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 (B) ETHICS BY BRIJENDRA SIR  BALANCED STATEMENTS

 Doctor has 2 equally critical patients. One is 6
 Syllabus Coverage years old, other is 60 years old. Whom should he
1. Public service values & Ethics in Pub save?
Administration  Answer:-
2. Probity in Governance  6 year old
3. Foundational values for a Civil Service  Younger, longer life expectancy
 BUT: is not productive, is a dependent
 PECULIARITIES OF PAPER IV  60 year old
 Likely to have a family that depends upon
FEATURE WHAT IS NEEDED him.
Inter-disciplinary paper Inter-linkages  BUT has lived a long enough life; shorter life
Philosophy, Psychology, expectancy
Sociology in the working  Answer will vary from person to person as its is
of Public Administration. highly a subjective matter
 Important is to provide a balanced answer
Abstract in nature Balanced Statements
 BALANCED INTROSPECTION
making definite
1. Photographer sees a distressed farmer trying to
statements is difficult
commit suicide. He clicks photos of the act,
Use of Case Studies - Good observation &
which appear in newspapers across the world
50% weigtage. good expression
next day. Was it ethical to not prevent the
Balanced statements (command over
suicide?
English language)
 NO
 Human life is sacrosanct.
 LEARNING DOMAIN  Humanitarian duty comes first.
DOMAIN FOCUS SOURCE  YES
THEORETICAL Key terms Classes+  He was doing his professional duty.
Concepts Notes  Because of his photos, govt. intervention can
Salient features Yellow books be fast-tracked and many more suicides can
(2) be prevented.
Reading  THE BASIC BENCHMARK
material  ETHICAL V/S PRACTICAL, WHAT TO CHOOSE
OBSERVATION Balanced Newspapers  Ethics deals with what "ought to be".
Introspection events  Always choose the ethical/ideal option.
 INTER-LINKAGES SOURCES
 A person going for the CSE interview sees an accident 1) 2nd Administrative Reforms Commission
victim lying on the roadside. Should he help the  Report IV- "Ethics in Governance"
victim or proceed for the interview?  Report 10- "Personnel Admn."- Ch 13 & 15
 Answer:- Must save the person and add these points 2) Ethics in Pub. Admn.-A Philosophical Approach
and interlink them  Patrick Sheeran
1. Philosophy: Kant's categorical imperative, do what  (Ch. 1, 6 & 10)
you would expect others to do if the situation 3) Yellow books
was reversed: 4) Class notes and handouts
2. Public admn. the fundamental objective of every
5) Examples from newspaper
public servant is the service/welfare of the
6) Gandhi, Martin luther king quotes make 30
people.
3. Psychology: Emotional Intelligence, realize that of them list
interview will come again but loss of life is
irreversible.

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
ETHICS CLASS:- 01 sense of legitimacy while power can also
come from persuasion or coercion.
1. ETHICAL GOVERNANCE
2. PROBITY IN GOVERNANCE EXAMPLE AUTHORITY POWER
 CLASS 1 COVERAGE Govt & Officers ✓ ✓
1. Concept of Governance. Citizens × ✓
2. Attributes of Governance. Cricketers/Actors × ✓
3. Good Governance- concept + features. Media × ✓
4. Promoting Good Governance. Corporate houses × ✓
5. What makes Governance Ethical?
Civil Services × ✓
6. Answerability V/s Responsibility

