campaign advertising emphasizing the fear of terrorism.Relation of attitude with thought and behaviourThought is what we think about a particular situation, object or person. A is a subset of T. Eg: Seeing a river, I might think: What a beautiful river (positive attitude about nature) or where the source of the river is (random thought).The term ‘behavior’ can be described as the way of conducting oneself. It is the manner of acting or controlling oneself towards other people. While attitude is a mental construct on how we evaluate things, situations or people, behaviour is an outward manifestation in the form of action. A is what you think, B is what you do. B can change depending on situations and be affected by A.Above figure explains how attitudes shape behaviour. Moral AttitudesMoral attitudes are based on moral convictions of what is “Right” and what is “wrong”. Evaluation of an object or situation from a moral/ethical perspective. Family, society, religion and education play important role in framing those moral convictions.Political AttitudesAreas on public/political life. Deals with the views on nationalism, liberalism, conservatism, communalism, secularism etc. Involves issues of rights based, utilitarian and deontological ethics APTITUTE AND FOUNDATION VALUES IN CIVIL SERVICES Examples of aptitudeQuantitative aptitudeVerbal aptitudeReasoning aptitudeFinger dexterityVisual memoryIntegrityQuality of being honest and having strong moral principles. Integrity can stand in opposition to hypocrisy. One can describe a person as having ethical integrity to the extent that the individual's actions, beliefs, methods, measures and principles all derive from a single core group of values.Eg: Person does not have integrity if he keeps his house clean but litters public places. Intellectual integrity is defined as recognition of the need to be true to one's own thinking and to hold oneself to the same standards one expects others to meet. Eg: US talks about HR abuses in other countries, but itself carries out drone strikes in Af-PakProfessional integrityfor Doctors, pharmacists, chartered accountants etc. It is enforced by their regulatory anizational integrity Includes ethical principles of workers/ officers in the organization+ work culture+ ethical standards of the organization, and their interaction. Determines the output and productivity of the organizationObjectivityDedication to public serviceThe quality of being dedicated or committed to effective public service delivery and ethical public administrationEmpathyEmpathy means that you feel what a person is feeling (“put yourself in others’ shoes”). Sympathy means you can understand what the person is feeling. Compassion is the willingness to relieve the suffering of another.The main difference is that when you have sympathy, you are not experiencing another’s feeling. Instead, you are able to understand what the person is feeling. For example, if someone’s father has passed away, you may not be able to viscerally feel that person’s pain. However, you can employ your cognitive skills to understand that your friend is sad.Empathy helps us understand others’ emotion, therefore empathy required to increase your emotional passion towards weaker sectionsWhen you are compassionate, you feel the pain of another (i.e., empathy) or you recognize that the person is in pain (i.e., sympathy), and then you do your best to alleviate the person’s suffering.Awareness of suffering.Sympathetic concern related to being emotionally moved by suffering.Wish to see the relief of that suffering.Responsiveness or readiness to help relieve that suffering.Neutrality (non-partisanship)Civil servants must provide free, frank, impartial advice and same level of professionalism in administration irrespective of the govt in power. CS must be apolitical. But this no longer holds as changes in govts lead to wholesale transfer of CS.Many CS get identified with particular political tendenciesCS seek to cultivate patronage from politicians for suitable postsResult of politicisation of CS:Affects the principle of hierarchy. Most CS develop lateral links with politicians and do not listen to superior officers. Affects discipline. Eg: Delhi IAS officers on informal strike. Shows that service is getting politicisedImpartialityAct without bias of client nature (rich vs poor) or social pressure (caste, religion etc.). Anonymity (not in syllabus)Bureaucrat is supposed to work behind the curtain and avoid media limelight and public gaze.He’ll not get credit for the success and he’ll not be blamed for the failure. It’ll be responsibility of the political executive to handle all the applause and criticism. EMOTIONAL INTELLIGENCEThe capacity to be aware of, control, and express one's emotions, and to handle interpersonal relationships judiciously and empathetically."Emotional intelligence is the key to both personal and professional success"Refer handwritten notesPUBLIC CIVIL SERVICE VALUES AND ETHICS IN PUBLIC ADMINISTRATIONMust refer notes on 2nd ARC Chapter 4: Ethics in GovernanceAlso read Public Service Values in last page of ‘Important Ethics Terms’Weber: “Don’t misuse public office for personal benefit”AccountabilityObligation of those exercising power to take responsibility for their actions. 