1. GOVERNANCE 2. ATTRIBUTES OF GOVERNANCE

 World bank says Governance is defined as “the 1) Governance involves 3 participants-
manner in which power is exercised in the a) the State,
management of a country’s social and b) the Private sector and
economic resources for development”. c) Society.
 Traditionally it was equated with only the role of 2) The predominant role is assigned to the State
the state. However, governance is now and if either of the other participants is unable
understood more comprehensively as the or unwilling to provide a service, the
network of relationships b/w the state , private responsibility for it shall lie with the State.
sector and the society 3) The focus of the State should be to ensure
 Focus of governance is to develop and improve Maximum Governance with Minimum Govt.
the processes that help in achieving the  This means that the dependence of the people
objective of development on the formal institutions of the State should be
 Manner:- (Process):- governance is the manner minimised and the opportunities for
in which you promote the development of development should be maximised.
country FORM PURPOSE EXAMPLE
 Development (Objective):- welfare of people E- Reduce red-tape, E-taxation
 Traditionally, it was equated with the role of the Governance delays,inconveniences E-ticketing
through tech. CPGRAMS
State alone.
interventions.
 Means:-ends
Corp- Standardize CSR-
 Maintain a balance b/w process and governance procedures = regulate Surrogate advtg
development and means and ends corporate structures. Surge pricing
 However, it is now understood more
comprehensively as the network of relationships Self- Promote constructive Balbir Seechewal
between the State and other participants. governance public c participation Piplantri village
 The focus of governance is to develop and (Need:Right in decision making. Armstrong Pame
improve the processes that help in achieving the intention
objective of development. 4) Governance is a continuous and never-ending
 The use of the word “power” emphasizes the process.
fact that the responsibility of participating in  Its objectives are determined in accordance with
governance is not confined only to those who the aspirations of society. Therefore, as society
occupy a formal position of authority. evolves and its aspirations change, it becomes
 Each and every individual, depending upon their vital to continuously improve the mechanisms of
position and capability, can and must contribute governance to appropriately identify and
to a better quality of governance. address these changing needs.
1) Authority can be understood as the right to 5) Governance is demand-driven.
give orders, take decisions and enforce  This means that citizens will get the quality of
compliance. It is a logical corollary of the governance that they demand. If citizen
duties assigned to an individual in a formal demands are meaningful, it will have a positive
structure. impact on the quality of governance.
2) Power can be understood as the capacity to  However, since citizen demands may also be
influence the behaviour of others or even unrealistic or unreasonable, it becomes
the course of events. Authority conveys a important to appropriately educate and
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
facilitate them to meaningfully contribute to
better governance.
 Example :- Name of some cities were changes as
the people demanded , Govt changed it.
6) Governance is as much about the process as it
is about the outcome.
 The better the process, the better will be the
outcome. Ideally, we seek to maintain a balance
between the two.
 But even if the objectives or ends are noble, the
processes or means through which they are to
be achieved should not be compromised.
 CASE-01
 NHAI-constructing a national highway.
Proposed highway will pass through the site
of a temple in a small village (population of
500). Villagers worship at the temple
regularly.
 Option 1: Re-route the highway, at an
additional cost to exchequer.
 Option 2: Demolish the temple.
 What should the DC do?
 ANSWER MUST INCLUDE:-
 Process & Outcome
 Intended Outcome:
a) Better connectivity.
 Facts:-
a) Affected population is small (500).
b) Additional cost, if re-routed.
 Brainstorm:-
a) Nation v/s village?
b) Finances v/s sentiments?
c) Significance of temple?
 Add examples like :-
a) In Jaipur more than 540+ temples were
either relocated or demolished with
consent of People for metro
construction (Genuine examples pick
from newspapers)
 Poor Decision-focuses only on Outcome
 DECISION 1: Demolish.
a) Justification: Saves money, sets strong
precedent
b) Overlooks:-possibility of
agitation/delays/unrest. -archeological
value of temple.
 DECISION 2: Re-route
a) Justification: Respect sentiments of
people.
b) Overlooks: -financial burden. - 
age/condition of temple.
 Good Decision balances Process /
Outcome
 CONSIDERS:
1. Age/ condition/ significance of temple.
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2. Possibility of agitations.
3. Financial viability of re-routing..
4. Consultation with public.
 The better the process, the better will be
the outcome.
 If the people even after many consultations
, then ask the local change agents to make
social influence
 Last resort must be the use of power for a
collective welfare
3. GOOD GOVERNANCE
 Good Governance is defined as the existence of
effective mechanisms, processes and institutions
through which citizens and groups
a) Articulate /voice their interests,
b) Exercise their legal rights,
c) fulfil their obligations and
d) Mediate their differences.
 GOOD GOVERNANCE HAS 8 CHARACTERISTICS:
1. PARTICIPATION:
 Citizens must have a voice in decision making, either
directly or through legitimate intermediate
institutions. Such participation needs to be informed
and organized.
 This requires freedom of association and expression
on the one hand and an organized civil society on the
other.
 Problem in India:-
a) Lack of awareness :- most of people , for
example, do not know how to use right to
information
b) Capacities:- no access to internet either
having digital India vision
2. RULE OF LAW:
 Legal frameworks should be fair and enforced
impartially.
 Equal protection of law, equality before law
 Human rights must be protected, particularly those of
minorities.
 This requires an independent judiciary and an
incorruptible police force.
 Problem in India:-
 Widespread corruption
3. TRANSPARENCY:
 This means that information should be freely
available and directly accessible to those who will be
affected by any public decisions. This requires that
adequate information be provided in a manner that is
easy to understand and monitor.
Problem in India:-
 Manipulation/ withholding of information
4. RESPONSIVENESS:
 The institutions and processes involved in governance
should serve all stakeholders within a reasonable
timeframe.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 Problem in India:-
 inordinate delays
5. CONSENSUS ORIENTATION:
 This means that there must be mechanisms that
enable the mediation of the different interests in
society to reach a broad consensus on what is in
the best interest of the whole community and
how this can be achieved.
 It also requires a broad and long-term
perspective on what is needed for sustainable
human development and how to achieve the
goals of such development.
 Problem in India:-
 Divisive social norms
6. EQUITY AND INCLUSIVENESS:
 This means that all groups, but particularly the
most vulnerable, should have opportunities to
improve and maintain their well being.
 Problem in India:-
 Concentration of wealth/ opportunities
7. EFFECTIVENESS AND EFFICIENCY:
 This means that processes and institutions
produce results that meet the needs of society
while making the best use of resources at their
disposal. This includes the sustainable use of
natural resources and the protection of the
environment.
 Problem in India:-
 Poor utilization of resources
8. ACCOUNTABILITY:
 This means that governmental institutions, the
private sector and civil society organizations
must be accountable to the public and to their
institutional stakeholders.
 Most importantly, an institution must maintain
accountability towards those who will be
affected by its decisions or actions.
 Problem in India:-
 Nexus among authorities
4. PROMOTING GOOD GOVERNANCE
 Good governance can be promoted by adopting
a) Regulation or
b) inculcating self-regulation.
a) REGULATION
 It can promote good governance and is relatively
easier but is effective only till supervision is
maintained. (instant in nature)
 If supervision is withdrawn, people often revert
to their old, poor behaviours.
 This makes it vital to inculcate willingness within
each participant to introspect upon their own
Secularism Freedom of Human
actions and self-regulate themselves.
 It represents answerability
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 Example:-
 in a class a teacher can regulate and can
ensure the discipline of the class (but for
some time not lasting)
 In
b) SELF REGULATION (LONG LASTING)
 This can happen when people act out of a sense
of responsibility, rather than only when they are
answerable to others.
 Therefore, it becomes important to promote an
ethical quality of governance, based on a strong
value system.
 It depends upon ethical governance
 It represents sense of responsibility
 Example:- in the same class the students can
self-regulate themselves and can ensure the
discipline of the class (lasting)
5. ETHICAL GOVERNANCE
 It is Based on values
 Ethical governance refers to a system where the
conduct and the objectives of each of the
participants are closely aligned with the
collectively determined values, ideals and
aspirations of the nation.
 In the Indian context, such values are most
significantly expressed in the Preamble, the
Fundamental Rights, the Directive Principles of
State Policy and the Fundamental Duties
enshrined in the Constitution.
 Since ethical governance is value-based, it faces
two crucial problems:
1) Adopting and inculcating values is not easy.
 Consistent adherence to a value will
require discipline, hardships and even
sacrifice.
2) Values can be subjective in interpretation.
 This means that even if we agree upon the
same value, the manner in which we
interpret it may differ.
 Each such difference has the potential of
causing friction and conflict.
 Like Freedom of speech and expression is
subject to interpretation and Art 14 and sec
144 implementation depend upon the
interpretation
PREAMBLE FUN.RIGHTS
DPSP FU.DUTIES
Socialism Prohibition of
Equal Respect
discriminatio
justice & flag,
n free legal anthem,
aid
Strive for
speech work excellence
conditions
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Democracy Prohibit Uniform Promote lab
trafficking & civil code harmony PDS shop Supply is Lack of
child labor Over-charges limited knowledge
Justice Freedom of Prohibit Develop  Therefore, if governance is limited only to
conscience slaughter of Scientific answerability, some individuals may escape
cattle Temper the consequences of their actions.
Liberty Freedom of Protect Safeguard  Everyone is answerable to everyone with
religion Environm.t Public whom you Share Social and professional
And Property contract, difference is in quality of
monuments answerability
Individual Protect Promote Promote  Thus, an indispensable component of ethical
Dignity interests of intl. peace Dignity governance is a sense of responsibility.
minorities Of women 2. RESPONSIBILITY
 Responsibility also involves
 READING a) Based on value system of individuals
 2nd Administrative Reforms Commission b) an obligation to justify ones actions but such
Report IV- "Ethics in Governance" an obligation is now self-imposed.
 LEARNING OUTCOMES c) This makes it more dynamic and wider in
1. Governance does not mean only Govt. scope than answerability, since the
Everyone has a crucial role to play. individual can assess changing situations and
2. Good Governance requires regulation. select the most suitable course of action.
Ethical Governance requires self-regulation.  Limitations
3. 3. Probity in governance increases when we a) The problem with responsibility is that it is
act with a sense of responsibility, not merely self-determined and hence subjective.
because we are answerable. b) This makes it difficult to arrive at a
standardized evaluation of what would
6. ANSWERABILITY & RESPONSIBILITY constitute responsible conduct.
 To overcome these problems, it becomes c) This also makes it difficult to impose
important to promote probity in governance. penalties that would affect an individual’s
The foundation of probity is based on material position.
understanding and upholding the distinction d) The only penalties that can be imposed are
between answerability and responsibility and feelings of shame, guilt or regret. Even these
relying upon the latter rather than the former. penalties cannot be imposed without self-
1. ANSWERABILITY REFERS TO THE realisation.
a) Obligation created upon an individual or e) Thus, enforcing responsibility becomes
institution to provide justification for its extremely difficult and necessitates the
actions or decisions. establishment of accountability
b) Such an obligation is based upon external …………………… ANSWERABILITY RESPONSIBILITY
criteria, such as laws, rules, orders etc. This BASIS External criteria Internal obligation
makes it easy to identify deviations and, if QUALITY Objective Subjective
required, impose material or professional SCOPE Limited Wide, dynamic
PENALTY Easy to identify Depends upon
penalties. Violations & Punish Self-realization
c) As such, answerability is capable of being
PENALTY FORM Professional Shame, regret
highly objective and easy to enforce Material Guilt
(penalty). ENFORCEABILITY easy difficult
d) Limitations:- However, answerability is of
limited value without the presence of CASE-02 (2012 IRELAND CASE OF SAVITA)
adequate authority, knowledge or time. In a country where the law prohibits abortion, a
SCENARIO JUSTIFICATION LIMITTATION woman develops complications in her pregnancy. The
Policeman It is frivolous Lack of doctor knows that an abortion will save her life. But,
Refuses to Complaint Authority since the law prohibits it, he does not perform the
File FIR procedure. As a result, the lives of both the mother
Govt Dr Too many Lack of and child are lost.
Prescribes Patients Time a) Can the doctor be punished?
diagnostic b) If laws exist to safeguard rather than to disregard
Test at Prvt human rights, why did he not disobey the law?
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 ANSWER:-
 Dr doesn’t disobey the law because of
a) Easy to identify Violations & Punish
b) Professional Material like cancelling license, or
even jailed
 NOTE ANSWER ALWAYS LIKE THIS
1. Should you help?
 Yes
2. Will You help?
 Subjective , depends upon person to person
 CLASS -02 ETHICS
 Linkages
1. What is Public Service?
2. What is Administration?
3. What makes administration "Public"?
4. Features of Pub. Administration.
5. Concept of a Public Service
6. Public Service Values
7. Dedication to Public Service
 CASE-01
a) Covid lockdown enforced; many CSE aspirants
stranded in Delhi; limited finances; lack access to
basic essentials.
b) Odd-even scheme strongly opposed by citizens;
rush in public transport during office hours is
unbearable.
c) 20 girls (13-23 yrs) in train; go silent when the
man accompanying them is around, suspicion of
human trafficking.
 What can you do to help?
 ANSWER MUST BE
a)Technology use :- social media to get collective
efforts
 When you take a decision promoting welfare of
others without necessarily expecting anything in
return is public service
b) Stagger timings of work of offices , suggestion
must be given
1. CONCEPT OF PUBLIC SERVICE
 Public service can be understood as any action
or decision that is taken with the intention of
promoting the welfare of the public.
 Such an action does not necessarily seek any
personal benefit in return and is not restricted to
only those with authority.
 Means, Public service can be undertaken by any
public-spirited individual or institution in the
form of volunteers, donations, constructive
suggestions etc.
 Although well-intentioned, such actions may be
occasional in nature or limited in scope.
 This creates the need to designate a specific
agency that is capable of providing such welfare
on a permanent and consistent basis. Therefore,
this responsibility is assigned to public
administration.
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2. PUBLIC ADMINISTRATION
 Administration= “Serve” = Providing…
 Administration can understand as “the direction,
coordination and control of many persons to
achieve an objective”.
 As such, administration involves:
1) A group effort:- which means that the
resources and experience of the entire
organisation are available to each member.
2) A pre-defined set of relationships :- like
duties must be distributed individually etc
3) A common, pre-determined objective:-like a
common aim must be there like helping to
poor etc
 Administration can be provided by public or
private institutions. In both cases, it is governed
by some common factors such as pre-
established procedures, the principle of
hierarchy, planning, budgeting etc.
3. WHAT MAKES ADMN. PUBLIC?
 The word “public” implies three critical
dimensions:-
1. THE RESOURCES:- human, natural and financial,
belong collectively to the public.
2. THE OBJECTIVES:- are determined in accordance
with the needs of the public, rather than the
basis of available resources alone. The motive is
service rather than profit.
3. THE LEGITIMACY:- to administer is based on the
mandate of the public, expressed through their
political representatives (what their needs are
they convey by political representatives.
Example:- a rule was passed by PMO that all
officers at secretary level have to resolve any
matter within 30 days and if it is not done they
have to submit report to PMO).
 PILLARS OF THE STATE
1.Legislature
2.Judiciary
3.Executive:- political and permanent (bureaucrats
 Value of neutrality for a public civil servant
must be there as he/she must obey the
running govt as it is the mandate of the
people.
 Civil servants are always subordinate to
Political executive.
4. FEATURES PUBLIC ADMINISTRATION
1. SUBORDINATE TO POLITICAL EXECUTIVE:
 To faithfully promote public welfare, public
administration must be responsive to the
existing (current) public aspirations, reflected
by the ruling political class.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 Therefore, it is the duty of civil servants to use
their expertise to aid and advice the political
leadership, thus maintaining efficiency and
continuity in the functioning of the govt.
2. ADMINISTRATION IS EXPECTED TO BE
VALUE-NEUTRAL:
 This means that administration will faithfully
serve the political party in power & not show
any resistance towards its directives.
 However, the fundamental objectives of the
polity & administration must remain aligned and
should uphold public welfare and Constitutional
values
3. PRINCIPLE OF BUREAUCRATIC ANONYMITY:
 Bureaucratic anonymity means that a
bureaucrat shall receive neither praise nor
criticism for any action taken by the govt.
 He can be held accountable but not responsible
for his actions.(for an act of omission or
commission)
 The responsibility for administrative (govt)
actions shall lie with the elected minister, as for 5. NATURE OF SERVICES/FUNCTIONS:
instance in the Principle of Collective Ministerial  Public administration provides a comprehensive
Responsibility under Article 75(3).
 CASE-02 A
 Newly elected C.M., asks Chief Secretary to
prepare draft for ban on beef.
 CS says this may cause communal tension.
 CM overrules CS, ban is imposed.
 Then there were Violence, lynching; loss of
lives/property.
a) Who is responsible?
b) How will he assume responsibility?
c) If he refuses to accept responsibility,
who can hold him responsible?
 Answer
a) CM is morally responsible and
b) He can assume responsibility publically
 Publically apologize,
 Gives Compensation ,
 Can Withdraw policy,
 At last can Offer resign
c) If he refuses to accept responsibility, who
can hold him responsible:- Bureaucrats can
be held accountable as by knowing doing
wrong for omission or commission
 The Code provided three basic tenets of a
 CASE-02 B
1. One district is prone to communal tension.
DC and SP do not undertake any preventive
measures; tremendous is loss of lives. What
are they accountable for?
 Answer:- Bureaucrats can be held
accountable as by knowing doing wrong for
omission
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2. SP releases a group of men who were
arrested for arson because they are
affiliated to the ruling party. What is he
accountable for?
 Answer:- Bureaucrats can be held
accountable as by knowing doing wrong for
commission
4. IMPERSONAL BUREAUCRACY :
 This implies a distinction between the person
and the position that he holds.
 In other words, an individual’s preferences or
ideologies should not hamper the performance
of his official duties and responsibilities.
 For the bureaucrat, it ensures impartiality and
detachment in dealing with his superiors,
subordinates, colleagues and citizens.
 For the system, it ensures a lack of bias since
decisions are taken on the basis of rationality
and established rules rather than personal
sentiments.
range of services. While the private sector
provides services only where adequate returns
are assured, public administration provides any
service which is considered vital for society.
 However, some of the services provided by
public administration may be monopolistic in
nature, making it difficult to ensure good quality.
6. CONSISTENCY OF TREATMENT:
 Since every citizen is treated as equal in a
democratic welfare state, public administration
has to ensure that it is uniform and consistent in
the execution of its function
5. CONCEPT OF PUBLIC SERVICE BY UN
 In 1996, the UN adopted an ‘International Code
of Conduct for Public Officials’ which refers to a
Public Service as the class and the tasks of
officials who act as the delegates of the elected
officials.
 Theelected representatives embody the
legitimacy to define public interest while the
public service provides the expertise to ensure
that public welfare is maximised.
public service:
1. OFFICE OF TRUST:- A public office is an
office of trust, implying a duty to act in
public interest. The ultimate loyalty of public
officials shall be to the public interests of
their country, as expressed through the
democratic institutions of government.
2. FAIR AND IMPARTIALITY:- Public officials
shall be fair and impartial in the
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
performance of their functions. They shall
not give any undue preferential treatment to
anyone, improperly discriminate against
anyone or otherwise abuse the authority
vested in them.
3. EFFICIENT, EFFECTIVE, ECONOMICAL:-
Public officials shall strive to perform their 2. DIFFICULT TO ADOPT CONSISTENTLY
duties effectively and in accordance with the  Prioritizing one value over another is facilitated
law. They shall ensure that public resources
are administered in the most efficient and
economical manner
6. PUBLIC SERVICE VALUES
 The roles and expectations from a public servant
keep evolving with time. This can make it
difficult to determine what would constitute
public welfare in changing situations.
 Thus, public servants employ a wide range of
values to (Need For Values In Pubic Services):
a) To define and prioritize public welfare goals.
b) To maintain consistency in service
standards.
c) To act as a mechanism for resolving
dilemmas.
 At global level:- The foundational values for a
public service are best exemplified by the Seven
Principles of Public Life given by the Nolan
Committee (Standards in Public Life-1994).
1. Selflessness: act only in public interest,
without seeking gain for oneself.
2. Integrity: resist outside influence in the
performance of duties.
3. Objectivity: make choices on the basis of
merit.
4. Accountability: must submit to whatever
scrutiny is appropriate.
5. Openness: restrict information only when
wider public interest demands so.
6. Honesty: declare any private interest related
to public duties and resolve any conflicts
that arise.
7. Leadership: lead by example.
 PROBLEMS WITH VALUES
1. SUBJECT TO INTERPRETATION (OPENNESS):
 However, there can always be differing
interpretations regarding which values are most
important in a given situation.
 CASE STUDY
a) A Muslim C.M. has assassinated by a Hindu
fundamentalist. You are the Public Relations
Officer, preparing a draft to be announced
by AIR and DD. Will you disclose the
assassin's religion?
Answer:- subjective
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b) A Muslim C.M. has assassinated by Muslim
fundamentalist. You are the Public Relations
Officer, preparing a draft to be announced
by AIR and DD. Will you disclose the
assassin's religion?
Answer:- subjective
by recognizing that the ultimate value of a public
servant is Dedication to Public Service
 Thus, identifying the appropriate values and
knowing when to prioritise one over another
becomes critical. This is facilitated by
understanding that the foremost task of a public
servant is dedication to public service.
 CASE-03
 In a small town, the SDM has initiated strict
action against illegal encroachments. As part of
the drive the boundary wall of religious
structure, which was encroaching upon public
land, was also demolished. Several influential
people affiliated to that religion have
approached the CM to "discipline" the SDM.
With elections just around the corner, the CM is
pressurizing the SDM's superior to suspend her.
 Should the SDM be suspended?
 ANSWER:-
 Absolutely not
7. DEDICATION TO PUBLIC SERVICE
 In a general sense, dedication is the quality of
being able to give or apply one’s time, resources,
attention or self entirely to a particular activity,
cause or objective. It reflects a sense of deep-
rooted commitment to devote oneself towards
such a cause.
 But while commitment suggests that one is
bound or obligated through a formal agreement
(rules, orders, procedures etc.), dedication is
inspired by a sense of duty and responsibility.
This implies that even if there is no formal
agreement, the individual will remain devoted
towards the task. This produces significant
motivation within an individual towards
achieving his goals and magnifies the extent of
measures he would take to achieve them.
 Dedication to public service reflects a similar
sense of devotion by internalizing within oneself
the ideals of public welfare. This ensures that
the public servant remains motivated even if the
task assigned to him is tedious, difficult or
hostile. It keeps the officer immune to hardships
and temptations, deriving satisfaction from
effective fulfilment of the task itself.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 An officer who is genuinely dedicated to public
service:
a) Is willing to go beyond the call of duty.
b) Places public welfare above his own interest
or even safety.
c) Seeks neither rewards nor recognition for his
efforts.
 LEARNING OUTCOMES
1. Spirit of Service: serve others without self
motive.
2. Public Admn: Resources/Objective/ Legitimacy
given by public.
3. Pub. Admn: Permanent + Subordinate to Polity
+ Value Neutral + Anonymity + Impersonal.
4. Primary Principle for a CS: Decision should
promote Public Welfare + Public Trust.
EHICS-03 CLASS-3
1. Fundamentals values for civil services
 Impartiality & non-partisanship
2. Concept of accountability
 CASE 1
 There are 2500 students in a Distt. Govt. College.
Attendance is low because it is located about 15
kms from the resident part of the city. The
Education Minister, who represents this
constituency, has allocated Rs. 50 Lakh and
directed the DC to purchase cycles for the
students. He intends to gift them to the students
on an upcoming National Holiday. He believes
that this will not only ease conveyance for the
students but also help him gain public visibility.
a) Should the DC agree?
b) What options does the DC have?
 ANSWER:-
a) Absolutely not.
 Objections raised by DC:-
 Distance is too large to cycle in going
and coming back
 Safety is also a concern as if 2500 run
cycle , the possibility of accident will be 2. CONFIDENCE –PUBLIC & MINISTERS:-
high
 Temporary and short term solution is to
provide cycle as new girls come after
session, same problem will arise again
b) Alternatives:-
 As DC is not to serve the ministers but to
the post of it and to the collective
welfare for the public
 Public money cannot be used for
personal campaign or publicity of
minister
 With regard to the public:- No
discrimination be there
 With regard to the political executive:-
neutrality must be there
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 Note:-
a) Consider the reverse if you don’t get answer
 Use examples like E.g:- Notes of 2000 have
Mangalyaan
1. IMPARTIALITY & NON-PARTISANSHIP
 Two contexts
a) With regard to the public:- No
discrimination. impartiality implies that an
officer shall function as an instrument of the
government. He shall provide services for
the welfare of the public, protect the
interests of weaker sections and shall not
discriminate on the basis of religion, caste ,
gender etc.
b) With regard to the political executive:-
impartiality is based on neutrality of
administration. Administration neutrality
refers to the principle of working without
reservation and with devotion towards the
success of every govt lawfully in power. This
means that the administration shall provide
appropriate technical advice to political
leadership, without fear, favor or the
intention of only pleasing the political
leadership
A. ADVANTAGES-NEUTRAL ADMINISTRATION
ARE:
1. ALTERNATIVE IS A SPOILS SYSTEM:-
 It ensures reliability and professionalism. In the
absence of neutrality, administration would
become politicized. This would create a spoils
system where officers become excessively
dependent upon political patronage.
 Such an administrative system would be
extremely resistant towards any changes in
political ideologies, even though they reflect the
changing aspirations of the people.
 Example:- transfer of the governor after a new
party comes into force
 It ensures public confidence in the dedication of
administration towards fulfilling their current
aspirations and the confidence of the Ministers
in the loyalty and advice of their officers.
3. HIGH MORALE AND IMPROVED PERFORMANCE
WITHIN ADMINISTRATION:-
 It ensures high morale and improved performance
within administration, since officers are certain that
they would be appreciated for their merit rather than
for their political connections.
B. HOWEVER, ABSOLUTE NEUTRALITY IS
NEITHER FEASIBLE NOR DESIRABLE
BECAUSE:
 Problems associated with absolute neutrality
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
1. MORAL CORRUPTION:-
 Absolute neutrality implies blind obedience,
which promotes moral corruption.
 This means that officers would focus on slavish
compliance with orders instead of using their
discretion to assess the impact of such orders on
sustained public welfare.
 Example :- German –Nazis, concentration camps
2. CONTINUITY-NEED DEGREE OF COMMITMENT:-
 Social welfare programmes require significant
investment and long gestation periods. Their
success depends upon their continuity.
 Absolute neutrality could lead to important
programmes being discarded every 5 years and
most of them would never achieve their
intended objectives.
 Examples:- Social welfare programs
3. STATUS QUO-CONTENTIOUS ISSUES:-
 In order to avoid losing public support, the
political executive is unlikely to address
contentious issues. In such a scenario, absolute
impartiality would only maintain the status quo.
 Therefore, with issues such as a Uniform Civil
Code, Sec. 377, reservation policies etc., free and
frank bureaucratic inputs are vital to guide the
political system in the desired direction.
 Example:- contentious issues like Reservation
policy, Article 370, NRC etc
4. POPULISM v/s PRACTICALITY:-
 Since a democracy is vulnerable to populist
pressures, political considerations may not
always be practical. In such circumstances,
absolute neutrality can lead to myopic decisions
that promote political gains in the name of
public welfare.
 Example:- CASE1 (Cycle case )
Populism:- means any decision that is largely
taken only to please the public but not sensible
decision or reasonable
DEALING WITH ORDERS
NATURE OF ORDER RESPONSE
1) Illegal Disobey (use discretion)
2) Questionable a) Seek clarification
b) Ask to reconsider/
withdraw
c) Approach superior’s
superior
3) Difference of Obey, but put objections
opinion on record
 Although an officer should remain politically
neutral, he must not become absolutely neutral.
 This means that he must display a certain level
of commitment towards programs, schemes and
orders that he believes will promote public
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
welfare and ensure their success by using his
expertise at the stage of policy formulation and
implementation.
 In other words, an officer is duty-bound to obey
orders but not to obey them blindly. He must
use his discretion to assess the nature of the
order and then choose the most appropriate
response.
 IF THE ORDER IS ILLEGAL,
 he is duty-bound to disobey the order and
 IF IT IS QUESTIONABLE,
a) To seek clarification or
b) Ask the superior to reconsider the order
or
c) Give it in writing.
 IN SITUATIONS WHERE THERE IS A GENUINE
DIFFERENCE OF OPINION,
a) An officer is duty-bound to follow orders.
b) However, he can place his concerns,
reservations or suspicions on record for
future scrutiny by institutional mechanisms
such as the legislature, CAG, judiciary, media
etc.
c) However, this requires strength of character
and a genuine desire to promote public
rather than personal welfare.
 CASE 1
 There are 2500 students in a Distt. Govt. College.
Attendance is low because it is located about 15
kms from the resident part of the city. The
Education Minister, who represents this
constituency, has allocated Rs. 50 Lakh and
directed the DC to purchase cycles for the
students. He intends to gift them to the students
on an upcoming National Holiday. He believes
that this will not only ease conveyance for the
students but also help him gain public visibility.
c) Should the DC agree?
d) What options does the DC have?
 ANSWER:-
a) Objective: Transportation for students
b) Facts: 2500 students 15 km, public visibility.
c) Concern: Populism > Practicality.
 Large distance, safety, long-term
viability.
d) COA:
1. Advice to reconsider.
2. Order is not illegal, duty-bound to obey.
3. Place objections on record
4. Take issue into consideration of concerned
authorities (leader of opposition etc)
2. ACCOUNTABILITY
 Accountability can be understood as the
institutionalized (legal & procedural)
mechanisms that ensure:
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
1) Answerability- which refers to seeking 4. It safeguards citizens from arbitrary
justification for an action or decision. Only a administrative actions.
superior ,having authority, held junior  ADMINISTRATIVE ACCOUNTABILITY
answerable and can enforce penalty  an be enforced through mechanisms internal or
2) Enforcement- which refers to the imposition external to administration.
of sanctions and penalties if the justification 1. THE INTERNAL MECHANISMS
is found unsatisfactory.  are largely individual in nature and refer to
3) Responsiveness- which refers to the authority vested in an administrative
determining the extent to which an action superior to transfer, order a departmental
was taken in response to the genuine needs enquiry, suspend or dismiss from service,
of the public. reduce in rank, withhold increments or
 Answerability only allows the monitoring and promotions, appraise performance etc.
questioning of officials to judge their actions but  CASE STUDY OF THE INTERNAL ADMN.
does not provide any deterrent to prevent a ACCOUNTABILITY:-
reoccurrence of the same misconduct.  You are a police officer. One of your
 Accountability supplements such monitoring subordinates is very honest, efficient &
with sanctions, thus reducing the chances of hardworking. But he lacks courage.
such misconduct being repeated. Riots/firing/violence etc., he is often
 CASE 2 found missing. What can be done in this
 Junior engineer, first week on job. Sent to regard?
inspect an under-construction flyover, finds  Fault is of
design faulty: calls Chief Engr. immediately. Chief a) Your fault as Recruitment policy is
Engr. says it is too late to change design; failed now
pressurizes; JE agrees and clears file. A week b) Training programs are not effective
later, flyover collapses - 50 people dead. as to inculcate the required courage
 Junior Engineer and values in him
a) Does he need to justify his actions?  Solution
 Yes he must be answerable, as by knowing a) Send them again for training
faulty design he passed file just for personal b) If training is not effective, keep him
welfare, not to be responsive at desk based jobs rather than field
b) Does he deserve punishment? work
 Yes as its signs are there= penalty= c) If he does not work there also, then
enforcement performance appraisal be done
c) Did he serve or endanger the public? means withhold increments,
 he passed file just for personal welfare, not promotions etc
to be responsive d) At last suspend or dismiss
 Accountability:- Answerability + Enforcement + 2. THE EXTERNAL MECHANISMS
responsiveness  Are enforced by four agencies and are used
to enforce accountability collectively upon
 FEATURES OF ACCOUNTABILITY ARE: an administrative system.
1. It is based on Directives in the form of LRR (law,  Read the table for external mechanism of
rules, regulations), orders etc. administration accountability
2. It is objective in nature- this makes it easy to LEGISLATIVE EXECUTIVE JUDICIAL CITIZEN
identify violations and impose punishments. Law making Delegated Judicial Elections
3. It travels downwards, implying that it depends Legislation review
Budgetary Expenditure Writ Ombudsman
upon the presence of a Superior - Subordinate
Control tracking jurisdiction (Lokpal or
relationship.
Lokayukta)
4. It is enforced by external agencies, individually Parliamentary Political Suits RTI
and collectively. discussions direction against Citizen
 ADVANTAGES OF ACCOUNTABILITY:- govt charters
1. It ensures standardization and consistency in Parliamentary monitoring PIL Social audit
administrative actions. committees
2. It prevents misuse of discretion and  However, these measures, while essential, are
authority. not adequate.
3. It promotes compliance and obedience.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 DELEGATED LEGISLATION:- also referred to as responsibility for their actions. This responsibility
secondary legislation, is legislation made by a comes by virtue of the position that an individual
person or body other than Parliament. occupies and adds a moral dimension to
Parliament, through an Act of Parliament, can accountability.
permit another person or body to make  Ethics is what you supposed to be doing
legislation  Law is what you are committed to do
 LIMITATIONS OR PROBLEMS IN ENFORCING  READING: 2ND ARC
ACCOUNTABILITY ARE:  Report 10- "Personnel Admn."- Ch 13 & 15
1. A lack of time, expertise and resources for any  LEARNING OUTCOMES
single individual or institution to monitor the 1. Political Neutrality is essential; Absolute
countless field-level activities administration is Neutrality can lead to moral corruption.
involved in. 2. A/C is directive-based; Resp. is position
2. Accountability can consider the quantitative based.
aspects of an action but not its qualitative 3. A/C is necessary but not sufficient; Resp. is
dimensions. In situations where discretion is necessary and sufficient.
involved, accountability is of limited value.
Therefore, it is easier to enforce accountability  ETHICS CLASS-04
for goods but not for services. 1. Strengthening of ethical & moral values in
3. Risk of collusion/nexus:- Accountability is governance
vulnerable to the risk of collusion or a nexus 2. Status & problems of ethics in Public
between the service providers and those who administration
monitor their performance. In such  TOPICS COVERAGE:-
circumstances, either appropriate justification is 1. Participants in governance
not sought or appropriate penalties are not 2. Elements in ethical governance
imposed. 3. Status of ethics in pub. Adm.:- three
4. In the absence of a superior-subordinate parameters
relationship, the imposition of penalties or  Status of ethics can be assessed through
corrections becomes extremely difficult. the balance that is established between:
 These limitations imply that accountability can a) Objectivity & Subjectivity.
improve the efficiency of a system but not b) Means & Ends.
necessarily its effectiveness. This means that c) Personal & Collective Welfare.
even though all the directives established by 4. Problems of ethics in pub. Adm- generic +
accountability may be satisfied, the final result Indian
may still be unsatisfactory. Therefore, the quality
of governance cannot be meaningfully improved
1. THE PARTICIPANTS IN GOVERNANCE
without self-regulation, institutional as well as  The participants in governance share an organic
individual. relationship, in which they influence and are
 Example:- problems with primary education influenced by each other’s actions.
PROBLEM EFFICIENCY FURTHER EFFECTIVENESS  The most pervasive participant in governance is
Measurable PROBLE DICREION Resp society. Society can be understood as the
Accountab. M network of social relationships through which
teacher Biometric Mark Sense of duty individuals are related to each other.
absenteeism Attendance Attendan A. INSTITUTION:-
ce &  Estd. rules & procedures that provide guidelines
leave for human activity (political, economic, religious)
school  Within society are institutions. An institution can
out-dated Academic Bias in Relevance /
be understood as the established rules &
syllabus Committee Committ accuracy of
ee syllabus
procedures that provide guidelines for human
Members activity.
Ability of Tests Reactive Quality of B. SOCIETY:-
Students Pass-%age Rote- teaching  Network of social relationships through
to memoriz individuals are related to each other
learn ation (neighbours, religion, occupation etc.)
 Thus, ethical governance requires that  Society:-
accountability be more properly understood as a) State (L/J/E)
the obligation of those holding power to take b) Civil society
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022 12
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
c) Private sector
d) Media
CASE-1
An girl meets with an accident. At the hospital, doctors
tell the family to arrange blood for the operation. None of
the family members is a matching donor and the blood
bank doesn't have adequate units of this blood group in
stock.
After a lot of effort, a donor is found. But since he belongs
to a different religion, the family refuses to allow the
much-needed transfusion.
1. What are the ethical issues involved?
 Citizen's reluctance + indifference creates
scarcity of blood.
 Need to encourage voluntary donations.
Institutional + Societal initiatives.
 Family would not have refused had the blood
been available in a sachet.
 Religious taboos.
 Parochial value systems
2. Would it be easier for you to address them if you are
a citizen or an officer?
3. Why?
 Note:- don’t repeat what is given
 THE FEATURES (NEEDS) OF SOCIETY :
1. Likeness and Differentiation,
 Which refers to the extent to which
members of a society feel that they share
common attributes
 The more the differences are subordinated
to likeness, the greater the social harmony.
2. Interdependence,
 which refers to the realization that no single
individual can provide all the services
necessary for a reasonable existence.
 In other words, the realization that a smooth
existence depends upon mutual inter-
dependence, without discrimination or
prejudices.
3. Cooperation and Conflict,
 which refers to the extent to which the
interests of the members are aligned with or
opposed to each other
 THE FEATURES OF INSTITUTION ARE:
1. Consistency:-
 An institution has consistency
 It is permanent, whether you believe or not,
participate or not
 Example:- Marriage institution
2. Has a specific purpose:-
 Functions with a specific purpose in mind.
3. Can enforce rules and procedures
 However, its most significant advantage is that it
can enforce rules to regulate the behavior of its
members. Therefore, it is relatively easier for an
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
institution to pioneer progressive thinking and
ethical values.
 However, without societal support and
reinforcement, such initiatives are unlikely to
have the desired impact. It needed for
institutional success
 Example:- sati practice in India banned in 1829
Dec4.
2. ELEMENTS IN ETHICAL GOVERNANCE
 ETHICAL GOVERNANCE INVOLVES A SYNERGY
BETWEEN 4 ELEMENTS:
a) An enabling Organizational Structure.
b) A positive Organizational Culture.
c) Individuals attributes with integrity.
d) A cooperative Society.
1. AN ENABLING ORGANIZATIONAL STRUCTURE
 Laws, rules, regulations = constitution (India)
 Since an organisation can regulate its
members by enforcing rules, the simplest
way to promote ethical values is by
developing a strong structure, which is
reflected in the establishment of hierarchical
relationships, delegation of authority,
degree of specialization etc.
 From an ethical perspective, this takes the
form of laws, rules and regulations.
 The structure of an organisation is always
intended to reflect ethical principles and
concern for public welfare.
 However, the extent to which it functions
effectively is determined by the culture of
the organisation.
2. ORGANIZATIONAL CULTURE
 Refers to the common understanding among
an organization’s members regarding its
values and objectives.
 In other words, it refers to their
understanding about what the organisation
intends to accomplish and how they should
conduct themselves to help in achieving
these objectives.
 Although all members can contribute to such
an understanding, an individual’s influence
upon the work culture increases as his
position in the hierarchy rises.
3. INDIVIDUAL ATTRIBUTES
 Since individuals exert significant influence
upon the structure and culture of an
organisation, the personal attributes of
these individuals become critical.
 Such attributes are a product of influence
upon them from their families, society, peer
groups etc.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 This highlights the importance of good child
rearing practices, education, socialization,
role models etc.
 Example :- victim shaming (Victim shaming
happens across the globe every day—survivors of
rape, sexual assault and domestic violence face
ridicule and judgment for stepping forward and
speaking out about abuse)
4. ROLE OF SOCIETY
 Finally, since all individuals are a part of
society, societal influences on their conduct
and, through them, on the culture and
structure of an organisation are inevitable.
 Thus, unless societal thinking is aligned with
and reinforces the vision of the State, any
attempts to promote ethical values would
not be meaningful or lasting.
 Thus, it is critical for the four elements to
mutually reinforce and complement each other.
 Most important to change is to change individual
attributes.
LEARNING OUTCOMES
1. Unless Society cooperates, the State cannot deliver.
2. If all four elements are not addressed, impact will
not be meaningful.
3. Orgn. structure is easiest to change, but lasting
changes come by improving Individual attributes.
4. Choose subjective criteria, because objective
criteria are easier to improve.
5. The better the Means, the better the Ends.
6. Duty comes first.
3. STATUS OF ETHICS IN PUBLIC
ADMINISTRATION
 Public Administration is a custodian of public
resources and trust.
 Since it is conceptualized to promote public
welfare on a permanent basis, ethical
considerations should be a high priority for
administrators.
 Unfortunately, ethics are often disregarded by
administration and their importance realized
only after there has been a serious ethical lapse.
 THE BASIC CONCERNS ARE:
1) Practicality is considered antithetical to
morality.
2) Short-term benefits take precedence over
long-term impact.
3) Economics takes precedence over ethics.
4) Efficiency, outputs & proficiency take
precedence over effectiveness, outcomes &
integrity.
5) Rights & entitlements take precedence over
responsibilities and duties.
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 An ideal system would be one where these five
concerns are reversed. To achieve such a
reversal in the mindset of the individuals, the
most critical element is to understand that
practicality is NOT antithetical to morality. In
fact, it is only by being morally principled that
we can ensure continuing, lasting benefits for all,
including ourselves.
 THIS UNDERSTANDING IS REALISED BY
CONSIDERING THE FOLLOWING FACTORS:
1) Every human being has a tendency to
maximize his own benefits. But unless he
considers the impact of his decisions on the
welfare of others, such decisions will only
cannibalize his own welfare, because others
similarly would only focus on their individual
welfare.
2) It is only when a person, institution or nation
adopts a principled stand to willingly share
the burdens and benefits that their decisions
would be sustainable.
 Therefore, the good of the individual is
contained in the good of all.
 As such, the status of ethics in an administrative
system can be assessed through its ability to
establish a balance between three important
parameters:
1. THE BALANCE BETWEEN OBJECTIVITY AND
SUBJECTIVITY:
 Each decision involves a combination of
objective and subjective elements.
 Objective criteria are quantitative and
measurable in nature, such as economic criteria,
laws and rules, availability of time etc.
 Subjective criteria are qualitative in nature and
depend upon personal judgement, such as
values, discretionary powers, the interpretation
of circumstances, etc.
 Objectivity ensures standardisation but as
objective criteria are increased, the system
becomes rigid. Flexibility can be ensured by
providing officers with discretionary powers but
this creates the risk of misuse of authority. This
reinforces the importance of officers with a
strong and virtuous value system and a genuine
desire to serve the public.
OBJECTIVE SUBJECTIVE
Proficiency Honesty
Law Ethics
Economics Environment
Efficiency Effectiveness
facts values
CASE-2
You have to recruit a new employee for your
organisation. There are two candidates to
choose from the first is honest but not efficient,
14
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
the second is efficient but not honest.
Who would you choose and Why?
Answer:- honest, as efficiency can be increased
by using technology, training etc
 TAKE EXAMPLE OF LAW AND ETHICS:-
 Law :- objective
 Ethics:- Subjective
 Always choose subjective criteria. As they
are easy to improve
 Add example of Ireland lady death case
(Abortion case done earlier in notes)
 accessible & are cleaned and maintained by
2. THE BALANCE BETWEEN MEANS & ENDS:
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 Each decision involves value premises and
factual premises. With regard to public
administration, both premises are provided by
the public as well as by administration.
 Since the people are the ultimate sovereign, the
ends/objectives of a decision are determined by
the value premises of the public.
 Since administration has more expertise, the
means/mechanisms to achieve the objectives
are determined according to the facts provided
by administration.
 If administrative officers cannot understand and
address (promote or suppress) public values, the
decision is unlikely to create meaningful welfare.
 To accurately understand public values, officers
must have a strong and virtuous value system
themselves. Unfortunately, administrators often
adopt a myopic attitude that considers either
only the facts or only the values. The former
situation is termed means-ends reversal, while
the latter refers to populist and impractical
decisions.
 CASE-3
 For universal sanitation coverage, DC
intends to build a toilet in every household.
 This requires Rs. 150 crores, only Rs. 50
crores is sanctioned
 DC has an innovative solution- common
community toilets are constructed.
 Contain all necessary facilities, easily
the govt.
 A year later, it is found that most such toilets
are rarely used by the people, especially in
rural areas.
 What went wrong?
 ANSWER
 Underline public values like there Can be
possibility of a caste based reluctance
among people as regard to community
toilets usage
 Educate, aware or be a role model for these
people
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
3. BALANCE B/W PERSONAL & COLLECTIVE
WELFARE:
 Each decision not only affects personal welfare
but also has an impact on collective welfare. This
makes it important for a person to adopt a
selfless and caring attitude, where he focuses
not just on his rights but also his duties. Ideally,
duty should come before self.
 Within administration, the system usually
facilitates the realisation of personal aspirations
alongwith the fulfillment of professional duties.
 In situations where a perfect alignment is not
possible, it is expected that an officer places his
professional responsibilities at first priority. The
critical challenges emerge in situations which
have increased autonomy and authority or
where temptations and hardships become visibly
compelling
 CASE-4
 A senior officer in Home Ministry reaches
office for a very important meeting He is
informed that one of his family members has
just met with an accident and has passed
away.
a) Should he return home or attend the
meeting?
b) What if the family member is critically
injured, fully conscious but with only a
few hours to live?
 Answer
 Duty comes first.
4. PROBLEMS OF ETHICS IN PUBLIC
ADMINISTRATION
 Ethical concerns are often disregarded by
administration. However, the responsibility for
such lapses does not lie only with administrative
officers but also with the agencies that influence
their perceptions and actions.
 AS SUCH, THE PROBLEMS OF ETHICS IN
PUBLIC ADMINISTRATION INCLUDE:
1. A lack of ethical literacy,
 which refers to an inability to fully understand
the complex ethical issues involved in a situation
and results in a mechanical, rule-bound
approach to problem solving. This is especially
problematic in situations where officers do not
have a good understanding of factors that
influence the environment, such as the local
history, culture, language, customs etc.
2. Societal pressures,
 which refer to the irrational and unreasonable
demands made upon officers by their families,
peers and even members of the public at large.
This is further compounded by the poor and
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narrow value system displayed by society, as
evident from growing prejudices, intolerance,
stereotyping etc.
3. While political intervention helps an officer
determine public needs more judiciously,
political interference refers to the creation of
circumstances where, despite wanting to act in a
different manner, an officer is compelled to
ratify a poor decision. Such political interference
is hard to resist because of subjectivity in
performance appraisals and a lack of security of
tenure. Thus, it pressurises officers to become
inclined towards even inappropriate orders.
Compliant officers enjoy political patronage and
privileges while honest officers suffer feelings of
helplessness and a lack of purpose.
4. Constant scrutiny on administrative actions,
through increased public participation,
information sharing and the introduction of ICT
platforms, makes many officers reluctant to
innovate or take risks. This is so because risk-
taking is inherently failure prone and subject to
criticism and adverse professional
consequences. Such tendencies are further
strengthened by the principle of seniority in
determining career progression as well as the
absence of adequate recognition/rewards for
risk-taking behaviour.
5. The discretionary powers of administrators place
them in the unique position where they frame
the rules to govern themselves. They not only
formulate but also implement and, in some
cases, even adjudicate upon policies. This makes
it difficult to enforce accountability and
necessitates self-regulation.
6. A lack of organised public opinion against
administrative deficiencies makes it difficult to
correct and prevent official misconduct. This is
further aggravated by a lack of awareness
among the people about their entitlements and
the absence of institutionalized grievance
redressal mechanisms.
 In the Indian context, administrative values
have changed significantly over the last few
decades. Post-independence, administrators had
an almost paternalistic attitude towards the
public.
 In contrast, today’s administration is
characterized by a growing sense of insecurity,
reinforced by the belief of “each man for
himself”.
 Apart from the increasing complexities and
expectations from an administrative office,
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 THE REASONS FOR THE DECLINE IN PUBLIC
SERVICE VALUES ARE:
1. The public office has acquired a feudal
character and is viewed as a personal space
for fulfilling private agendas. A genuine
desire to serve the public is often replaced
by an overpowering ambition for self-
advancement. This leads to a culture of
opportunism, with officers displaying an
unlimited capacity for self-abasement in
expectation of political patronage.
2. Contact with the public and the field
administration has become very limited and
has increasingly shifted towards the political
class. The culture of field trips and touring
has been replaced by conferences and
committees. This has made the civil servant
vulnerable and even dependant on the
politician, who is often better informed.
3. The Constitutional and institutional
securities that are intended to protect
honest officers are often misused to give
undue immunity to dishonest officers.
Further, officers misinterpret the principle of
seniority and assume that experience should
supersede merit
 CASE-1
 A girl rushes into a chemist's shop and asks him
for a medicine for her brother who, she says, is
having a severe allergic reaction.
 The chemist knows that the medicine is used as
a life-saving injection for such allergies. But since
it is often misused as a narcotic, the law
stipulates that it cannot be given without a
prescription. The girl does not have a
prescription. Should the chemist give her the
medicine?
 Is Legality = Morality?
 ANSWER:- yes to safe a human life (Moral right)
1) RULES:-
 Is a standard or guidelines to govern or regulate
human behaviour within a particular area of activity
 Purpose is To place reasonable restrictions on the
rights of the people & control tendency to act only in
self-interest. –
 Rules can be made by any individual group or
organizations .
 since rules are not necessarily based on political
authority, they can't command obedience until an
individual voluntarily agrees to abide by it,
compliance is voluntary.
2) LAWS:
 A body of rules enacted by sovereign political
authority
 Laws protect the rights of the people and can
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provide penalties for any non-compliance or
violation
 Since they enjoy political legitimacy,-must be
obeyed without exception, compliance is
mandatory.
 Agencies empowered to enforce laws are also
authorized to make regulations to implement
them
3) REGULATIONS:
 Those rules that translate laws into action -carry
full force of law.
 LAWS, RULES AND REGULATIONS HAVE
CERTAIN ADVANTAGES
1) Ensuring standardization and uniformity
2) Creating deterrence against misconduct in
form of penalties
3) Safeguarding citizens from any misuse of
authority
 However, with regard to ethical governance LRR
may not necessarily either be the solution for all
problems and at times may even be a part of the
problem itself
 This is so because “what is legally permissible,
may not be morally defensible and vice-versa”
 LAWS, RULES AND REGULATIONS SUFFER
THE FOLLOWING LIMITATIONS
1. The enactment of a law does not imply that watt
hw commands is morally justifiable. A law may
be enacted only to promote powerful vested
interests or even social prejudices. Example
Apartheid (SA), Slavery (USA), Holocaust
(Germany) all permitted by law but symbolized
a violation of basic human rights
2. Laws by itself are not dynamic. They are enacted
on experience of past experiences ,unless they
are periodically revised, are bound to become
outdated with a passage of time or a change in
societal values as such, they may not be useful in
responding to changing needs and problems. For
example:- social acceptability of sec 377, the
moral defense ability of capital punishment , the
issue of age under juvenile justice laws etc
3. Laws can be amended, even with retrospective
effects to achieve specific objectives that may
benefit a particular section but compromise
larger public welfare. Example:- 42nd CAA was an
explicit attempt to concentrate greater powers
within the executives , retrospective
amendments in taxation laws may ensure short
term financial benefits but could lead to
discouraging investment in the long term etc
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4. Laws only prescribe the moral minimum. This
means that the provisions of the law only define
what is considered legally permissible or
prohibited. Therefore, an individual must use his
discretionary powers to judiciously apply the
provisions of the law according to the prevailing
circumstances. When people mechanically
follow the provisions of the law, they may
uphold the letter of the law but violate its spirit. 4. Laws reflect the collective conscience of a nation -
5. The presence of a law by itself is not enough.
The interpretation of the law is equally
important and requires a certain degree of
idealism. Such idealism arises not from the law
itself but from the value systems of those who
have the authority to interpret the laws e.g. the
interpretation of Art 352 and 356 for political
gains, Art 21 and the issues of suicide and
euthanasia etc.
6. Laws can be used as an excuse to avoid ethical
deliberation. When the legal and ethical
dimensions in a situation are not perfectly
aligned, individuals prefer to obey the legal
dimension but overlook the ethical implications.
This is so because the violation of a law attracts
material penalties while overlooking an ethical
dimension can produce only guilt or shame.
 Thus, LRR are necessary but not sufficient for
promoting ethical governance.
 READING:
 Ethics in Pub. Admn.-A Philosophical Approach
 Patrick Sheeran  Both approaches depend upon individual
 (Ch. 1, 6 & 10)
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Learning Outcomes
1.Laws are necessary but not sufficient for better
governance.
2. To improve them, laws can be further refined or
supplemented with individual judgement-both
depend upon Conscience.
3. Conscience keeps a system deontologically and
teleologically strong.
therefore, the Law shall always prevail.
 IMPORTANT PHILOSOPHICAL BASIS
OF ADMINISTRATIVE ETHICS
 Since LRR have certain limitations, the key issue
in providing ethical governance involves a choice
between whether we should refine them further
or whether we should supplement them with
certain additional elements.
 THIS ISSUE IS BEST CONSIDERED BY THE TWO
FUNDAMENTAL PHILOSOPHICAL APPROACHES
TO ADMINISTRATIVE ETHICS,
1) THE DEONTOLOGICAL (to refine)
2) TELEOLOGICAL THEORIES. (to supplement)
1) DEONTOLOGICAL THEORY
a) Advocates of this theory believe that it is
possible to create/develop objective and
absolute standards for assessing and
regulating human actions.
b) Focus is laws/rules/codes etc
c) Therefore, they devote themselves towards
discovering, developing and refining such
standards and codes (keep them refining)
e.g. the All India Services Conduct Rules,
Election Commission’s Model Code of
Conduct etc. As such, upholding the
“means/process/methods” is considered to
be vital and morally obligatory.
2) TELEOLOGICAL THEORY
a) Situation determines what is right /wrong
b) Advocates of this theory believe that
objective standards for moral conduct may
not necessarily exist.
c) Therefore, they believe than an individual’s
judgement in a particular situation
constitutes the primary criteria for
determining what is right or wrong. This
approach is also called “Situation Ethics”,
where the situation dictates what a person
should or should not do. As such, the “ends
justify the means”.
 NEED FOR THE CONSCIENCE:-
a) Teleological:- individual judgment
b) Deontological:- prescribed standards can be
obeyed /ignored/violated
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 Conscience:- Internal tool to assess actions
 In governance, both approaches operate
simultaneously. The dynamic nature of the
environment makes it necessary to provide
individual autonomy while the risk of misuse of
authority creates the need for a standardized
framework.
 More importantly, both approaches ultimately
depend upon the individual. This is so because
even if the deontological approach develops a
conclusive body of standards, it cannot
guarantee that these standards will be followed,
especially when they are moral or non-
justiciable in nature e.g. DPSP, Fundamental
Duties etc.
 The importance of the individual emphasizes the
significance of conscience. While laws and rules
attempt to administer ethical behaviour from
outside an individual, conscience is a concept
intrinsic to human beings that helps them assess
the morality of their actions
 THE CONCEPT OF CONSCIENCE
 Conscience may be defined as the special act of
the mind that comes into being when the
intellect passes judgement on the merit of a
particular act.
 Collective conscience of nation is codified in your
body of law, when a law is enforced a law shall
always prevail.
 “Human voice can never reach the distance that
is covered by small voice of Conscience”:- said
by MK Gandhi…
 BASIC FEATURES OF CONSCIENCE:-
1. It is not a feeling or an emotion but an
intellectual decision.
2. It is a practical judgement made with regard to
the morality of a specific action, past, present or
future.
3. It is wider in scope than the law since it helps
interpret the law according to the situation and
then implement it in practice.
4. It is a reflection of an individual’s values system,
influenced by his education, upbringing and
socialization. As such, it is not rigid and is open
to change, for better or for worse.
5. Although an individual’s conscience may be
correct from his own perspective, it may not be
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consistent with the collective conscience of
others.
 THE RELEVANCE OF CONSCIENCE BECOMES
SIGNIFICANT WHEN WE CONSIDER THE STATIC
BUT BINDING NATURE OF LAWS AND RULES.
1) Conscience helps neutralize conflicts. In
situations where the law is silent, the voice of
conscience assumes significance. This means
that if there are no available or applicable laws,
an individual’s conscience will help recognize the
ethical dimensions that are involved and thus
determine the most appropriate course of
action.
2) Conscience keeps a system deontologically
strong. When laws become outdated and
require renewal or repeal, conscience not only
helps in recognizing the need to initiate the
process but also in progressing towards the most
suitable form.
3) Conscience helps an individual maintain a
balance between his rights and entitlements on
the one hand and his duties and responsibilities
on the other. A decision influenced by a sound
conscience is not just confined to legal
prerogatives but is also consistent with a
comprehensive sense of duty and responsibility.
ADVANTAGE EXAMPLE
Helps neutralize conflicts Whistle-blowing
Keeps system deontologically sec66A(IT Act)
strong Secc377 (IPC)
Valance b/w rights & Revocation
responsibilities of emergency
 Thus, conscience supplements the role of laws
and rules in facilitating ethical governance. In
the absence of an appropriate conscience, one
may adhere to the letter of the law but violate
its spirit with impunity.
 Paradoxically, however, it depends upon and
also enhances the discretionary powers and
judgement of an individual. Thus, it becomes
critical to ensure that we educate our
conscience in accordance with our duties and
responsibilities.
 NOTE: There may be situations where what the
law prescribes is in conflict with the conscience
of an individual. Such a crisis of conscience is
resolved by understanding that a law represents
the collective conscience of a nation. Therefore,
the law shall prevail. However, it is incumbent
upon every responsible citizen to strive towards
the amendment of any unjust law so that others
do not have to suffer as they might have.
 MK GANDHI ON THE RELATION BETWEEN
LAWS AND CONSCIENCE
1. The dignity of man requires obedience to a
higher law — to the strength of the spirit.
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2. Hate the sin and not the sinner.
3. An unjust law is in itself a species of
violence.
4. There is a higher court than courts of justice
and that is the court of conscience.
5. The human voice can never reach the
distance that is covered by the still, small
voice of conscience.
6. In matters of conscience, the law of the
majority has no place