3 elements:Answerability: Providing justification for one’s actionsEnforcement: Sanctions imposed if the justification is unsatisfactoryResponsiveness: Those held accountable to respond to the demands made on them. 6 types of accountability (can make circular diagram)Managerial: From the department or senior officers, ACR, Result Framework Document (RFD) prepared by each dept with a ummary of the most imp results that it intends to achieve each year. Political: Legislature/politiciansInstitutional: CAG, CVC, CBI, LokpalLegal: JudiciarySocial: Civil society, NGOs, media, citizen’s charterProfessional: Local bodies (73rd, 74th CA), RTI, CPGRAMS etcObstacles to ethical accountabilitySpecial expertise and info that administrators have which cannot be passed on to citizensFull-time status and security of tenure, eg: Art 311, Prior sanction in PCA 1988Expansion of bureaucracy in last 30 years making it difficult for effective surveillance of all personnelLack of coordination among state and central investigative bodies. Lokpal not yet setup. Slow judiciaryMisinterpretation of role and obligation: Excise dept may want more beer shops to get more revenue. Police personnel may respnd more to politicians’ demands than to properly investigate a case, to maximise promotion chancesLoyalty and unwillingness to question unethical actions of superiorsUse of cars, offices etc for personal benefitCorruption: Baksheesh system under Mughal systemSubversion : Selling govt. secrets to other countries, or revent efficient functioning of govt. schemes Absence of protection to whistleblowers, lack of code of ethics, absence of transparencyEthical Dilemmas Faced by Public ServantsSome of the most common ethical dilemmas with which public servants are confronted, revolve around aspects such as:? Administrative discretion? Corruption? Nepotism? Administrative secrecy? Information leaks. Eg: leaking of budget docs, or any policy that will adversely affect national security, or corruption taking place in defence deals? Public accountability? Policy dilemmasExamples:Favouring family, friends over others. Outside or future employment considerations that conflict with your public duty. Eg: Many officers from petroleum ministry join Reliance Pteroleum industry after retirement. So, policy decisions might be influenced by such considerationsWhistelblowing on corruption and nepotism when it can potentially damage your careerIs it ethical to delay a decision because of timining of election cycle?Speaking truth to powerIf family member offered a job by someone who has official business with you, do you let him accept it?Informing citizens about what is happening in dept. Some unethical acts in public administrationSuppressing factsProtecting criminalsPromising results that cannot be deliveredPostponing to serve vested interestsTaking bribes Pressurising editors to carry propaganda material/ paid newsNot addressing citizen grievancesDilemma of the public servantThe potential areas for conflict are not necessary ethical dilemmas in themselves. It is what the public servant does when he is confronted by activities pertaining to these phenomena that could prove to be the ethical dilemma:1. Would he keep silent when he finds that administrative discretion is abused, or that corruption or nepotism are practiced?2. Or should he blow the whistle?3. Should he actively engage in pressure group activities because he sympathizes with their views?4. Should he actively participate in party politics?5. Or should he endeavor only to promote the public good and uphold the high standards of public office?Possible conflictsinclude: (remember this for case studies)1. Obeying supervisors’ directives versus following his own personal values2. Choosing to serve the best interests of the community versus the need to be responsive to the government of the day; and3. Following his professional ethics versus his desire to maintain his career.Legal, institutional and organizational factors affecting public servant’s decisions:Legal: Whistleblower Protection Act, RTI Act, what is considered legal/illegal for govt servantsInstitutional: Codes of conduct that outline ethical behaviour and reward/punish ethical/unethical behaviourOrganizatonal: Whether there is a relationship of trust between employees and whether past behaviour has been condoned/punished by ministers or authorities. Significance of ethics in public administrationScriptures do not favour pursuit of wealth through foul means. Interestingly, Thiru Valluvar’s Kural, written two thousand years ago in Tamil Nadu, emphasises that earning wealth brings fame, respect and an opportunity to help and serve others, but it should be earned through right means only. Salient features of ethics in public administrationLegality and rationality: follows rule of law and not based on emotionsResponsibility and accountability of the administratorWork commitment and ExcellenceFusion of individual, organisational and national goalsResponsiveness and resilience to challenges and difficultiesUtilitarian: Greatest good for greatest numberCompassionNational interest/ patriotismJusticeTransparencyIntegritySource of ethical guidance (can also refer to points above under Ethics and Human