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 TOPIC:- WORK CULTURE
 "MEANING OF WORK"
a) Common understanding w.r.t. values,
practices and objectives of an organization.
Abstract, not codified. Des.
b) Powerful influence on individual's conduct. -
in addition to & even in opposition to rules
 WORK CULTURE
a) Work culture is defined as the system of
individually and collectively accepted
meanings of work as understood by the
members of an organization at a given time
b) In other words it refers to members
understanding about the values, practices
and objectives of an organization. Such an
understanding helps the members to
determine what the organization intends to
accomplish and how they should conduct
themselves to help in achieving this
objectives
CASE-1
The family of a young girl files an FIR against a
senior IPS officer, alleging molestation. The
accused officer immediately calls up the
concerned SHO and tells him to "take care" of the
matter. When asked how, he instructs him to
harass the family, file false cases against them,
use force if needed-pressurize them to withdraw
the case.
1) Should the SHO agree?
2) Will he agree?
 ANSWER:-
1)
 Note:- Dharmo Rakshati Rakshitah
CASE-2A
A young, honest recruit joins powerful govt.
organization. Given an envelope full of cash
(bribe) on the first evening; told that this is his
"share"; refuses to accept it.
Next day onwards
 Nobody speaks with him; eats with him.
 He is given no work to do.
 Called at odd-hours to office, for trivial work.
After 2 months, he accepts the envelope.
1) Did he do the right thing?
2) What else would YOU have done?
3) Who would support you?
 ANSWER
1) No= corruption
2) Complaint , at last resign but don’t be a
part of wrong
3) Who have values in abstract way
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 WORK CULTURE FEATURES :-
1) It is inherently abstract in nature. It is not
codified or prescribed in the form of rules.
Rather, it shapes the perceptions of the
employees through their experiences,
observations and interactions in the workplace.
2) It is a reflection of the mentality of the
employees and an indicator of the credibility
and reputation of an organisation. A good work
culture inspires public trust in and respect for
the organisation.
3) It creates a sense of identity for the employees,
enabling (sense of identity) them to understand
the purpose of their work as a whole, rather
than only some of its aspects. This facilitates
their commitment to larger organizational
objectives, rather than remaining restricted to
individual self-interest (salary, promotions,
postings etc.).
4) It determines the interpretation and
implementation of LRR. LRR can only define
what is considered permitted or prohibited.
However, it is the work culture that will
determine how discretionary powers are used to
obey, ignore or violate LRR.
 WORK CULTURE CAN BE ASSESSED ON THE
BASIS OF ITS STRENGTH AND QUALITY:
1) THE STRENGTH
 Of a work culture is determined by the
extent to which the employees understand
the organization’s purpose and their role in
achieving it in similar terms.
 In other words, the extent to which they
recognize which behaviours would be
considered desirable, acceptable or
avoidable.
2) THE QUALITY
 Of a work culture is determined by the
extent to which it upholds the right values
that promote public welfare.
LEARNING OUTCOMES
1) W/C is shaped through the observations and
experiences of the individual in the work place.
2) W/C can supplement or even substitute LRR in
influencing individuals.
3) The stronger the W/C, the harder it is to change.
4) Strong W/C ≠ Good W/C.
……..…6th class ended,7th started………….
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
STRENGTH & QUALITY OF WORK CULTURE
CULTURE…….. FEATURE………
STRONG or Similar understanding of
WEAK organizations purpose and one’s role
in achieving it
GOOD or BAD Uphold values that promote public
welfare
Strong+Good Armed forces, TATA,IIT/IIM
Strong+Bad Ploice,Publlic counters, Govt school
 STRONG WORK CULTURE HAS A DIRECT
IMPACT (NOT NECESSARILY POSITIVE) ON
ORGANIZATIONAL FUNCTIONING BECAUSE:
1) It influences the behaviours and attitudes of the
employees. It helps individuals from different
backgrounds and at different levels in the
organisation understand its core values and
objectives in a similar manner. As such, it exerts
powerful influence over the conduct of the
employees in addition to, and sometimes even
in opposition to, the formal rules.
2) It acts as a substitute for formalization. A high
degree of formalization ensures standardisation
but also makes the system rigid. A strong work
culture achieves similar consistency and since it
does not depend upon any documentation, it
reduces the need for rules and direct
supervision.
3) It influences the organization’s reputation,
because the way employees feel about their
work and duties is reflected in how they deal
with clients and other stakeholders.
4) It has a direct impact on the service delivery
standards of the organisation, because it
influences the motivation and engagement
levels of the employees.
 However, a strong culture does not necessarily
mean a good culture. Many organizations tend
to be inefficient because of a strong but poor
work culture. A strong but bad culture can
severely damage organizational functioning and
even its structure. More importantly, it is hard to
change or even challenge a strong culture. This
makes it critical to ensure that organizations
create, nurture and sustain ethical work
cultures.
 IMPACT OF STRONG WORK CULTURE
1) Influences Behaviour + Attitude.
2) Acts as a substitute for Formalization (formalization is
extent to which your role is defined by the presence
of rules).
3) Influences orgn. Reputation.
4) Affects service delivery standards.
 But, Strong culture does not mean Good Culture.
 Inefficiency in many organizations is due to Strong
but Bad Work Culture.
 Note:-
a) Belief is an ideas that a man holds true
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b) Value is a stable long lasting belief
c) These values you carry as your attitude
d) Attitude directs your behaviour
 Why is the culture in the armed forces usually
considered to be better than the culture in the
civilian administration?
 What are the features of an ideal
administration culture
Answer:- As in arms forces they will genuine make
efforts to assess yours values well before they
recruit you into the forces . like SSB in armed forces
a psychometric tests are there (not found in civil
administration)
 FEATURES OF ADMINISTRATIVE
WORK CULTURE
1) Level of discretion, the extent to which an
individual is given independence and autonomy
in interpreting and implementing LRR.
 In India level of discretion is very high but
the Problem here is it is used for personal
not public interest (collectively)
 {a small DC of a district gets 25 crore roughly
per annum to use as per his/her discretion
(entirely can be used for public interest for
example}
2) People orientation, the extent to which larger
public interest is taken into consideration in a
decision.
3) Outcome orientation, the balance between the
outcomes and the processes to achieve these
outcomes.
 In India it is very low because of not having
 Red-tapism- (derogatory) strict adherence to
official formalities.
 Procedural compliance :- a way of acting or
progressing in a course of action, esp. an
established method
4) Mechanisms of control, the number and
potency of supervisory elements that regulate
an administrative action.
 In India it is very high but problem is their
impact is not improving because most of
them are reactive and
 bureaucrats are reluctant to take any
initiative {Inhibit initiative taking} (they have
a fear of taking risk ) , even the reason can
be low sense of identity
5) Sense of identity, the extent to which an
individual identifies with the work as a whole
rather than only with some of its domains.
 They don’t understand the value or
importance of their work, they only comply
with existing procedures while the world
around changing
22
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
6) Recognition of merit, the extent to which merit difficult to impose penalties. Undue support to
would be rewarded or non-performance would spectacular schemes proposed by political
be tolerated. leadership, which are mostly populist and fail to
7) Communication patterns, the extent to which create an impact at the grass root level.
inter and intra-organizational communication 7) Closed communication patterns, with limited
channels are open or restricted. public contact and even lesser action on public
FEATURES OF ADMINISTRATION WORK CULTURE suggestions. Rigid hierarchy within the
FEATURE INDIA APPLICATION/USAGE organisation, with a dismissive attitude towards
1 Level of HIGH Personal not public subordinates. Absence of effective team-work.
discretion interest Chronic delays and a tendency to avoid decision
2 People LOW Self-serving or dis- making. Time consuming meetings/discussions
orientation regard for people with ministers and high officials which are
3 Outcome LOW Procedural mostly unproductive
orientation compliance
red-tapism  ETHICS CLASS 07 TOPICS
4 Mechanisms of HIGH Reactive, inhibit  Strengthening of ethical values in governance
control, initiative taking  Code of ethics ; code of conduct
5 Sense of identity LOW Value of work under-
stated
 LINKAGES
6 Recognition of LOW Patronage + seniority A. Framework of value development
merit 1) To maintain public trust and welfare, it is
7 Communication LOW Closed, rigid important to ensure that the right values are
patterns hierarchy , limited represented at all stages of the decision making
public contact process, however, merely adopting a set of
 THESE FEATURES LEAD TO THE FOLLOWING values is not enough
DISTINCTIVE CHARACTERISTICS OF THE 2) The incorporation of values in actions and
ADMINISTRATIVE WORK CULTURE IN INDIA: decisions will ultimately depend upon the
1) Discretionary powers are misused for personal individuals who occupy positions of authority
gains but are rarely used for public welfare. and influence
Tendency to avoid decision making. The 3) Further the problem in values is that , their
emphasis is on personal relations rather than abstract nature makes it difficult to enforce
professional obligations. them, rather, they need to be inculcated &
2) Feudal, self-serving mind-set, with little regard systematically reinforced within each individual ,
for public concerns. Personal aspirations take till they form a strong internal “compass” to
precedence over public interest. Lack of a guide their thoughts and action
humane approach towards any visitor to a govt. 4) Therefore the framework of value development
office. Inaccessibility of officials at all levels to can be considered as a combination of tangible
individual citizens. and abstract dimensions. As such, it is difficult to
3) Compliance with rules and procedures is given expect any meaningful development of values in
undue importance. This leads to excessive red- the short term from an organizational
tapism and a resistance to change, which causes perspective , they consider the framework in an
avoidable delays and makes the organization upward direction across 4 dimensions
insensitive to human problems and a) Institutional changes
contingencies. b) Behavioral changes
4) Multiple supervisory agencies make it difficult to c) Attitude
accurately assess how a task should be d) Belief in organizational values
executed. Further, the risk of failure and 5) If organisation wants to inculcate values in
criticism inhibits innovation. people
5) Lack of belief in the importance of one’s work or a) First thing to bring institutional changes
even the value of hard work itself. Many (Law, Rules , Regulations)
employees feel powerless against the system. b) Then the change in behaviour change can be
6) Rewards and punishment are determined by seen of individuals (as organization enjoys
patronage and nepotism rather than merit. authority to punish also)
Superiors expect loyalty to themselves rather c) When behavioral change comes,
than to the work. Non-performance is further organizations re-enforce the desirable
encouraged by the principle of seniority and the behaviors by giving positive (rewards) and
presence of regulatory safeguards which make it negative (punishment/ penalty)
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
enforcements
d) Then attitude change can be seen within the
individual {this is concern to change
permanent attitudinal change, as behavior
always not reflect your attitude)
e) Then individuals starts to believe the
organizational values
 Limitations of an organisation
a) Does a person's behaviour always reflect their true
attitude/value system?
b) If a person displays the same behaviour for a long
time, can we be certain that his attitude has changed?
c) How do we increase the probability that a behavioural
change will also lead to an attitudinal change?
 Importance of the right Individual
B. Dimensions of value development
C. Elements in value developments
………..7th class ended,8th started…………
 READINGS FOR NEXT CLASS
 Guidelines for implementing sevottam Chapter-1
 2nd ARC report 10- personal administration
chapters 5,6,12,14,16
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 ELEMENTS IN VALUE DEVELOPMENT
 The quality of governance depends upon the
quality of the public servants. It is the officers
who formulate, interpret and implement rules
and procedures. Thus, each officer must have a
clear understanding of the roles and
responsibilities involved in public service.
 As such, there are 8 broad elements involved in
developing and sustaining positive values:
1. RECRUITMENT:
 The purpose of a recruitment policy is to attract,
identify and select the right quality of human
capital i.e. sincere and diligent individuals who
are genuinely committed to public welfare.
 Therefore, the recruitment policy must:
a) Assess not only a candidate’s intellectual abilities
but also his temperamental qualities.
Temperament can be understood as an
individual’s nature, especially with regard to the
manner in which it affect’s ones behaviour. An
accurate assessment of an applicant’s
temperament can help gauge their motivation
towards and compatibility with the chosen
service. Some tools that can be used in this
regard include psychometric evaluations,
situational analysis exercises etc.
b) Address the backwardness of certain sections
but not at the expense of merit i.e. affirmative
action should not be misused to permit a
compromise in merit.
c) Establish an age for entry which permits
meaningful interventions in the individual’s
behaviour and attitude.
d) Enrich the knowledge base of applicants for the
civil services. Conventional university courses do
not adequately provide the skills required to
deal with the complex challenges that
administration has to face. Thus, there is a need
to introduce formal courses in our higher
education curriculum that include an
understanding of our Constitution and laws, the
political system, social and economic concerns
etc.
e) Have provisions to address rigidity,
incompetence and inertia in the administrative
system. This can be achieved by allowing lateral
entry into the civil services, so that successful
entrepreneurs, academicians and social workers
can add competition, experience, innovation and
dynamism to the existing administrative system.
2. TRAINING:
 A good administrator is not born but made. This
emphasizes the importance of training in
reinforcing behavioural and attitudinal traits. It is
24
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
important not only at the stage of induction but
also at periodic intervals to ensure that
organizational values are consistent with the
changing value systems of society. Some issues
related to training programs in India are:
a) The focus of most training programs remains
restricted to imparting job-related theoretical
and technical skills. This should be
supplemented with an emphasis on developing
the overall personality of an individual and
inculcating a genuine motivation to develop
desirable attitudes.
b) Probationers often take the training as a
formality to be completed rather than as a
learning exercise. This is further compounded by
the provision of leave to appear for the civil
services exam again. As a result, the focus is
more on personal interest rather than on
organizational functioning or public welfare.
c) A probationer who is yet to be finalised for the
govt. service should not be allowed to get
accustomed to the trappings and perks of a govt.
servant. The spartan and rigorous culture of
training programs in the armed forces should be
used as a model to create a culture of service
rather than elitism.
d) Penalties for misconduct should be administered
swiftly, without any apprehension of countering
an individual who could soon enjoy substantial
authority and discretion.
e) To foster a genuine motivation to apply oneself
and learn, the most appropriate techniques are
group exercises (e.g. Case Study method, Role
Playing exercises etc.) that encourage the direct
participation of the trainees and places the
trainers in a supervisory capacity. Since the
trainees share similar backgrounds and
experiences, such techniques help in better
scrutiny and understanding of an individual’s
behaviour and decision making process. More
importantly, they provide the individual with
opportunities to reflect on his own behaviour as
compared to that of others and discover
practical methods for self-improvement.
f) Regular sensitivity training should be imparted
to the lower levels of administration, where
public contact is more frequent, to sensitize
them to public needs and problems.
3. PERFORMANCE APPRAISAL:
 Performance appraisal is a legitimate tool
through which a superior can not only evaluate
but also influence, pressurize and even victimize IMPACT
his subordinates. This can severely damage the
functioning of an individual as well as the work
culture of the organisation. Thus, it becomes
important to incorporate the following
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
dimensions into the performance appraisal
systems:
a) The possibility that the superior may misuse his
discretion can be regulated by providing for
cross-validation through a 360° review. Other
tools that can be used include a peer review,
multi-member bodies (such as a Civil Services
Board) to regulate matters related to transfers,
promotions, disciplinary action etc.
b) Performance appraisal systems in India focus
largely only on quantitative criteria. Thus, there
is a need to develop qualitative indicators for
assessing performance e.g. Outcome Budgeting,
Social Impact Assessment, Social Audits etc.
c) It should provide incentives for better
performance and disincentives against non-
performance, for instance through performance-
linked pay structures. Further, there must be
provisions for motivating officers to work
fearlessly such as stability of tenure and
appreciating their efforts by instituting awards.
d) At present, the exercise is restricted to
evaluation. This should be broadened to
encourage a shift from Performance Appraisal to
Performance Management. This would ensure
that there are mechanisms to help the individual
understand the deficiencies in his performance
and facilitate him in enhancing his performance
4. CODE OF ETHICS / CODE OF
CONDUCT:
 A Code of Ethics or a Code of Conduct refers to
a body of guidelines (rules & regulations) that
encourage or discourage specific forms of
behaviour within a profession.
 Both types of codes are mutually supplementary
in nature but are different with regard to the
range of issues that are taken into consideration,
the degree of specificity in their statement and
the ease of enforceability.
ETHICS CONDUCT
COVERAGE Wide Limited
Cognitive Behavioral
SPECIFICITY Weak Strong
ADHERENCE Responsibility Accountability
DEPENDS UPON
EXAMPLE Oaths E.C. model code of
conduct
25
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 A Code of Ethics establishes general principles to
guide rather than to dictate behaviour. Such
principles are usually social or moral in nature, 6. LEADERSHIP:
and thus, can cover a wide range of issues.
However, they are also general/vague and
abstract in nature and so, are subject to
interpretation. This makes it difficult to enforce
penalties even if they are violated. Thus,
adherence to a Code of Ethics depends upon the
sense of responsibility within the person. e.g.
oaths, integrity pacts etc.
 A Code of Conduct is consistent with the
principles of a Code of Ethics. However, it
provides more specific guidelines by outlining a
clear set of expectations about actions that are
considered necessary, tolerable or prohibited.
Since it is more objective and precise, a Code of
Conduct can also provide for penalties if its
provisions are violated. However, since it’s
guidelines are specific, a Code of Conduct is also
restricted in scope and can cover only a limited
range of issues.
 In situations where a Code of Conduct is silent
or ambiguous, a Code of Ethics still provides
guidance through its fundamental principles.
5. MOTIVATION:
 Motivation can be defined as the processes that
account for an individual’s intensity, direction
and persistence towards achieving a goal.
 i) Intensity refers to how hard the person is
willing to try to achieve a goal.
 ii) Direction refers to the extent to which his
efforts are aligned with organisational goals.
 iii) Persistence refers to the extent to which an
individual can maintain his efforts towards the
goal.
 The higher the level of motivation, the easier it
becomes for an individual to resist temptations,
overcome hardships and stay true to his
principles and convictions.
 In this regard, Herzberg’s Two-Factor theory of
motivation provides valuable insights into how
an organisation can motivate its members.
According to the theory, there are two sets of
factors that need to be considered:
 i) Hygiene factors: These are factors whose
presence may not lead to motivation but whose
absence is likely to cause dissatisfaction e.g.
physical conditions of work, salary, supervision,
job security etc. When these factors are
adequate, people will not be dissatisfied.
However, the mere presence of these factors is
not enough to motivate people to work better.
 ii) Motivating factors: These are factors that will
actually motivate people, such as promotion,
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
personal growth, work-life balance, recognition,
job-enrichment etc.
 Leadership can be defined as the capacity to
influence others to follow willingly. The
leadership role of administration is important
not only within the govt. but also towards the
public. When an organisation or society faces
turmoil or changes in its value systems, a leader
is expected to provide clarity and direction
through his words and actions.
 A good/ethical leader performs the following
functions:
 i) Acts as a crucial source of ethical guidance. A
leader encourages a process of enquiry, by
facilitating queries about what would be
considered right or wrong and guiding the
subordinates in the right direction.
 ii) Serves as a role model and demonstrates the
behaviours that would be considered
appropriate. Members of an organisation learn
about values by watching leaders in action. For
instance, when leaders are prepared to make
personal sacrifices, the other members are more
likely to do the same.
 iii) Considers the long-term consequences,
drawbacks and benefits of the decisions taken
by an organisation. In doing so, leaders
incorporate the relevant ethical dimensions into
the decision and are sensitive towards rewarding
and safeguarding ethical conduct.
7. ENCOURAGING ETHICAL BEHAVIOUR:
 Identify areas where ethical violations are more
likely to occur.
 Encourage people identify and report violations.
 Safeguard individuals making such complaints.
 > Whistle-blower Protection Act (2011)
 Consistent ethical behaviour can be maintained
only when malpractices and misconduct are
reported and punished. However, an individual
is unlikely to complain or report a violation
unless he is certain that his own welfare and
safety would not be unduly compromised.
 Therefore, it is important to identify areas where
ethical problems are more likely to occur and
develop strategies to counter them. Such areas
include job descriptions involving significant
increase in discretion, politics-administration
interface, ignorance among the citizens, higher
levels of discretion, greater threats and
temptations etc.
 In this context, an important mechanism is the
“Whistle-blower Protection Act” (2011). It
defines a public interest disclosure as a
complaint related to a wilful misuse of power or
discretion which causes demonstrable loss to
26
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
the Govt. or demonstrable gain to the public
servant. The salient features of the Act include:
a) Making such a disclosure up till 7 years of
the occurrence of the action being
complained against.
b) The disclosure must contain the identity of
the complainant but the identity shall not be 5) With regard to the 10 prohibited categories, the RTI
revealed unless it becomes necessary to do
so to seek information.
c) The Competent Authority may require the
production of any document or may
summon any person for the purposes of
enquiry. But he can only recommend
corrective measures to the concerned public
authority.
d) To prevent harassment or victimisation, the
Competent Authority may direct the public
authority to provide protection for the
complainant.
e) Provides for punishment for revealing the
identity of the complainant or for making a
malafide disclosure.
 CASE-02
 Girl applies for passport, policeman demands
and takes bribe during verification in online
survey, girl reveals this to govt. Policeman comes
back; uses girl's laptop to mail retraction to govt.
"advises her not to repeat such behaviour.
a) Should the girl complain again?
b) Will that create a risk for her?
c) WHY was her info. revealed?
 Answer:- yes
 Answer:-
 Answer:-
 The Whistleblowers Protection (Amendment)
Bill, 2015 adds the following provisions:
1) The amendments prohibit the reporting of a
corruption related disclosure if it falls under any
10 categories of information including
information related to:
a) economic, scientific interests and the
security of India;
b) Cabinet proceedings,
c) intellectual property;
d) that received in a fiduciary capacity etc.
2) The Act permits disclosures that are prohibited
under the Official Secrets Act (OSA), 1923. The
Bill reverses this to disallow disclosures that are
covered by the OSA.
3) Any public interest disclosure received by a
Competent Authority will be referred to a
government authorised authority if it falls under
any of the above 10 prohibited categories. This
authority will take a decision on the matter,
which will be binding.
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
4) The Bill states that the 10 prohibited categories
are modelled on those under the RTI Act, 2005.
However, this comparison may not be
appropriate. Unlike the RTI Act, disclosures
under the Bill are not made public but in
confidence to a high level authority.
Act allows
a) the public authority to disclose information if he
considers it to be in public interest; and
b) a two stage appeal process if information is not
made available. The Bill does not contain such
provisions.
6) A Competent Authority is required to refer a
prohibited disclosure to a government authority for a
final decision. However, the Bill does not specify the
minimum qualifications required or the process of
appointment of this authority.
8. VALUE DEVELOPMENT EVALUATION
 It is important to evaluate the impact of value
development initiatives to determine whether they
are producing the desired results. If the results are
not in accordance with expectations, further
interventions and modifications can be developed.
 Although it is difficult to accurately estimate the
effectiveness of such measures, some useful
indicators include:
a) Increased awareness of issues such as morality,
public welfare, corruption etc.
b) Change in the number of complaints and
detected offences.
c) Change in the number of queries to superiors
regarding a conflict of interest.
d) Increasingly critical attitude towards ethically
questionable activities.
..7th class hand-outs added & 8th class started..
 ANSWERING CASE STUDIES
 Basic Guidelines
a) Cases take time to read + carry 20-25 marks-
start with them; (1 hr 40-45 mins)
b) A Case Study is not a theoretical question:
a. Application is rewarded, not theory.
b. Quotes/Examples/Data can be used, but
sparingly.
c) Focus should be on Justification, not just taking a
decision.
 There are five broad dimensions involved in
answering a case study:
1. Understand the Case:- means define your
problem or define your objective (becomes the
introduction)
2. Frame Responses/Options.
3. Provide a Justification
4. Approach the Solution.
5. Write the Answer.
1. UNDERSTANDING THE CASE
a) Read the entire case carefully; pay attention to
the choice of words.
27
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
b) Identify the Problem.  HOW TO WRITE ANSWER NOTE:-
c) Define the Objective.  In an Open-ended case,
A. READ THE ENTIRE CASE a) Don’t take a decision, just Create a Balance; and
 pay attention to the choice of words. provide a Course of Action.
 Understand what is being conveyed to you b) Quality of answer depends upon understanding
 keep in mind what is not conveyed {restrict and not that any decision will have consequences.
make your assumption} c) Anticipate and address such consequences.
B. IDENTIFYING THE PROBLEM C. DEFINING THE OBJECTIVE
 To identify the problem correctly, differentiate  The objective is defined by recognizing:
between Right and Wrong. a) What is to be achieved?
a) Basic benchmark – Constitutional values & Public b) Are there any potential problems that can arise in
Welfare. achieving the objective?
c) How can these problems be overcome?
b) Always consider long-term impact of a decision
 The understanding of the Problem/Objective becomes the
on different stakeholders. Introduction.
 A PROBLEM MAY BE:  Some case studies will be discussed just in these
a) Easy to identify, Easy to accept. hand-outs further whose objective and problem table
b) Easy to identify, Difficult to accept. is given below {note it after reading case studies
c) Difficult to identify. number}
Case OBJECTIVE PROBLEM
1) Easy to identify, Easy to accept – study no
 this is a One-Sided case involving: 1 Maintain the integrity of Friendship
a) a clear distinction between Right v/s Wrong; the exam process
Legal v/s Illegal; Moral v/s Immoral. 2 Maintain the integrity of Temptation of
b) Nepotism, Favouritism, Victimization, the acquisition process bribe
Harassment. 3 Do one’s duties as a good Job offer
c) Misuse of authority or discretion. human being
d) HOW TO WRITE ANSWER Note:- 4 Maintain reputation & Delay in funds
 In a One-Sided case, take a Decision. (don’t try educational quality of
to radical, different, argumentative) (always take college
decision what you understand to be right) 5 Understand not just action Stealing illegal
 Quality of the answer depends upon the but also intentions
Justification for the decision. (give 2-3 different 6 Balance duties towards finances
points to justify or support your decision) father-daughter
2) Easy to identify, Difficult to accept –
 this is also a One-Sided case involving: 2. FRAME THE RESPONSES
a) a choice between Individual v/s Collective  Sometimes in questions you are asked the options
interests. available. so
b) Moral courage; Integrity.  there are three responses or options available in a
c) Short-term v/s Long-term impact. situation:
d) Economics v/s Ethics. RESPONSE PROFESSION/ PERSONAL
 HOW TO WRITE ANSWER:- take right decision PUBLIC WELFARE
and Acceptance of problem is facilitated by Right action Good impact Promotes public
recognizing fundamental principles/values. welfare but at personal
level it may create
 HOW TO WRITE ANSWER NOTE:-
difficulties in the
1. In a One-Sided case, take a Decision. (don’t try to
short-term but will be
radical, different, argumentative) (always take decision
beneficial in the long-
what you understand to be right)
term
2. Quality of the answer depends upon the Justification
Wrong Adverse impact Public welfare is
for the decision. (give 2-3 different points to justify or
action compromised but at
support your decision)
personal level May be
3. Acceptance of problem is facilitated by recognizing
beneficial in the short-
fundamental principles/values.
term but will create
3) Difficult to identify – difficulties in the long-
 this is an Open-ended case involving: term
a) choice between Right v/s Right; Wrong v/s Inaction Adverse impact Either you ignore the
Wrong; Law v/s Morals. in most cases matter or delay the
b) Lack of complete information. decision, so this type
c) Allegations; Suspicions; May be beneficial (
d) Rumours. Competing demands. short-term)

NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022 28

 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 These responses become the AVAILABLE and inclusivity
OPTIONS in a case. Personal a) Defamation & humiliation
b) Sense of guilt, shame & regret
3. PROVIDE A JUSTIFICATION c) Penal action
 You must look (and ask yourself )a t 4 fundamental d) Poor self-esteem and self-worth;
questions while providing justification sense of inadequacy
1. What are the problems that can arise from Medical a) Encourages medical malpractices
taking the wrong decision? b) Risk to life and limb
2. Why should we not hesitate in taking the right c) Degradation of human capital and
decision? value of human life
3. By taking the wrong decision, what are we guilty Social a) Moral corruption - Bias, prejudice,
of? harmony discrimination
4. What should we be guided by? b) Lack of unity; divisive tendencies;
1. What are the problems that can arise from social tension & conflict
c) Promotes social evils (crimes against
taking the wrong decision? women, dowry, child labour,
DIMENSION PROBLEMS superstitions, narcotics)
Environment a) Irreversible ecological damage d) Lack of mutual trust and trust in
b) Contamination of air/water/soil govt.
c) Loss of biodiversity 2. Why should we not hesitate in taking the
d) Depletion of natural resources
right decision?
e) Accelerating climate change
a) Sets a poor precedent.
Business a) Loss of investor confidence
b) Slippery slope.
b) Loss of customer trust
c) Categorical imperative.
c) Earn a bad reputation
d) Long-term problems and risks.
d) long-term profitability
e) Discrimination & harassment  LEVEL  CONSEQUENCE
f) Toxic work-culture Individual a) Disciplinary action
Govt. Office a) Public welfare compromised b) Defamation and humiliation
b) Inefficiency and corruption c) Might impact interactions with loved
c) Conflict of interest; Collusion/Nexus ones, friends, and co-workers
d) Poor work culture (insubordination, d) Poor image and reputation
false complaints, victimization, Societal a) Wasted taxpayer funds
favoritism) b) Deterioration in quality of products
e) Red-tapism, procedural compliance, and services
rule-bound approach c) Decreased societal trust in public
Family & a) Shame, embarrassment, dishonour, authorities
friends social boycott d) Unwillingness to cooperate in govt.
b) Slippery slope (demands will not initiatives
cease) institutional a) Monetary loss
c) Risk of punishment extends to them b) Low workforce morale
d) Failure of duties as a good c) Resources diverted from performing
friend/relative essential functions
e) Misplaced understanding of good d) Increased oversight, scrutiny, and
relationship penalties
International a) Mutually Assured Destruction e) Bad organizational reputation
relations b) Increases use of Hard Power, 3. By taking the wrong decision, what are we
sanctions
guilty of?
c) Cannot benefit from inter-
a) Dereliction of duties
dependence and cooperation
(Global commons) b) Misuse of authority
d) Risk of alienation c) Misuse of discretion
National a) Human rights violation -
d) Corruption
b) Fragmentation, strife and conflict e) Violation of rules; spirit of the law
c) Communalism, regionalism, f) Damaging public trust
casteism g) Bad organizational reputation
d) Rise in fringe elements; divisive h) Discrimination & prejudice
tendencies i) Blind obedience
e) Adverse impact on growth, equity j) Sycophancy
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022 29
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
k) Cowardice; Greed; Self-centeredness reflection
l) Unsustainable, lop-sided growth c) Personal guidance &
m) Favouritism, Nepotism mentorship
d) Personal assurance
4. What should we be guided by?
e) Emotional appeal
a) Constitutional Values
f) Moral compass; Moral
b) The Principle of Public Welfare obligation
c) Good values g) Fiduciary duties
d) Strong principles h) Soul-searching
e) Lives of great personalities i) Courage of conviction
Principle of Legality Action should not violate any j) Zone of acceptance/
laws/rules. rejection
Principle of Morality Action should be morally Collective societal a) Mediation,
defensible. Effort consultation, counseling
Principle of Equity Like will be treated alike, b) Crowd funding
unlike will be treated c) Consensus building
differently. d) Collective efforts;
Principle of Responsibility You should take a decision Collaboration;
not only because you are Volunteers
answerable to someone but e) Social media
because you hold yourself f) Change agents; Social
responsible for the entrepreneurs
consequences g) Role models
Principle of Impartiality Action should not be biased h) Public hearing
or discriminatory i) Capacity building
Principle of Participation Facilitate and encourage Authority institutional a) Appeal to superiors and
participatory decision colleagues
making. b) Appeal to authority;
Principle of National Interest Action should keep in view Fear of authority
the impact on national c) Rewards & punishment
strength, safety, honor and d) Law-enforcement
prestige agencies
Principle of Integrity An individual should be e) Judicial appeal (Public
immune to any form of Interest Litigation)
temptation or hardship. f) Watchdog function
Principle of non-maleficence First do no harm (Media, NGOs)
Principle of Beneficence Strive to do good through g) Environmental Impact
the action/decision. Assessment
h) Corporate Social
4. APPROACHING :- SOLUTION Responsibility
i) Allocation of resources
A. BRAINSTORM, BY IDENTIFYING:
j) Social Audit
a) What is needed to solve the problem?
k) Grievance Redressal
b) What is the role of the relevant Mechanism
Stakeholders? l) Whistle blowing
c) What is the Time frame for resolution?
2. WHAT IS THE ROLE OF THE RELEVANT
B. GIVE RECOMMENDATIONS.
STAKEHOLDERS?
 To appropriately identify the relevant stakeholders
A. BRAINSTORM, BY IDENTIFYING: (identify minimum following three stake holders) in a
case, consider three factors:
1. WHAT IS NEEDED TO SOLVE THE a) Who is committing the wrong?
PROBLEM?  If any corrective action is taken, who is likely
 There are broadly three elements involved in to oppose it?
resolving a problem, at three corresponding b) Who is being affected by the wrong-doing?
levels of interventions:  Some people could be affected directly, some
indirectly.
LEVEL TOOLS & TERMS  Similarly, some people may be affected in the
Inter- Personal a) Moral suasion, short-term, some in the long term
Personal Persuasion
Contact b) Introspection, self-
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022 30
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
c) Who can take the required corrective b) Don’t answer in a mechanical manner. Convey
action? depth and clarity in your understanding.
 Who is likely to support any such action? c) Divide the Body section into two parts:
 Or by your own a. In Body Paragraph 1, briefly mention the
 For each stakeholder, To understand their role, Wrong Action + Inaction. Reject them with a
brief justification.
identify the Favourable/Unfavourable factors
b. In the other Body Paragraphs, give
for each of them. recommendations for the Right Action.
3. WHAT IS THE TIME FRAME FOR
RESOLVING THE PROBLEM?
3. CONCLUSION
a) Provide a final perspective on the case; leave
 Resolutions for a case can be considered at three
the examiner with a positive impact; indicate
different time-frames. At each point, there is a
specific purpose we seek to achieve
good time-management.
PURPOSE b) Mention long-term measures
Immediate a) Fire-fighting.  TEMPLATE FOR CASE STUDIES –
(write in b) Minimize damage. BRAINSTORMING :- JUST COPY IN
Body) c) Provide instant relief and redressal for
exigent/critical problems, where any MIND AND WRITE CASE STUDIES:
further delay is likely to aggravate the
problem
A. INTRODUCTION
Short term a) Comprehensive redressal. 1 what is problem
(write in b) Address the root cause of the 2 What is objective?
Body) problem.
Long term a) Structural overhaul. B. RESPONSES
(write in b) Wide-ranging changes in the present Merit Demerit
Conclusion) system to prevent a reoccurrence of Right action
any similar problem.
Wrong action
B. GIVE RECOMMENDATIONS: Inaction
 Keep a 3-step sequence in mind:
a) Give a recommendation, with an appropriate C. STAKEHOLDERS
justification. Merit Demerit
b) Anticipate the consequences of this action, Stake holder1
especially the challenges.
Stakeholder2
c) Give another recommendation, to address any
Stakeholder3
such challenges.
Who is the
d) Note:- give recommendations (merit), which
wrong doer?
definitely can have a demerit, so provide further
Who is affected?
second recommendation for the first demerit,
Who can
and extend it so on
correct?
Course of action Merit Demerit
(justification) D. SOLUTIONS
Recom.1 ✓ × Immediate measure
Recom.2 ✓ × Short term measure
Recom.3 etc ✓ × Long term measure
5. WRITE THE ANSWER E. RECOMMENDATIONS
 THREE BROAD SECTIONS: Course of action merit Demerit
1. Introduction: 40-50 words. COA1
2. Body: 3-4 paras; 40-50 words each. COA2
3. Conclusion: 20-30 words. COA3

1. INTRODUCTION
a) The purpose is to create a favourable impact by
conveying that you have a correct understanding
of the case.
b) For this, define the Problem/Objective.

2. BODY PARAGRAPHS
a) The purpose is to provide a solution in a
methodical manner.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
CASE STUDIES SOLUTION:-  Similarly, if our friendship is worth preserving, it
will not only survive but should become
stronger. My friend will understand that by
 CASE.1 reporting him, I am trying to ensure his welfare
 You have grown up with A, who has been your
above all else. In the short-term, I am saving him
best friend since childhood. You have shared
from potential punishment and disgrace. In the
your joys and sorrows and have been each
long-term, I am ensuring that such tendencies
other’s confidante. Both of you are in the final
do not become a habit for him. A case in point is
year of your graduation and writing your final
the friendship of Karna and Duryodhana in the
exams. In the exam, you notice that your friend
epic Mahabharata. Despite recognising that
is copying and cheating a lot.
Duryodhana was wrong, Karna supported him
 In these circumstances, what would you do? blindly, merely because they were good friends.
a) Report him to the invigilator, since he is
This tacit approval led to the destruction of an
wrong. entire dynasty.
b) Ignore the matter, since it the invigilator’s
 Hence, I would certainly report the matter.
duty, not yours.
However, after the exam, I would explain my
c) Ignore the matter, to avoid placing your
reasons to my friend and assure him that I stand
friendship at risk.
by him, to help him in any manner possible, be it
 SAMPLE ANSWER CASE.1 academic or financial
 My decision or Answer must be  CASE-2
 I will Report him to the invigilator.  You are posted as the Quality Control Officer in
a) Can sympathize but cannot ignore wrong.
the Ministry of Defence. During a recent Defence
b) Some other candidates may be facing even worse
hardships.
Expo, you happen to meet an old college friend.
c) He had the entire year to prepare, not just one  Your friend is currently working as a Manager
week. with a well-known company which supplies
d) He won't be able to do justice to the job. defence instruments. He knows that the Govt. is
options response Professional personal about to sign a huge defence procurement deal
public welfare in the near future and asks you to use your
Right Report Fair to other Risk to position to help his company secure as many
action candidates friendship
orders from the Govt. as they can. He assures
Wrong Allow or Unfair to other No risk to
you that the technical specifications of their
action assist candidates friendship,
friend instruments are better in quality and pricing
develops than any of their competitors.
habit of  When you appear to be reluctant, he promises
cheating you a sizeable cut of the deal amount as an
inaction ignore Unfair to other No risk to
candidates friendship
incentive. He urges you not to miss out on the
friend opportunity of a lifetime, reminding you that
develops even if you do not agree, his company will still
habit of get the orders.
cheating
 Would you agree with his proposal? How will
 ANSWER STARTS FROM HERE you proceed in this matter? (250 words – 20
 Cheating is immoral, unethical and illegal. marks)
Hence, it is my duty to ensure that my friend FIRST NOTE UNDERLINE THE KEY-POINTS
does not cheat any more. Moreover, since he Quality Control Officer in Min. of Defence;