Interface)Laws, rules, regulationsConscienceStrengthening ethical and moral values in governanceRefer 2nd ARC Report Chapter 4Political structure: bringing good people into politics, reduce money, muscle power in elections (2nd ARC recommendations see), declaration of assets etc . SC judegmentsStatutory: PCA, Black Money Act, Fugitive Economic Offenders Act, PMLA, SFIO, PCPNDT Act, RTI , False Claims ActInstitutional: CVC, CBI, Lokpal, ethical training of CS, Lateral entry, Parliamentary committees, Code of ethics for CS, e-governance Social structure:Ethics in educationAwareness among citizensRole of NGOs, Civil SocietyRole of mediaCitizens charter and grievance redressal. Eg CPGRAMSIntegrity pacts and social auditsEthics in international relations: Some issuesManagement of commons: High Seas (SCS dispute, EEZ, piracy, dumping of plastics), Antarctica (peaceful uses, Antarctic treaty, melting of ice, conservation of marine living resources)Climate change: Issue of common but differentiated responsibility, funding for adaptationOuter Space: satellites by many countries creating space debris, who cleans that up, China launched Anti-Satellite system (can open space warfare), Outer Space TreatyHumanitarian interventions: NATO and West justify interventions in Middle east etc on HR violations etc, but it is only to have access to oil. Saudi Arabia is a violator of HR, but US ally. So, no sanctionsDisarmament: Advocated by US which first used nuclear bomb. Case of Iran, NK, Libya etc. NPT treaty recognises only P5 as nuclear states. New START treaty between US-Russia leading to reduction in N weapons stockpiling in the two nationsIPR: especially wrt medicines and life-saving drugs, plant varieties for farmersTrade negotiationsMany countries exploring Arctic sea routes and minerals as ice melts. Is it ethical? Should not they instead focus resources on preventing global warming?Dumping hazardous wastes in poor countries. This benefits them in terms of jobs etc. But hurts environemtn and future generation. Basel, Rotterdam Conventions etcForeign Aid and Grant: Source of corruption and influencing poor country. Immigration and refugee protection: Conflict between the vulnerable migrnts and economic security of the citizensEthical issues in Funding Development Aid/grants: Source of corruption and ensures that only those in power get access to fundsOpens up the domestic market to the donor countries’ companies, they may end up selling things that can be harmful to the population. Eg: fast food and soft drinksCountries forced to buy overpriced goods from donorsLarge projects undertaken which do not help the vulnerable, as these are not spent in the social sector. Poor countries continue to remain dependent as their industries do not developAll of this due to conditionality in foreign funding- can affect the country’s democracy and sovereignty as policies indirectly controlled by donorsFunding of clinical trialsPotential risk of harm to participantsWhether participants are fully informed of the implications and potential harmUsually, poor people take up trials for extra moneyFunding for Human RightsNGOs accept grants from developed countriesBut some of them accused of subversive activities in the name of defending HR. Recently, govt cancelled licenses of many such NGOsJohn Rawls List of IR EthicsRespect for each others’ sovereigntyObserve treaties and agreements. All states equal in these agreementsNon-intervention in each others affairsRight of self defence but no right to instigate warHonour HRObserve certain specfified codes of conduct in warDuty to assist people under unfavourable conditionsCan talk about Panchsheel, NAM, UN charter, SDGs, UNFCCC , Pacifism (total opposition to war. Japan has pacifist constitution) etcCorporate GovernanceRead handwritten notesUday Kotak Committee Recommendations: a) Panel proposed more powers for independent directors, limiting chairmanship to non-executive directors, and called for a greater focus on transparency and disclosures to improve corporate governance.b) The panel recommended that a listed company should have at least six directors on its board. Current Sebi regulations do not mandate a minimum number. The panel has suggested at least one independent director be a woman.c) It also proposed that directors attend at least half the total board meetings held in a financial year. If they fail to do so, they would require shareholders’ nod for continuing.d) Companies have asked to make public the relevant skills of directors, and the age of non-executive directors has been capped at 75 years.e) In addition, the chairperson of a listed company will be a non-executive director to ensure that s/he is independent of the management.f) An independent director cannot be in more than eight listed companies and a managing director can hold the post of an independent director in only three listed companies.g) The committee has recommended that the number of independent directors on a company board be increased from 33% to 50%.h) The minimum sitting fees of independent directors has been halved from the current Rs1 lakh per meeting as stipulated by the Companies Act 2013 to Rs50,000 for the top 100 companies by market capitalization.i) Detailed reasons would need to be furnished when an independent director resigns. This is to ensure that they remain independent of the company management.j) An audit committee is being proposed with the mandate to look into utilization of funds infused by a listed entity into unlisted subsidiaries, including foreign subsidiaries in cases where the total investment is at least Rs100 crore or 10% of the asset size of the subsidiary.k) The committee has also recommended that Sebi should have clear powers to act against auditors under the securities law.l) For government companies, the committee has recommended that the board have final say on the appointment of independent directors and not the nodal ministry.m) The panel has also proposed to tweak the definition of a “material” subsidiary to one whose net worth or income exceeds 10% (currently 20%) of the consolidated income, or net worth of the listed entity. This has been done to improve disclosure, since only the activities of material subsidiaries are disclosed to shareholders.Corporate Governance Challenges in PSUsUnclear and sometimes conflicting ownership objectives: price controls, output targets, social welfare, employment goals etcWeak ownership: Owner is the govt., which is financed by taxpayer. So, owners (citizens) do not have direct control over the PSULow transparency and disclosureUnprofessional Board of Directors as appointments made based on political considreationsEg: NPAs in PSBs including PNB. BBB trying to make appointments but final decision with cabinetCorporate scandals2GSatyamSahara: Money laundering and duping investorsSaradha Ponzi SchemePNBICICIBhopal Gas Tragedy, Union CarbideFalse advertising or make dubious claimsFood adulteration or not divulging details of harmful ingredientsWhy we should care about Corporate FraudIn many cases, taxpayer money involved. Eg: PNB Sometimes these large frauds disrupt the whole value chain, destroying businesses and leading to unemploymentBlack money can be laundered away or NPAs can ariseInvestors can lose their hard-earned money in an instant. In some cases, these are very poor people such as SaradhaPoor CG standards can dissuade foreign investors from investing in our countryHow CG and CSR can help companies?If a business is caught doing illegal acts, or ignoring workers’ safety, cheats consumers, or destroys environment, then expenses incurred in litigation, fines and compensation will outweigh the short-term gain.Reputation gained through product quality and consumer care can help in brand loyaltyConcern for workers’ safety: workers feel better, reduce strikes and improves productivityPrompt payment to suppliers and creditors inspire confidence in the two. They are willing to provide inputs or loans at better rates Concern for environment adds to brand valueCan raise stock value in share markets as wellReputation also helps in tiding over difficulties as state more willing to help PROBITY IN GOVERNANCERefer to summary and notes of ARC ReportsGovernance: it describes the structures and decision-making processes that allow a state, organization or group of people to conduct ernance refers to the exercise of political, economic and administrative authority in the management of a country’s affairs, including citizens’ articulation of their interests and exercise of their legal rights and obligations. (UNESCO)Probity = Integrity + honesty + uprightnessMore than honesty, involves public service values to administration and governance, like impartiality, transparency, accountability etcPhilosophical basis of governance and probityFound in texts like Arthashastra, Hitopedesha Manusmriti, Panchatanra, Mahabharata, Confuscius, AristotleAdministratos are guardians of state. So, expected to honour pubic trust and not violate it. Can refer other ethical dilemmas, foundational values, ethical guidance and significance of ethics in public administration to explain this point. NPM: 3E- efficiency, economy and effectivenessObjectives of probityEnsure accountabilityMaintain integrity (mention other foundational values)Compliance with processesPreserve public confidence in govtAvoid potential for misconduct, corruption and fraudExamples of conflict of interestDM decides on circle rates which affect property prices. If he owns property in the district, he can change circle ratesOwn family member is applicant in an interview in which I am the judgeOwn shares in a company that is bidding for a govt. tender in my dept. Judge dealing with a case in which he is himself involvedTransparencyOpenness of decision making + freedom of info to citizens and mediaMeasures for transparency2nd ARC ReportParliamentary oversight and control through committees, question hour, debates etcLegislative : RTI, whistleblower protection act, reduction in number of procedures, liberalizationSingle window processes, e-governance TORAIndependent judiciary, quasi judicial bodies like SEBI, RBI, NGT, CAT etcOmbudsman: Lokpal and LokayuktaFree press, social audit and role of NGOsRTIRefer ARC reportAlso refer written handwritten noteTwo issues: Threat to RTI activists, inclusion of political parties under RTI (even NGO substantially financed by govt. declared public authority under RTI)Codes of ethics and conductRefer handwritten notesRefer 2nd ARC for code of ethics