has already cheated a lot, his actions must be meet an old friend whose company supplies
reported to the invigilator immediately. defence instruments.
 I certainly cannot ignore the matter, since that  Knows that Govt. is about to sign a huge
would amount to abetting an offence that gives defence procurement deal.
my friend an unfair advantage over all the other  Asks you to use your position to help his
candidates in the exam. It is the duty of the company secure orders from the Govt.
invigilator to prevent students from cheating,  Assures you that technical specs of their
but the responsibility has to be shared by instruments are better in quality and pricing
everyone in the exam hall, including the than their competitors.
students. Ignoring the matter would be similar  Promises you a sizeable cut of the deal.
to not reporting a theft merely because it is the  Urges you not to miss out on the opportunity
policeman’s duty to stop it. of a . lifetime.
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022 32
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 Even if you don't agree, his company will still
get the orders
MY ANSWER ? DECISION MUST BE
 I will Refuse the offer.
a) Amounts to dereliction of duties; misuse
of discretion.
b) If their quality & pricing is better, they can
win the order without my intervention.
c) This is an opportunity to correct him,
rather than to compromise on my
principles.
d) iv. Report matter to govt; recommend
enquiry (might have approached others
too).
 SAMPLE ANSWER CASE.2
 My duty as the Quality Control Officer is to
maintain the integrity of the acquisition process.
What my friend is proposing amounts to a
dereliction of my duties. Hence, I would certainly
refuse his offer.
 I would justify my stand by considering the
following factors:
a) Accepting his offer would signify favouritism
and imply a misuse of the discretionary
powers vested in me. This is not only
discriminatory towards other companies but
can also cause a potential breach in national
security.
b) If the quality and pricing of his company’s
instruments is better than any of the
competitors, he should not even need my
intervention. He should be able to secure
the orders on merit in the open bidding
process.
c) This is not an opportunity to compromise on
my principles and professional ethics but to
help my friend realize the error of his ways,
to correct him and save him from legal
prosecution.
 If my friend respects my point of view, I would
let him off with a warning to not repeat such
behaviour in the future. If he persists further, I
would have no option but to have him booked
for trying to bribe a govt. official. Further, even
after he withdraws his offer to me, I would
enquire if the information about the govt.
signing the defence procurement deal is
available in public domain. If not, I would
recommend an investigation into the same, to ensure
that his company hasn’t corrupted any other officials.
 CASE.3
 Ram is the eldest of three siblings. He has
recently completed his graduation while his
siblings are still in school. His father has retired
from a private sector job while his mother is a
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
housewife. The family’s financial situation is
precarious and their well-being depends upon
Ram finding employment at the earliest.
 Ram applied for a job in many firms but after a
long wait, only one has finally called him for an
interview. On his way to the interview, Ram
notices a person lying on the road. The person
has been badly injured in an accident and needs
immediate medical help. If Ram stops to help
him, the person may survive but Ram will
certainly miss the interview. If Ram doesn’t help,
the person will surely die. There is nobody who
can come to Ram’s assistance.
a) What should Ram do? Justify your answer.
b) What if the company rejects him for arriving
late for the interview?
SOME KEY POINTS OF CASE STUDY
 I must help the victim because
a) What if the situation was reversed?
b) Should not start career at the expense of
someone's life.
c) Won't be able to do well in the interview,
knowing that someone is on the verge of
dying.
d) Passing interview is not certain, but victim's
death is certain.
e) Can get another interview call, but loss of life
is irreversible.
f) Company should understand that he has given
perfect testament of his personality.
g) Ram Can't sustain if company's value system
is incompatible.
 Golden Principles here must be:-
a) Duty before self, Humanity, Sacrifice
b) Do what you expect them to do for you
c) Humanity is the ultimate ethic
 SAMPLE ANSWER CASE.3
 The case involves a conflict between Ram’s
duties towards his family on the hand and
towards a fellow human being on the other. Ram
must certainly do his duty as a good human
being and help the victim. It is not an easy
decision to take, especially when his family’s
fortunes depend upon his employment. But it is
vital that Ram remembers the following:
a) The Golden Principle in ethics, which
commands that we should do for others
what we expect them to do for us. If Ram
was the victim, would he not expect to be
helped?
b) Even if he secures the job offer, he will never
be able to erase the guilt of having built his
career at the expense of someone’s life.
c) Even if he leaves the victim behind, he will
not be able to do well in the interview,
knowing that someone he could have saved
33
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
is on the verge of dying.
d) Clearing the interview is not certain, but the
victim will surely die without help.
e) He can get another interview call in the
future, but the loss of life is irreversible.
 Further, Ram must realize that whoever is
conducting the interview would recognize that
by showing this willingness to sacrifice his
personal welfare for a stranger, Ram has
provided a better testimony to his character
than any interview can possibly assess. This very
action makes him an ideal member of any team
or organisation.
 Finally, should the firm reject his candidature
despite knowing about the reason, Ram can take
solace in the fact that he would not have been at
peace working in a firm where even such
fundamental humanitarian values are not
appreciated.
 CASE.4
 You are the Principal of a prestigious college.
The college authorities are presently conducting
interviews for the post of professors. One day,
you get a call from the Personal Secretary (PS) of
a Union Cabinet Minister, seeking your
intervention in favour of the selection of one of
the applicants. The PS also informs you that he is
aware of the long pending demand of your
college for grant of funds for modernization,
which is still awaiting approval. He assures you
that he would get the proposals cleared if you
ensure that applicant’s selection. He also hints
that if you disagree, he will create further
hindrances in the grants of the funds.
a) Would you agree with the Personal
secretary’s demand?
b) What course of action would you adopt?
POINTS NOTE & DECISION BASED ON
 I must Refuse the offer.
a) Slippery slope; poor precedent- such
requests will become frequent.
b) Disheartens other professors who have
earned their posts through hard work.
c) Jeopardizes the future of the students;
quality of college.
d) If PS threatens further, approach the
Cabinet Minister and request him to stop
arm-twisting tactics.
e) Take formal recourse through legal and
institutional channels.
f) Funds may be delayed, but they certainly
cannot be denied
 Principle, Value:-Integrity, Short-term v/s
Long-term impact, foresight.
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 SAMPLE ANSWER CASE.4
 My duty as Principal of the college is to maintain
its reputation and educational quality, which
depends upon the quality of its professors. The
request by the PS(Personal Secretary) amounts
to a quid pro quo, making the release of the
funds contingent upon an unfair intervention in
the selection process.
 The options available to me are:
a) Accede to the PS’s request, since the funds
would ensure the greater good of the institute.
b) ii) Deny his request and risk further delay in the
release of funds.
c) iii) Approach other functionaries and seek their
intervention
 The easiest option is to accede to the request.
But this is potentially disastrous because:
a) It is a slippery slope, as it sets a poor precedent.
Such requests will become more frequent in the
future.
b) ii) It would dishearten other professors who
have earned their posts by dint of hard work.
c) iii) It jeopardizes the future of the students, if
the professor is not competent.
 Therefore, I would uphold the integrity of the
process and not entertain this request. However,
I would assure the PS that this candidate would
be given a fair chance like all others. If he does
not get selected, I can offer to personally assist
him in preparing better for future interviews.
 If the PS threatens me with unreasonable
impediments in the allocation of funds, I would
approach the Cabinet Minister and request him
to stop such arm-twisting tactics.
 If even this does not work, I will have to take
formal recourse through appropriate legal and
institutional channels. There is a likelihood that
the funds may be delayed, but they certainly
cannot be denied. (270 words)
 CASE.5
 A poor, young boy is the sole support for his aged
mother.
 The mother does odd-jobs to provide for their
livelihood.
 One day, her health deteriorates significantly.
 The doctor prescribes an expensive medicine, but the
boy has no money to purchase it.
 In his helplessness, he steals the medicine from a
chemist’s shop.
a) Is his action legal?
b) Is it immoral?
c) What, according to you, is the ideal way
forward?
 (250 words – 20 marks)
34
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
SOME KEY POINTS OF CASE STUDY
 As Stealing is illegal, but his action is not immoral
(as his intention to save a human life)
 But boy must visit the chemist again and confess
that he has done it
 In this case give reference of Mahatma Gandhi
that “hate the sin not the sinner”
 Chemist should be willing to help and forgive this
boy
 But chemist have to get his money back ,
CASE 5A, CONSIDER IT IN MIND ALSO
 A poor boy steals an expensive medicine
from a chemist's shop for his mother's
treatment.
 He later confesses to the chemist, who
pardons him on the condition that he will
work for the chemist to pay off the dues.
 The chemist then tells him to start mixing
some medicines in a certain proportion.
The boy realizes that this will create
powerful narcotics.
What should he do?
 So this becomes one-sided question,
so take a decision and go to police
station and confess your stealing and
complain about chemist
ANSWER OR DECISION MUST BE
 As this is an Open-ended case, so
d) Don’t take a decision, just Create a
Balance; and provide a Course of Action.
e) Quality of answer depends upon
understanding that any decision will have
consequences.
 Anticipate and address such consequences.
 SAMPLE ANSWER OF CASE.5
 The most important human right is the right to
life. It is indeed our collective failure that we
have not been able to ensure quality medical
care across society. Legally, we can punish the
boy for stealing the drugs but morally, we are
then punishing him twice, since to begin with he
is a victim first.
 The boy’s ‘stealing’ the life-saving drugs can
certainly be considered illegal but it may not be
immoral in the true sense of the term. Stealing
can be considered as immoral when:
a) the principal motive is greed, envy or
arrogance.
b) ii) the act is primarily voluntary in nature,
that is out of choice.
 But in the given case, the boy’s act at the level of
thought is not motivated by any ignoble intent
but with love and respect for human life. Hence,
characterizing it as immorality may not be
prudent.
 Since he has already committed the theft, the
boy must hold himself legally liable for the act.
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
He should confess to the chemist and let the
chemist decide whether to allow him time to
repay for the medicine or report him to the law
enforcing authorities.
 Ideally, the chemist would be expected
empathize with the boy’s predicament and “hate
the sin rather than the sinner”. Since the boy
stole because of compelling circumstances, it is
important to give him a chance to repent for the
same rather than merely punishing him. As such,
the chemist should allow the boy a chance to
repay for the medicine, in cash or in kind.
(255 words)
 CASE.6
 A married couple live with their teen aged
daughter and the husband’s father.
 The daughter is intelligent and has a promising
future ahead of her.
 One day, the elderly man suffers a stroke and
slips into a coma. His survival requires constant
medical care, but this will consume almost all of
the family’s income, jeopardizing the daughter’s
future.
a) Who should be the couple’s priority – the
daughter or the father?
b) What should the family do?
 (250 words – 20 marks)
CASE 6A. CONSIDER IT ALSO INTO MIND
 Married couple live with their teenaged
daughter and the husband's father. The
daughter is intelligent and has recently
secured admission into a prestigious
college. The fees is rs. 5 lakhs, which the
couple have arranged after a lot of efforts.
 A few days before the due date for paying
the fees, the elderly man suffers a heart
attack. Doctors inform the family that he
needs a bypass surgery, which will cost rs.
5 lakhs.
 Who should be the couple's priority?
 So this becomes one-sided question, so
take a decision
 Here we don’t have time, and question is
of human life, so pay for biopass
ANSWER OR DECISION MUST BE
 As this is an Open-ended case, so
f) Don’t take a decision, just Create a
Balance; and provide a Course of Action.
g) Quality of answer depends upon
understanding that any decision will have
consequences.
 Anticipate and address such consequences.
35
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
part of the doctor. At the moment, they are
CASE No BALANCE UNDERSTANDING sitting outside the morgue and refusing to
5 Law v/s a) Illegal, but not accept the body unless strict action is taken
morality immoral. against him.
b) Intentions were  However, the doctor is a senior practitioner,
noble. who enjoys considerable respect in the hospital.
c) Boy is a victim The staff has threatened to go on an indefinite
first. strike if he is punished in any form for what they
d) Chemist must believe was an unavoidable complication in the
forgive/help. treatment of the patient. There is a swine-flu
6 Duty a) Neither has an epidemic in the city and you cannot afford any
towards immediate need such strike in the present circumstances.
 What would you do in these circumstances?
father v/s b) Arrange
daughter finances Some of the options available to you are:
a) Constitute an inquiry into the matter and
 SAMPLE ANSWER CASE. 6 personally head it.
 The case involves a conflict of duties for the b) ii) Suspend the doctor, and take strict action
couple, towards the father and towards the against the staff if they threaten to go on
daughter. The family faces a constraint of strike.
finances, making it difficult to do justice to one c) iii) With the welfare of the city’s population
duty without compromising on the other. in mind, refuse to entertain the family’s
Therefore, it is not possible to prioritise one over allegations but assure them that due
the other. Rather, the couple must display sound diligence was ensured in the patient’s
emotional control and balance their duties treatment.
towards both individuals.  Evaluate the merits and demerits of each of
 Compelling arguments can be made in favour of both these options and finally suggest what course of
sides. The father has a legitimate claim to the family’s action you would like to take, giving reasons.
attention and financial resources, since he has raised, (300 words – 25 marks)
educated and nurtured the husband.
 However, it is not certain how long he would stay in SOME KEY POINTS OF CASE STUDY
the coma or whether he would ever recover from it.  FACTS
If the family income is drained for his treatment a) As director = have authority
without any meaningful improvement in his b) As cardiologist= lack expertise in this matter
condition, it may seem unfair to have denied the c) Serious allegation against senior doctor
daughter access to the same resources, which she
d) Staff threatening to strike
could have used more beneficially.
 On the other hand, choosing the daughter may
e) Swine flu epidemic
enable the couple to fulfil their filial duties. But this  Understanding the Case
not only amounts to unjust behaviour towards the 1) Identifying the Problem
father, it also sets a poor example for the daughter. a) Serious allegation, but not verified.
Implicitly, she is being taught that our elders are not a b) None of the stakeholders mentioned has
priority for us. Such poor socialisation is likely to expertise to determine cause of the tragedy.
damage her personality development. c) Poor work culture (threat of strike).
 Therefore, the family must try to balance their duties
2) Define the Objective
towards both. For this, they should strive to augment
their finances in a variety of ways such as seeking
a) Determine why the tragedy occurred; ensure
there is no suspicion of bias.
additional alternate employment, cutting their
expenses, applying for an educational loan or a b) Ensure readiness of hospital
scholarship etc. (255 words) 3) Approaching the solution
What is needed to a) Authority (staff)
 CASE.7 solve problem? b) Inter-personal
 You are a cardiologist, currently posted as the contact (family)
Director of a Govt. hospital in a metropolitan c) No suspicion of bias
city. Yesterday, a woman was admitted in the Who is wrong-doer? a) Allegation not
gynaecology ward for prenatal care. However, verified
something went horribly wrong and she, along b) Staff(insubordination)
with the child she was carrying, died around Who is affected? a) Patient’s family
midnight. b) Doctor’s career
 The patient’s family is alleging negligence on the c) Hospital’s reputation
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022 36
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
d) City’s population  Demerits: Bias towards staff, Increases suspicion
Who can correct? director of bias; Grievance not addressed.
Solutions Give 3 minimum  And conclude by writing
 Therefore, I would recommend an enquiry through
1) Immediate Persuade family to accept
measures body a panel of doctors who do not belong to this
2) Short-term Investigation into tragedy hospital. This would ensure a fair verdict and
measures satisfy all concerned parties.
3) Long-term Address insubordination  You didn’t touch the following in answer
measures by staff.  How much time will the enquiry take?
 Has the family been approached?
4) Different stake holders a) What about the accused doctor?
Stakeholder Favourable Unfavourable b) Can similar problems occur in the future?
Director a. Authority  Lack of
B. THEREFORE GIVE THE RECOMMENDATIONS
expertise
 Possibility of AS SOON AS POSSIBLE
bias Course of action merit demerit
Patient’s a. If convinced  Trauma of Personal. -chance to -may remain
family can diffuse tragedy Informal enquiry explain /admit inconclusive
the situation  Suspect
-prompt
negligence bias
a. Subordinates  Threatening
resolution
Staff
b. Duty bound  Insubordination -no strike
to obey Formal enquiry -through -time
doctor a. Subordinate  Uncertainty (outside investigation -use autopsy to
b. Enjoys w.e.t his experts) -impartiality fast-track
respect actions -persuade
c. Can restrain family
the staff Work culture -prevent
5) Evaluate the alternatives (long-term) insubordination
-maintain public
alternative merit demerit welfare
Constitute an -through -Lack of expertise
inquiry info the investigation -Possibility of bias  Write the answer
matter & -personal Para no Para type Purpose
personally supervision 1 Intro Define problem/objective
head it 2 BP1 Reject wrong action
Suspend the -swift action -Allegations not
3 BP2 Give recommendation For
doctor, strict -family is verified
right action
action against pacified -unfair to doctor
the staff if they -strike can -increase possibility 4 BP3 Address problems of the
threaten to be averted off strike recommendation
strike 5 Conclusion Long term measures
Refuse to -swift action -bias towards staff  SAMPLE ANSWER CASE.7
entertain the -strike is -increases suspicion
family’s averted of bias  Introduction:- (problem/objective)
allegations but -immediate -malpractices in  The case involves a serious, but unverified,
assure them public future allegation against a senior doctor. It also
due diligence welfare signifies a poor work culture with the staff
was ensured threating to strike during an epidemic. Thus, as
the Director, my twin objectives in this case are
A. AVOID THE FOLLOWING MISTAKE
to firstly, determine the cause of the tragedy in
STUDENTS ONLY WRITE THIS & TIME FLEWS
an unbiased manner and secondly, to ensure the
 Option 1
 Merits: Thorough investigation; Personal
readiness of the hospital to deal with the
supervision. epidemic.
 Demerits: Lack of expertise; Suspicion of bias.  BP1 (Reject wrong actions/options)
 Option 2  All the given options have the same apparent
 Merits: Swift action; Family pacified; Strike advantages- swift resolution and prevention of
averted. the strike. However, they also have the
 Demerits: Allegations not verified; Unfair to
following limitations:
doctor; Increases possibility of strike.
 Option 3
a) As a cardiologist, I do not possess the
 Merits: Swift action; Strike averted. required expertise in gynaecology. Further,