for CS, ministers and legislatorsAlso see Public Service Bill 2006 pg 408 LexiconCitizens’ CharterRefer handwritten notesRefer 2nd ARC report Work cultureRefer handwritten notesSet of attitudes+ values + behaviours towards performance of duty, providing service delivery and concerns for economy and effectiveness Characteristics of healthy work cultureRespect fellow employeesMinimum conflicts and reolution through mutual discussionEmployee satisfaction importantPerformers rewarded and encouraged. The ones who cannot are asked to pull up their socksEmployee feedback taken into consideration. Workshops, etc held to upgrade skillsImportance of positive work cultureCitizen centric admin with grievance redressal and transparencyOrganizational and professional integrityEfficiency in service delivery and compassion to the weakEnsures integrity, non-partisanship and impartialityWork ethicsCommitment to fulfilment of official responsibilities with dedication, impartiality, integrity, objectivity and compassion. Benefits as written above in positive work culture.Lack of work ethics in Indian public administrationHow to inculcate positive work ethics/cultureThere should be prescribed specific norms of productivity and work performance for organisational units and even individuals. A comprehensive and inclusive performance appraisal system should be adopted. This would be feasible only if job is descriptive and role and responsibilities of each position are specified. There should be maximum delegation of powers at every level with a concurrent system of effective monitoring and work audit.Punctuality and promptness in administrative affairs must be valued and along with the quality of work performedThe seniors should lead by setting an ethical example. They should motivate their juniors to take initiative, and responsibility, and also be enterprising and efficient.While bureaucracies are expected to be guided by laws and rules, it is not necessary to make them mechanistically rule-centric. Public administrative organisations are human organisations and they ought to be humane in their policies, decisions, orientation and behaviour. Courtesy and politeness in administrative behaviour, a desire to help resolve their problems, and satisfy them even when, extra help cannot be rendered and matters have to be disposed off in accordance with the legal and formal requirements of the system. Two areas where administrators ought to show an attentive and caring attitude is to provide correct and useful information to clients when they need it and to redress satisfactorily the citizens’ grievances.Quality of service deliveryRefer handwritten notesReasons for poor quality of service deliveryLack of transparency and accountabilityPolitical interferenceCitizen far away from decision making and stock-takingAbsence of a positive work cultureAbsence of verification mechanismsUtilization of public fundsRefer handwritten notesCan also refer ARC Report on Financial ManagementCorruptionRefer handwritten notes on 2nd ARC Report Chapter 4Read last page of Important Ethics Terms on Types of corruptionChallenges and costs of corruptionResource diversion: Resources diverted from social sector spending like health and education. This leads to inferior human capital investment and underemployment. Also, low tax collection if collusion between tax inspector and firmEnvironmental degradation: Eg: Forest lands cleared for industries after giving bribe to forest officials, industries pollute water bodies after colluding with inspectorsPoverty and inequality: Perpetuation as low human capital. Only those who can pay the govt. official gets access to schemes like PDS Ration CardsMoral fiber of the society: People accept it as a way of life in public administration. So, people stop raising their voice. Quality of policy making is affectedEconomic growth and Flight of capital: License raj, pay bribes to get permits etc. Raises costs of doing business. Institutional capacity falls as elections decided by money power, judges take bribes in deciding cases, cops do not investigate cases, teachers do not teach, scientists use funds to buy homes than to do research. Alienation of people from government Ways to reduce corruption (same as ways to increase accountability)Refer 2nd ARC Report Chapter 4Political structure: bringing good people into politics, reduce money, muscle power in elections (2nd ARC recommendations see), declaration of assets etc . SC judegmentsStatutory: PCA, Black Money Act, Benami Transactions Prohibition Act, Fugitive Economic Offenders Act, PMLA, SFIO, PCPNDT Act, RTI , False Claims Act, IPC 169, 409Institutional: CVC, CBI, CAG, Lokpal, ethical training of CS, Lateral entry, Parliamentary committees, Code of ethics for CS, e-governance Social structure:Ethics in educationAwareness among citizensRole of NGOs, Civil SocietyRole of mediaCitizens charter and grievance redressal. Eg CPGRAMSIntegrity pacts and social audits (Meghalaya) The 4 Cs in Culture Building? Commitment by senior management? Clear set of values and standards of behaviour? Communication of the values and standards to staff? Continuous and consistent actions in promoting integrity ................
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