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
my personal involvement may create the
suspicion of a bias.
b) Taking penal action without verifying the
cause would be unjust to the doctor and
would increase the possibility of a strike.
c) Dismissing the family’s concerns indicates
partiality towards my staff and increases the
risk of malpractices in the future
 BP2 (recommendations)
 Therefore, I would begin by first meeting the
doctor concerned and ask him to shed light on
the incident. If he admits to having erred, I can
enforce the appropriate penalty and also ask
him to restrain the staff from going on strike.
{40 words}
 BP3 (recommendations)
 If the meeting with him remains inconclusive, I
would have to constitute an enquiry committee.
To ensure its fairness, it would be composed of
experts who are not working in this hospital. The
committee would be asked to conduct its
investigation in a time-bound manner. If it is
judicious, an autoposy could be used as prima
facie evidence to fast-track the enquiry.
 Simultaneously, I would use the constitution of
the committee as an opportune moment to
persuade the family to accept the body for the
last rites, assuring them that due diligence is
being maintained in its working. (90 words)
 BP4 conclusion
 Finally, I would also take steps in the future to
improve the work culture and ensure that such
insubordinate behaviour by the staff is not
repeated. (25 words)
(310 words)
…….8th class ended,9th starts….
LINKAGES OF TODAY’s CLASS
1. Ethical Dilemmas- concept & forms.
2. Ethical Concerns in Pvt. Institutions.
3. Resolving Ethical Dilemmas
 ETHICAL DILEMMAS- CONCEPT:-
 Dilemma is an open ended situation, can’t
distinguish right or wrong, but you are forced to
take to decision in these kind of questions in
which dilemma is included to judge you.
CASE-01
The police arrest a man who they suspect knows the
location of a bomb in the city. The man denies
possessing any such information and claims that he
is innocent.
a) Should the police torture him?
b) Will torture definitely produce the reqd. info.?
c) Even if it produces the info., is torture ethical?
Answer:- (note change premise of the case)
Torture: deliberately inflicting physical or mental
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
pain.
If you don't Torture If you Torture
 Does not reveal  May mislead to stop
the info. the pain.
 Bomb goes off.  Further aggravates
 Innocent people his cause.
die.  More violence in the
long run.
 UN Convention on Torture (1984)
 "No exceptional circumstances whatsoever can
justify torture( war, public emergency, terrorist
acts).
 Cannot be justified as a means to protect public.
 Cannot be justified by orders from superiors.
 ETHICAL DILEMMA DEFINITION
 A dilemma is a situation that demands a choice
between competing principles, where satisfying
one would lead to a compromise of the other. As
such it involves:-
a) More than one or Multiple courses of action
available.
b) Necessity of making a choice.
c) The Compromise of some principle in every
choice that is made
 Ethical Dilemma in its true form Is NOT a choice
between right and wrong. Such a choice is only a
problem which can be resolved through
conviction & integrity.
 A dilemma is a more complex situation that
demand a Choice between two equally
desirable or undesirable alternatives. As such a
perfect resolution is not possible
 Thus, a perfect solution is not possible.
 Therefore a dilemma is likely too produce inner
turmoil & dissonance especially among those
who have high sense of morality
 It is such turmoil that will help an individual
understand the true cause of problem & how
similar problems can be prevented in the future
 Broadly, there are three forms of circumstances,
often overlapping, that can produce ethical
dilemmas:
a) Crisis of Conscience
b) Conflict of Interest
c) 3. Conflict of Duties
 Broadly, there are three forms of circumstances,
often overlapping, that can create ethical
dilemmas:
1. A CRISIS OF CONSCIENCE:
 Conscience:- is a judgment made w.r.t morality
of an action the part of your mind that tells you
if what you are doing is right or wrong
 This refers to a situation
a) where an individual’s sense of morality is
different from collective morality or
38
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
b) where, within the individual itself, it is
difficult to choose between competing
values.
 To cultivate respect for and conviction in such
 Such a moral crisis can arise at a personal,
societal or national level, when assessing the
morality of a decision that has already been
taken or which is under consideration.
LEVEL SITUATION
PERSONAL Parent is in a coma-sustained medical
expenses will harm the future of
children.
SOCIETAL A builder gets permission for 15 floors;
builds 25. All flats have been sold;
building is unsafe. If the building is
demolished, builder will go bankrupt -
can't return the homeowners money
Answer:- always take legal right
decision, order to demolish , but is not
ideal decision as the builder may get
bankrupt and money of people get
lost. So it is also not an ethical
decision. Consider multiple turmoil’s
NATIONAL AFSPA helps maintain security but
endangers the liberties of the people.
2. A CONFLICT OF INTEREST:
 This refers to a situation in which an individual
has a personal interest that is sufficient to
influence or even compromise the objective
performance of his duties.
 In other words, it can be understood as a conflict
between personal interests on the one hand and
public or professional interests on the other
 e.g. performing an official duty where a family
member is directly involved, seeking post-
retirement opportunities that require the
disclosure of privileged information etc.
3. A CONFLICT OF DUTIES:
 This implies the assignment of different duties,
where the effective performance of one
adversely affects the performance of the other.
A matter of concern here is the MPLAD Scheme,
which enables legislators to perform functions
that are normally performed by the executive.
This weakens the separation of roles, dilutes
legislative oversight and violates the spirit of
federalism.
 To address such conflicts, an individual must
identify and adhere to a strong set of principles,
such as:
a) Humanity takes precedence over all else,
including ones Nation.
b) Nation takes precedence over family, religion,
state etc.
c) Duty comes before self and even family.
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d) Nature takes precedence over the institution;
institution comes before employees; fellow
employees come before self.
principles, one needs to develop keen observation
and balanced introspection. There are abundant,
practical opportunities to evolve as a human being,
provided that we are willing
INTERVENTION
1. Visit a hospital/ orphanage/ old-age home
2. Visit a monument/museum
3. Visit a national park/trek/ wildlife reserves/zoo
4. Read about the lives of great personalities
5. Sports
VALUES
1. Empathy, Compassion, Gratitude, Respect for life
2. Pride, Patriotism, Secularism
3. Respect for nature, Environmental sensitivity
4. Fortitude, Discipline, Sacrifice, Humility, Spirit of
Service
5. Strive for excellence, self-belief, positivity, team
spirit, discipline, decision making
 ETHICAL CONCERNS IN PVT.
INSTITUTIONS :-
 The ethical concerns for private institutions are
broader and more complex than the public
sector due to their fundamental motive of profit.
Profits are essential to maintain the standards,
motivation and even survival of private
institutions. As such, the actions and decisions of
private institutions must simultaneously satisfy
the three dimensions of
a) Profitability,
b) Legality and
c) Ethicality.
 The critical concerns for private institutions arise in
situations where two of these dimensions are
satisfied but the third is overlooked. In such
situations, it becomes crucial to identify the missing
dimension and accordingly decide which action would
be encouraged or discouraged.
 A simple thumb-rule to adopt is that any action that
includes the ethical dimension must be promoted.
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PARAMETER ACTIONS
Legal + Ethical but not CSR,Charity, Donations
profitable
Legal + profitable but not  Surrogate advertising
ethical  Dynamic planning
Ethical + profitable but not  Product recalls
mandated by law  GR mechanisms
 Succession planning
 Some areas of concern include
1. Surrogate Advertising: is a form of advertising
where a banned product is not projected directly
to consumers but is disguised through another
product under the same brand name. This allows
the company to retain consumer association
with the main product while technically not
violating the legality of the ban. As such,
surrogate advertising may satisfy the dimensions
of legality and profitability but cannot be
justified on ethical grounds.
2. Product Recall: is the process of retrieving
defective goods from consumers and providing
compensation or replacement for the same.
Product recalls may not be mandated by the law
and in the short-term may affect the profitability
and even the credibility of the company. Yet,
they generate trust and goodwill for the
company in the long-term since they reflect
concern for customer satisfaction and safety.
3. Corporate Social Responsibility: which enables
an organisation to integrate social and
environmental concerns in its business
operations on a regular basis. CSR initiatives can
be mandated by the law and reflect an
organisations commitment towards contributing
to social welfare. Yet, it also implies that hard-
earned profits would have to be spent on
activities that may not directly promote financial
growth.
READINGS
1. 2nd ARC-Report IV
 Chap. 2-Sec. 6( Office of Profit)- Page 37-40.
2. BBC UK-"Ethics of Torture".
3. 3. B. Emmanuel vs. State of Kerala-SC 1986.
…….9th class ended,10th starts…...
 RESOLVING ETHICAL DILEMMAS
 Although it may not be possible to resolve an
ethical dilemma in a perfect manner, individuals
and institutions will have to take a decision in
such situations. Such a decision must be based
on a reasonable justification for choosing one
course of action over another. As such, there are
five broad approaches that can be considered,
each with a fundamental justification but also a
corresponding limitation. While taking a
decision, one or a combination of these
approaches can be used. The more the number
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
of approaches satisfied in a decision, the closer it
comes to being ideal.
1. THE UTILITARIAN APPROACH:
 This approach believes that an ideal decision
should produce the greatest good or the least
harm for the greatest number i.e. it creates the
greatest balance of good over harm. As such, it
offers a relatively easy, numerical justification
for choosing one course of action over another.
This approach is especially useful in situations
where multiple groups have competing claims.
For instance, it can be used to justify forced
displacements, preventive detention, torture
and even capital punishment.
 Advantage:- quick decision making tool
 Disadvantage:- focuses exclusively on the ends
not on the means (for civil servants “means”
means rights, Dignity, lives of citizens)
 However, this approach suffers three basic
problems
a) It can be used to justify unwise, populist
decisions. Even worse, it can be used to
justify unfair means such as deception, lies,
coercion etc.
b) It may not always be possible to accurately
calculate the costs and benefits involved in a
decision e.g. the value of life, art, human
dignity etc.
c) It is inherently ends-based and does not
allow for adequate scope for considering the
means being employed. As a result, it may
overlook concerns regarding justice,
liberties, dignity and rights.
 THE UTILITARIAN APPROACH:
 Greatest good for greatest number(Ends over
Means)
a) Should a village be displaced for construction of a
dam that increases energy security, even if they lose
their traditional way of life forever?
b) If the AFSPA preserves national security, can it be
considered justifiable?
c) Is Capital Punishment justified?
 CASE STUDY ABOUT THIS:-
 A flight with 150 people on board has been hijacked.
The hijackers are demanding the release of 3
hardened terrorists in exchange for the safe return of
the hostages. If the terrorists are released, they can
cause many more attacks and deaths in the future.
a) Should the terrorists be released?
b) What is the ethical concern?
 Answer:-
 Utilitarian approach says:- you look at the numbers
(140crore Indian people, over 150 people)
 Ends can be achieved but means cannot be justified,
however, there can be chances that these 150 people
will not survive as there would be possibility of kings
by the terrorists or by crash of plane. So life of others
can be saved.
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2. THE RIGHTS APPROACH:
 This approach believes that an ideal decision is
one that best protects and respects the rights of
all the stakeholders. It is based on the belief that
all humans (and even animals) have certain
inviolable rights that must be preserved.
Therefore, they have a right to be treated as
ends and not merely as means to other ends.
However, this approach may sometimes over-
emphasise the individual at the expense of the
system. There may be situations where the
social or economic costs that result from
upholding an individual’s rights may be too high.
In such situations, the rights of an individual may
need to be reasonably restricted for larger public
welfare e.g. the suspension of even fundamental
rights during an emergency.
 RIGHTS APPROACH
 "Respect the rights of the stakeholders" (Means
over Ends)
a) Does a rapist / terrorist deserve legal
representation?
b) Is the culling of animals ethical?
c) Should we create a Green Corridor for organ
transplants?
 ANSWER:-
 (a):-Indian has a functional democracy, where a rule
of law prevails. Helps Indian to represent human
rights at global issue.
 (b):-utilitarian approach agrees, but rights approach
disagrees.
 (c):- A 'Green Corridor' is a special route making the
route of the hospital where an organ is harvested
and the hospital where it is to be transplanted,
traffic-free. It is a manually operated route. In India,
the concept of Green Corridors has been since 2014.
Means roads made green (green lights) to uphold the
life of one person when a ambulance is carrying an
organ for organ transplant. utilitarian approach
disagrees, but rights approach agrees.
CASE STUDY:-
 Some terrorists are involved in an attack at multiple
locations in Delhi- one of them was injured by the
police and captured. He is taken to a hospital in a
critical condition. The police need to interrogate him
to get info. about the terrorists' plans. The doctor
knows that this may cost the patient's life.
a) Should the interrogation be allowed?
b) What is the ethical concern?
 Answer:-
 utilitarian approach disagrees, but rights
approach agrees.
3. THE JUSTICE APPROACH:
 This approach states that equals should be
treated equally and unequals unequally. In other
words, individuals should be treated as the same
unless they differ in ways that are relevant to
the situation in which they are involved. For
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instance, affirmative action is based upon the
desire to provide disadvantaged sections an
equal platform. Voting rights in private
corporations are proportionate to the number of
shares a person owns, due to the higher element
of risk associated with a higher investment.
However, determining what constitutes a just
decision is not easy. An element of subjectivity is
unavoidable, making it difficult to arrive at
standardised and quantitative parameters e.g.
wage determination, assignment of duties and
responsibilities etc.
 THE JUSTICE APPROACH:-
 "Equals should be treated equally, unequally
should be treated unequally"
a) Are reservations unfair to those who are not
entitled to them?
b) Should shareholder rights in a pvt. company be
directly based on the number of shares they
own?
c) Should mediation be used in rape cases?
 Answer:-
 (a) justice approach disagrees
 (b) justice approach agrees
 (c) justice approach disagrees (both parties must
be included)
4. THE COMMON GOOD APPROACH:
 This approach believes that an ideal decision is
one which promotes general conditions that are
equally to everyone’s advantage i.e. a decision
that serves the entire system and not just
certain sections. The utility of this approach is
especially high in areas where social
participation is important, such as in promoting
peace, environmental concerns, public hygiene,
demilitarization, tax compliance etc.
 However, this approach suffers three basic
problems:
a) in a diverse system of individuals and
nations, determining what would constitute
a common good is not easy.
b) promoting a common good may require
individuals or nations to share burdens
unequally or to make sacrifices.
c) There is also the problem of the “free-rider”,
referring to those who want to enjoy the
benefits of the common good but are
unwilling to contribute.
 The only way to overcome these problems
meaningfully is to ensure that all individuals and
nations have a strong and good value system.
 NOTE: There are 2 basic differences between the
Utilitarian Approach (UA) and the Common Good
Approach (CGA).
a) In the UA, the majority of people will benefit,
although a minority may have to suffer. In the
CGA, every person enjoys the benefits.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
b) The UA is imperative in nature and will need the for a few minutes. Almost instantly, a lot of the
exercise of authority. The CGA is voluntary in candidates start copying from one another. Would
nature and needs a good value system. you also cheat?
 COMMON GOOD APPROACH  ANSWERS:-
 "Promote conditions that are to everyone's  (a)
 (b) No, as I have believe that my understanding of the
advantage"
subject is good and I can get good marks by my own
a) Why should I not litter outdoors?
then by cheating from other.
b) Why should a person pay taxes in a system
where tax compliance is barely 12%? BENCHMARKS FOR ETHICAL DECISIONS
c) Why should a nation voluntarily reduce its Utilitarian approach Does this decision produce the
stockpile of weapons? most good or the least harm?
 ANSWER:- Rights approach Does this decision respect the
 Where collective participation is needed (among rights of all stakeholders?
individuals, nations, people etc) (even you must Justice approach Does this decision treat people
equally or proportionately?
be included)
Common good approach Does this decision serve the
 (a) due to common good, for everyone including
community as a whole, not just
you. It promotes a common good of national some sections?
capabilities Virtue approach Does this decision portray me as
 (b) due to common good, for everyone including the sort of person i want to be
you. It promotes a common good of national and be seen as?
capabilities
 (c) due to common good, for everyone including  USING THE APPROACHES
you. It promotes a common good of Global A. CONCERN:
 Adverse impact of Climate Change.
peace. Example USA and Russia signed START (to
reduce the nuclear weapons) B. REMEDY:
 Note:- Why Do People not follow this 1) Common Goods Approach- understanding that it
affects everyone; all should contribute.
approach ? :- because
 Problem-nations have unequal capacities.
a) When they are asked to contribute to a
2) Justice Approach-Common but Differentiated
common good voluntarily, the sharing of the
responsibility .

burden is unequal
b) Some people, countries will emerge as FREE  EXAMPLE:- OF USING THE APPROACHES
A. CONCERN: High levels of air pollution in Delhi.
RIDERS
B. REMEDY:
5. THE VIRTUE APPROACH: 1) Common Good Approach: Use public transport.
 This approach believes that an ideal decision  Problem- people don't cooperate.
should be consistent with the highest 2) Utilitarian Approach: Lockdown.
humanitarian values and principles such as  Problem- people have different needs.
honesty, loyalty, courage, compassion, sacrifice 3) Justice Approach: exemptions for some sections.
etc. This promotes not only the individual’s long-  LINKAGES FOR THIS CLASS-10th
term welfare but also multiplies into overall
A. Goods v/s Services.
social welfare. In other words, this approach is
B. Quality of Service Delivery.
based upon the belief that the good of the
C. Problems in Public Service Delivery.
individual is contained in the good of all.
D. Improving Service Quality - Supply/ Demand
 However, the fundamental problem is that this
E. Information Sharing in Govt.
approach depends upon self-direction, self-
F. Promoting Citizen Engagement.
regulation and a strong moral character. When
G. 7. Social Accountability.
individuals, societies or nations do not have a
strong character and an internal locus of control, A. THE GOODS & SERVICES :-
they are vulnerable to external stimulus. In such  GOODS –
circumstances, implementing this approach is  physical products.
extremely difficult  technical/measurable specifications.
 VIRTUE APPROACH  objective assessment.
 Self-direction, consistent with highest principles  SERVICES-
a) A batsman nicks a ball and is caught by the fielder.  system of supplying a public need.
The umpire does not notice the nick and declares him  intangible; hard to find measurable
not out. Should the batsman admit the truth?  CRITERIA.
b) In an examination, the invigilator steps out of the hall  subjective assessment

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 Goods:- are physical products that have B. CASE-01-B
technical and measurable specifications,  Rahim was feeling extremely unwell, so he went to
through which it is possible to uniformly and the nearest private hospital.
objectively inspect, assess the quality of goods a) He was immediately examined by a doctor,
and improve them and demand specific prescribed a battery of tests, some of which Rahim
interventions wherever required. felt were not necessary.
b) He underwent an operation, after which he was
 Service:- is a system of supplying a public need
admitted in a private room for a few days.
such as transport, banking, education etc. A service is
c) The premises was clean, staff was attentive, all
intangible (lacks a physical form), is not stored and
expected amenities (even luxuries) were available.
does not result in ownership.
d) The doctor visited him thrice daily, but charged him a
 FEATURES OF A SERVICE substantial amount for each visit.
1) Service Delivery = Experience + Outcome. e) When he was discharged, he was handed a bill of a
 Experience: manner in which service was delivered. few lakh rupees.
 Outcome results obtained.
2) Personal attributes of delivery personnel are important.
 QUESTIONS FOR TWO CASE STUDIES:-
3) Customer is essential part of service delivery. 1) Where was the service quality better?
 assist service provider, suggestions , complaints. 2) On what basis have you arrived at your decision?
 needs to be aware about own role/duties. 3) What can be done to improve the service quality
 A service is a transaction in which no physical goods in the other hospital?
are transferred to the buyer. Since services lack a  ANSWER:-
physical form, it is difficult to find measurable criteria 1) Treatment is same (a patient wants treatment
to uniformly assess and improve their quality .As such not the premises).
it becomes important to establish standardised

criteria for assessing service quality. As such, the
basic features of services are: B. QUALITY OF SERVICE DELIVERY
1) Service delivery involves two elements, Service  Service quality can be defined as the difference
Experience and Service Outcome. Experience refers between customer expectations and customer
to the manner in which the service was delivered perceptions. If expectations are greater than the
while Outcome refers to the results obtained from
customer’s perceptions about service experience
the service delivery. When both the elements are
satisfactory, service quality is considered to be good.
and outcome, the perceived quality is not
2) The personal attributes of the delivery personnel are satisfactory and customer dissatisfaction occurs.
an important factor in service quality e.g. your This emphasises the fact that while assessing
physical appearance, temperament, competence, service quality, the customer’s perspective
body language etc. Therefore, even if the service should be given more importance than that of
outcome is good, poor conduct of the delivery the organisation.
personnel may leave a negative opinion of the overall  QUALITY OF SERVICE DELIVERY
quality. This emphasizes the importance of selecting
 Service Quality = Customer Expectations v/s
personnel with a genuine service orientation.
Customer Perceptions
3) The customer is an essential part of the service
delivery process. He plays an integral role in making a  SERVQUAL
service request, assisting the service provider with a) Reliability-transparency and consistency.
meaningful information, making suggestions and b) Assurance- competence and affordability.
complaints etc. Therefore, service quality can also c) Tangibles- physical validation.
deteriorate when the customer is not aware of his d) Empathy-courtesy and grievance redressal.
own role. This emphasizes the importance of e) Responsiveness- time-bound & convenient.
customer education in specific and capacity building  The concept of SERVQUAL establishes five
of the citizens in general. criteria, represented by RATER, to assess service
A. CASE-01-A quality. The more the objectivity introduced in
 Ram was feeling extremely unwell, so he went to the these criteria, the easier it becomes to
nearest govt. hospital.
accurately assess service quality. Further, the
a) He had to wait for a few hours, in excruciating pain,
more these criteria are satisfied in a service
before a doctor could examine him.
b) He underwent an operation, after which he was delivery, the better the service quality
admitted in the general ward for a few days. a) Reliability: the transparency and consistency in
c) The premises was unclean, staff was rude, basic the conditions and delivery of the service.
facilities (even medicines) were unavailable b) Assurance: the competence of the service
d) He claims that doctors spent more time in private provider as well as the affordability of the
wards, rushed through the general ward. service if compared with an alternate provider.
e) When he was discharged, he was handed a bill of a
few hundred rupees
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
c) Tangibles: the physical validation of service
standards and commitments in the form of bills,
receipts, acknowledgements, charters etc. 2) The
d) Empathy: the presence of an element of
courtesy and an appropriate grievance redressal
mechanism.
e) Responsiveness: the delivery of the service in a
time-bound and convenient manner.
C. PUBLIC SERVICE DELIVERY
 The consumers of govt. services are not just its
customers but also its citizens. They provide the
resources for the government’s operations and 3) Public services are often difficult to access, low
legitimise its authority to utilise these resources
on their behalf. Therefore, they are entitled, as a
matter of right, to a satisfactory quantity and
quality of public services, failing which it would 4) Public services lack proper information sharing
have a direct impact on their pride and
compliance with their duties and responsibilities.
 Problems in Public Service Delivery
 Citizens are treated as mere beneficiaries
1) Monopolistic nature-lack of competition.
2) Provider-customer relationship is imbalanced.
 Mandatory payment, Customer control is weak.
3) Difficult to access+ low quality+ lack innovation
4) Poor info. Sharing- excessive hierarchy; lack of
consensus.
 However, public services by their very nature are
asymmetrical in terms of information, power
and participation. The State enjoys a position of
dominance, with the citizens being perceived as
only beneficiaries, with little control over what is
delivered to them. This happens because:
1) Public services are monopolistic and lack
competition. The provider does not need to
entice the customers and the citizens
themselves do not have any alternatives
available. Service quality can be improved by
promoting competition but in services where the
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sovereign role of the State is critical, an element
of responsibility becomes essential.
provider-customer relationship is
imbalanced. Payment for the services is
mandatory, regardless of their quality. Further,
the payment is not made directly to the service
provider. This weakens customer control and
creates an administration-centric paradigm
where administration is able to maintain
accountability towards the State but is often
unable to display a similar sense of responsibility
towards the citizens.
in technical quality and lack an element of
innovation. This makes them unresponsive to
the crucial needs of a helpless society.
among the different stakeholders. This leads to a
poor communication process which is
characterised by multiple layers of hierarchy and
a lack of consensus about the intended
outcomes
 LEARNING OUTCOMES
1. Service quality depends upon the customer's
assessment - vital to be citizen- centric.
2. Vital/sovereign govt. services can be improved
only though a strong sense of duty.
3. Each of the factors involved in improving service
quality is necessary but not sufficient
4. 4. Without demand-driven participation, supply
side interventions alone cannot deliver.
…….10th class ended,11th starts…...
D. IMPROVING SERVICE QUALITY
 Improving the quality of public services requires
interventions on the supply as well as the
demand side. The supply-side factors are
internal to administration and include:
a) Establishing objectivity in service standards
through mechanisms such as citizen’s charters,
Sevottam etc.
b) Inculcating a service orientation by selecting and
nurturing a good quality of human capital. This
includes interventions and improvements in the
recruitment policies, training programs,
performance appraisal etc.
c) Providing scope for inspection and corrections
through tools such as a Grievance Redressal
Mechanism, Whistle-blower Protection etc.
d) Information dissemination.
 The demand-side factors promote citizen
engagement and a citizen-centric culture within
administration. The common factor in both
these mechanisms is increased transparency and
better information sharing
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
Internal Mechanisms External Mechanisms Inter-orgn. Partnership Daily/weekly Regular
(manufactures requirements communication
(SUPPLY-Admn.) (DEMAND-Citizens) environmental Emergency Admission Suggestions
1Establishing Service Info. Dissemination helpline procedures complaints
Standards  Another example:-
Inculcating Service Capacity Building & MATURITY STAGES
Orientation Community Mobilistn. STAGE-1 STAGE-2 STAGE-3
Establish inform Implement
GRM + Whistle-blower GRM + Whistle blower Intra-orgn. SPUWAC Designation Gender
Protection Protection (delhi police) Duties Sensitization
Info. Dissemination Institutional Tools (RTI. Inter-orgn. Partnership Points of Patrolling
Citizen Charters) (NGO.colleges) Vulnerability Feedback
Environmental Women’s Rights Grievances
E. TRANSPARENCY AND INFORMATION (Citizens) helpline agencies
SHARING :- F. PROMOTING CITIZEN ENGAGEMENT
 Transparency refers to the availability of  Any attempts to improve the quality of public
information not only to the public but also services cannot be meaningful without effective
among the agencies involved in service delivery. citizen engagement. It is only when citizens
For the public, this enables easy access to proactively demand better services that the
information which is presented in a simplified State will be compelled to innovate and
form. For the agencies, it involves clarity improve.
regarding the scope of the service, the intended
THE SPECTRUM OF CITIZEN ENGAGEMENT
outcomes and the responsibilities involved
(each element is necessary, none alone is sufficient)
FACTOR PROBLEM
Information Dissemination Inability to process info
Capacity Building Lack of consensus
Community Mobilisation : Fear of retaliation
Grievance Redressal: Lack of uniformity
Institutionalization: Discretion of the state
 In a poor information sharing network, the flow  As such, there are five broad factors involved in
of information is unidirectional, from the State promoting citizen engagement
to the people, with a weak or dysfunctional 1) Information Dissemination:
feedback mechanism. However, unless citizen  Generating awareness among citizens and
concerns are understood and addressed, service granting them access to relevant information
delivery will remain ineffective and often meet enables them to: i) acquire a clear
resistance from the citizens themselves. understanding of their entitlements. ii) identify
 But even if a feedback mechanism is provided, benchmarks to accurately judge the quality of a
service delivery will not improve unless there is service. iii) learn how to seek redressal if the
clarity and consensus within the Govt. regarding service is unsatisfactory.
the citizen’s concerns. Thus, a good information 2) Capacity Building:
sharing system must begin with a focus on  Information sharing is necessary but not
strengthening transparency among the sufficient for citizen engagement. It is equally
governmental agencies itself. This creates a important for citizens to possess the ability to
framework of information sharing across 3 meaningfully process and utilise such
dimensions and stages. information so that they can clearly identify,
MATURITY STAGES appropriately prioritise and persuasively voice
STAGE-1 STAGE-2 STAGE-3 their concerns. This can be achieved by investing
Establish inform Implement
in a high quality of human capital. Such human
Intra-orgn. People + Roles & Capacity
Processes Function Building capital is essential for good governance since it
Inter-orgn. Partnership Scope Communication strengthens accountability, facilitates social
coordination unity and enables the delivery of at least some
environmental regulations Benefits Engagement services at the local level itself. This requires a
risks focus towards education, regular training,
 See the examples:- vocational opportunities etc.
MATURITY STAGES
STAGE-1 STAGE-2 STAGE-3 3) Community Mobilisation :
Establish inform Implement  Capacity building in a differentiated society,
Intra-orgn. Covid unit Designation Covid protocol with divisive societal norms, can make it difficult
(Hospital) duties training to establish consensus. Greater awareness can
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022 45
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
often lead to heightened friction between Capacity Building Financial & digital literacy
different groups, paralysing the process. This Training in production
makes it important to mobilise communities IT, E-commerce
towards common goals by establishing Community Mobilisation Local business (raw materials)
consensus among different stakeholders on : Easy access to credit
Grievance Redressal: Govt support:- threats,
important issues. Channelizing a community in a
boycott
common direction increases mutual Panchayats, police, NGO
understanding, prioritises shared values, Institutionalization: Skill development center
promotes collective participation and reduces  As such, there are five broad factors involved in
the possibility of conflict. promoting citizen engagement
4) Grievance Redressal:  CHALLENGES TO CITIZEN ENGAGEMENT
 Citizen engagement can be sustained only if  While the demand-side factors emphasize the
citizens believe that their participation will not importance of citizen engagement, they also
create any undue problems for them. Thus, presume that the citizens are expected to
there must be provisions for a functional GRM challenge the established power dynamics, in
that: the process often placing themselves at risk. The
a) Enables individuals to report any vulnerabilities to these mechanisms include:
malpractices or misconduct that may have 1) Resistance to reform, from within society as well
been observed or perceived. as the govt.
b) Provides penalties against the concerned 2) Risk of collusion among stakeholders. This
offenders. implies that deviations in service delivery will
c) Protects the welfare of those who report not be reported and no measure of
such grievances e.g. whistle-blower accountability or justice will be enforced.
protection legislation. 3) Disruption by vested interests, through threats
5) Institutionalization: and coercion. This becomes especially significant
 Institutionalization refers to the establishment in the context of social dynamics.
of formal and standardised provisions that 4) Lack of assured support from the govt., as
facilitate citizen engagement. Such institutional manifested through the absence of an
support provides uniformity and permanence to institutionalised grievance redressal system.
ad hoc or voluntary initiatives that have yielded 5) Lack of willingness on the part of the State to
progressive results. This provides incentives and introduce necessary and evident improvements
encouragement to the people and widens the in the existing systems.
scope of participation beyond the voluntary  SEVOTTAM:-
actions of only a few concerned citizens.  Sevottam is a 7-step model for citizen centricity
that aims at service delivery excellence. The
VISIT DARPG WEBSITE and FIND A CASE STUDY ON
focus of the model is on three broad
DANTEWADA EDUCATION
parameters:
LOOK SOME EXAMPLES BELOW & UNDERSTAND
1) Citizens Charters, to establish and promote
EDUCATION IN NAXAL AFFECTED AREAS expected service standards within the public as
FACTOR INTERVENTION
well as govt. organisations.
Information Benefits of education
2) Grievance Redressal, that aims to not only
Dissemination Info. On RTE
Use of locals to aid enrolment
design and implement an appropriate
Capacity Building Local teachers (training) mechanism but to also identify grievance prone
Study material in local areas and prevent their re-occurrence.
language 3) Service Delivery Capabilities, which are sought
Community Mobilisation Parents, locals, contractors to be improved through infrastructural support,
: State-NGO-citizen grid better human resource management and the
Grievance Redressal: School monitoring committees use of technology to provide convenience and
Police presence standardisation in service delivery.
Institutionalization: Scholarships
Infra for extracurricular G. SOCIAL ACCOUNTABILITY
BOOSTING ENTREPRENEURIAL OPPORTUNITIES  Social Accountability refers to the mechanisms
FACTOR INTERVENTION through which societal actors (citizens, civil
Information Local handicrafts, food, society, media etc.) can engage with service
Dissemination tourism providers to hold them accountable for the
Eco. potential quality of governance.

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
2. Provides for the establishment of an Information
& Facilitation Centre by every public authority
(e.g. customer care centre, call centre etc.)
3. Provides for designating Grievance Redress
Officers (GRO) within 6 months. - GRO shall
assist citizens in filing complaints (even orally).
4. Provides for acknowledging receipt of a
complaint within 2 days.
5. If a complaint is not redressed within 30 days,
the GRO shall report the same to the Designated
Authority. -such a report shall be treated as an
appeal filed before the DA. -the burden of proof
to establish non-redressal of complaint shall vest
upon the GRO.
6. Provides for imposition of penalties upto Rs.
 In a traditional sense, it is enforced through a
50,000/-, to be recovered from the salary of the
two-step process: concerned official.
1) Enabling Voice, which refers to the ability of the 7. Provides for establishment of multi-member
citizens to express their needs and problems to State and Central Public Grievance Redressal
those who hold power. Commissions
2) Establishing Compact, which refers to the  CORRUPTION & CHALLENGES:-
relationship through which those who hold
power act as representatives of the citizens and  LINKAGES
1.Corruption - definition & forms.
exert influence upon the service providers.
2.Sources of Corruption.
 However, this makes social accountability an
3.Challenges of Corruption:
indirect and weak phenomenon because: a) Societal perspective.
a) Voice becomes weak if citizens lack b) Administrative perspective.
awareness or consensus. c) Political perspective.
b) Compact can be compromised because of d) iv. Judicial perspective.
collusion.  Corruption is defined as the abuse of entrusted
 Therefore, it becomes important to strengthen social
power for private gain. Such an abuse can occur in
accountability by educating and enabling the citizens
many different forms such as
to raise their voice while simultaneously keeping a
a) Bribery/Extortion
check on collusive elements. As such, the most
prominent feature in strengthening social b) Nepotism/Favouritism
accountability is a shift from “vote to voice” by c) Influence peddling
integrating citizen concerns and suggestions into the d) Embezzlement
decision-making processes of the State. This can be e) Patronage
done at the stage of policy formulation, policy  Although its magnitude and motives may vary, it is
implementation or impact assessment, depending undeniable that corruption is detrimental from the
upon the element of responsibility displayed by perspective of legality, morality and equality
administration.  Corruption is a complex and multidimensional

Stage Tools phenomenon that exists due to a correlation b/w

Policy Formulation •Participatory Planning /
Budgeting
• Citizens Charter
• Forum for Public Suggestions
Policy Implementation & • Citizen Monitoring
Monitoring • Public Expenditure Tracking
• Social Audit
•Grievance Redressal Mechanism
Impact Assessment • Citizens Report Card
• Community Scorecard
• Public Hearings
 RIGHT TO SERVICE BILL (2011)
1. Specifies a time-frame of 6 months for
publishing a Citizens Charter and provides for its
annual updating.
demand side as well as supply side factors as such, it
requires comprehensive interventions that are
preventive as well as Curative in nature
 A TALE OF CORRUPTION
 Sita: smart, hard-working, honest. Typical Indian
family: salaried parents in pvt. Sector; one younger
brother; all necessities, a few luxuries - happy family.
Completes education, gets job in MNC - work is not
satisfying - decides to join bureaucracy. Prepares in
ORN, meets a boy, decide to marry. Selected for IAS
in 3d attempt; gets married soon.
 5 years later:
 Work is hectic, salary meagre, husband has no stable
work, parent’s retired- few material comforts. Sees
her colleagues misuse their position, but remains

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
honest- enjoys respect & admiration of all. Brother
graduated from good college; struggling to find
employment- parents pressurize her use her position
to get him a Job - Sita succumbs. Surprisingly,
nobody questions her about it- this
 15 years later:
 Gains support of influential people by patronizing
them; gets husband placed on BOD of many pvt.
Firms; acquire a lot of money and property. Luxurious
life, social stature & respect.Starts contemplating a
political career post- retirement.
 20 years later:
 Notices that her children have started acquiring bad
habits, expensive tastes.
 People fear rather than respect her - rumours behind
her back.
 Political parties are urging her to quit and join active
politics.
 21 years later:
 CBI raid - arrested, imprisoned.
 Husband sacked from all firms.
 Children can't fend for themselves.
 Reputation and future destroyed.
 QUESTIONS:-
a) Was Sita corrupt or corruptible?
b) Who could have helped her to remain honest?
c) What encouraged her to remain corrupt?
 ANSWER:-
a) Sita is not corrupt; she is corruptible as all of us in
some degrees could be corruptible. Corruptibility
converts into corruption based upon the quality of
our value system. It gets converted when
a. Person is facing significant hardships
b. When you are given adequate temptation
b) Always look for factors that are institutional and
societal. Her family, husband, parents, brother
No body notice, question, no body try to punish here:-
means institutional factors
 SOURCES OF CORRUPTION
 Corruption is a complex and multi-dimensional
phenomenon. It exists and increases due to a
correlation between 4 elements:
1. ECONOMIC SOURCE
 From an economic perspective, corruption occurs
when some individuals start believing that they can
maximise their own welfare, even at the expense of
others. This can happen because:
a) there are incentives to be corrupt in the form of
high levels of discretion, lucrative temptations,
weak punishment mechanisms, monopolistic
nature of functions etc.
b) there are disincentives against remaining honest
in the form of poor remuneration, weak reward
& recognition mechanisms, possibility of
victimisation etc.
 In such circumstances, corruption is perceived as a
low-risk, high-return activity. The possibility of a
corrupt act being detected, reported and suitably
punished is low. On the other hand, the returns from
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
being corrupt can be exponentially high, which seems
to justify the risk of engaging in an act of corruption.
2. INSTITUTIONAL SOURCE
 Individuals are more likely to become corrupt when
they perceive the institutional standards to be weak
and the existing work culture to be poor. This can
happen because:
a) Officials have high levels of discretion and
disproportionate control over information and
decisions.
b) Citizens lack accessible and functional grievance
redressal mechanisms.
c) Accountability is not enforced due to a nexus
between the officials. To the contrary, officials
make efforts to discourage or even intimidate
citizens from filing complaints.
d) Organisational superiors allow, encourage and
even command corruption.
 In such circumstances, deliberate efforts are made to
keep the quantity and quality of services poor, while
simultaneously improving their delivery through
alternate and illicit channels. This leads to
institutionalised systems of corruption where, if an
individual is unwilling to participate, the legitimate
channels will cause him severe inconvenience and
harassment (Coercive Corruption).
3. SOCIETAL SOURCE
 Institutions are unlikely to make serious efforts to
curb corruption unless there is strong and sustained
societal intolerance against corruption. However,
such intolerance is often found lacking because:
a) Many people believe that the networks of
corruption are more efficient than the regular
channels of governance. This becomes especially
true when the supply of the desired services is
limited or when their quality is poor. In such
circumstances, corruption becomes necessary to
get access to scarce resources.
b) Citizens are not ashamed to perceive corruption
as a convenient necessity to get access to scarce
services or even services that they are not
entitled to. To this end, they are voluntarily
willing to offer a bribe, even when there is no
demand for it (Collusive Corruption).
c) Societal standards degrade to such an extent that
people become desensitised to corruption. They
not only ignore its existence, but also teach and
glorify it. In the process, future generations
accept corruption as an unchangeable way of
life.
 However, citizens must realise that their tolerance of
corruption further incentivizes corrupt officials to
sustain rather than to control corruption. Over a
period of time, this leads to growing inequalities in
society, rampant misuse of power and position,
mockery of law and order, undeserving role models,
ignorance of civic duties etc.
4. INDIVIDUAL SOURCE
 The fundamental source of a system’s corruption is
the individual. All individuals are not corrupt but may
be corruptible in different degrees. The factor that
determines the conversion of corruptibility to corrupt
48
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
actions is moral character. Character is likely to READING TO BE DONE:-
deteriorate when:
a) Learning systems ignore value education and
 National Commission to Review the Working of
character-building interventions. the Constitution
b) There is frequent negative reinforcement or a  "Consultation paper on Probity in Governance"
lack of support from the environment.  - Chapters 1, 2, 3B.
c) Temptations and hardships are compelling in …….11th class ended,12th starts…...
nature. This becomes especially true when even
basic necessities are not being met and survival is CASE-02
at stake.  Ram is a poor but meritorious student; got
d) The focus of anti-corruption efforts is restricted admission into reputed PG course; awarded
to the bribe-taker and the role of the bribe-giver govt. scholarship.
is not appropriately addressed.  Official who has to release the scholarship is
 This makes it vital to promote effective character demanding a bribe, citing some technical
building. As Bertrand Russell states, “Without civic irregularities in the paperwork. Last date for
morality, communities will perish. Without personal
admission is nearing.
morality, their survival has no value”.
a) What is the source of the problem?
SOURCES OF CORRUPTION b) What will aggravate the problem?
SOURCE PROBLEM c) What would his well-wishers suggest?
1. ECONOMIC Tendency to maximise own welfare  Answers:-
(pareto optimality)  Poor institutional standards are the source of
2. INSTITUTIONAL Weak standards; (poor standards)
problem, as discretion is given to official of
Poor culture
releasing funds not directly transferred to Ram.
3. SOCIETAL Lack of societal will
 If Ram pays the bribe.
Tolerance towards corruption
4. INDIVIDUAL Weak moral character; SOURCE ISSUE
High degree of corruptibility SOCIETAL  Belief that corruption is efficient, esp.
SOURCE ISSUE when supply is limited or quality is
ECONOMIC  Incentives to be corrupt. poor.
 Disincentives against honesty.  Citizens are not ashamed to perceive
 Low-risk, high-return activity. it as a convenient necessity (Collusive
Corruption).
INSTITUTIONAL  Officials have control over
 Societal standards degrade - teach
decisions.
and glorify corruption
 Lack of GRMS + Nexus = no
A/C. (GRMS:- Grief and INDIVIDUAL  Everyone isn't corrupt but may be
Redressal Mechanism) corruptible.
 Superiors allow/command  Value education ignored.
corruption.  Negative reinforcement from
 Service quality kept poor, environment.
delivery through illicit channels  Temptations & hardships are
is improved.
(Coercive corruption) CASE-02
 CASE-01  Ram is a 25 year old, who has recently started a
 During election duty at a check post, the SP seizes the promising career in a reputed MNC.
car of a ruling-party MLA for carrying large amounts  One day, he meets with an accident. At the hospital,
of cash. the doctor tells his family that due to the rush of
 Before an FIR can be filed, the MLA calls up the SP- patients, Ram will have to wait a few hours before he
makes lucrative offers & threatens him of dire can be operated upon. However, if they are willing to
consequences. The DGP also expresses similar pay a nominal bribe of Rs. 5000, he will be operated
sentiments and tells the SP to be "practical", not to upon immediately.
become a hero/martyr. a) Is paying the bribe the correct course of action?
 QUESTIONS:- b) What if a family does not have the money?
a) What should the SP do? c) If they pay the bribe, what will they tell others?
b) Can anyone undo the FIR once it is filed?  ANSWERS:-
 ANSWERS:-  No
a) CASE-04
 In any society, country etc, corruption starts first
 Ram is a 25 year old tailor, who was recently married.
from an economic point of view to maximise own His wife is expecting a child soon.
welfare  One day, he is killed by a speeding car. The car was
 Individual must be principled but not stubborn driven by a drunk minor, who flees the spot. The
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
family goes to file an FIR, but the SHO tells them that (for instance in voting patterns), rather than
the minor's family has already approached him with merely giving preference to common social ties.
an offer of Rs. 1 crore to hush up the matter. The SHO c) promote collective participation towards
assures Ram's family that if they can match the offer, common goals (such as healthcare, education,
he will ensure that Ram gets justice. law and order etc.). When a community commits
a) Is paying the bribe the correct course of action? itself to common goals, it increases mutual trust
b) What if the family does not have the money? and reduces the possibility of conflict. This makes
c) Whose role is most vital here? it difficult for malicious elements to engage in
 ANSWERS:- corruption, because any malpractices would be
 No promptly opposed.
d) promote good role models in all walks of life.
SOURCE SOLUTION
When an individual is faced with a problem, a
INDIVIDUAL Character building
role model, through their words, thoughts and
Low degree of corruptibility
actions, provides clarity regarding what the right
SOCIETAL Intolerance of corruption; stigma
course of action would be.
INSTITUTIONAL Strong standards; positive cultures
2. HERD MENTALITY
ECONOMIC Focus on public welfare
 When a society has a strong herd mentality, people
 CHALLENGES OF CORRUPTION lack the ability to think for themselves and blindly
 Since corruption depends on supply as well as follow others in most decisions. By extension, they
also believe that corruption is an unavoidable part of
demand side factors, attempts to curb it should not
life. Instead of opposing it and seeking corrections,
be restricted to a simplistic approach. The
fundamental challenge of corruption is to encourage they accept it and willingly participate in it.
 Indian society has a strong herd mentality, which
citizens to resist corruption and to simultaneously
gives primacy to societal opinions. This is further
stimulate the govt. to take meaningful remedial
compounded by an education system that does not
action. This requires a combination of preventive and
punitive measures, involving the active participation promote independent thinking and relies excessively
of the Society, Polity, Administration and Judiciary. on rote learning. The primary criterion for success is
material gain, with little concern for the means
1. Societal perspective.
through which such gains are acquired.
2. Administrative perspective.  In this context, it becomes important to:
3. Political perspective. a) develop good child rearing practices that
4. Judicial perspective. promote contentment and self-fulfilment rather
 Society becomes vulnerable to Corruption than only copying others. Unconditional positive
when... support from the family, especially when one is
FACTOR IMPACT attempting to challenge prevailing norms, is vital
to sustain individual efforts.
It is divided, intolerant. Nepotism;
b) ii) develop a social stigma against the bribe-giver
Patronage
also. This is especially important to help people
People have a herd Accept corruption as a way
understand the difference between right and
mentality. of life.
wrong.
People are needy or greedy Wants > Needs.
People are passive & No complaints.
3. NEED AND GREED
 When a country has limited resources, many people
pessimistic
resort to corruption only because they need to get
The culture is too lenient Easy to get forgiveness
access to scarce services. Such helplessness can be
A. SOCIETAL PERSPECTIVE:- addressed by improving the quantity and quality of
1. DIVISIVE SOCIETAL NORMS services. The more critical concern is when people
 A society becomes vulnerable to corruption when it is who are well-off feel a sense of inadequacy and
divided and intolerant. A fragmented society is resort to corrupt means to get ahead of others.
 This usually happens because people suffer a sense of
characterised by the presence of self-serving splinter
groups that compete for access to scarce resources relative deprivation. In absolute terms, they may be
and opportunities. This results in a growing incidence better off than others. Yet, in relative terms, they feel
of nepotism, favouritism and patronage. deprived compared to others. Such tendencies are
further aggravated because of a growing gap
 In this context, it becomes important to:
between aspirations and abilities. In such
a) promote good value education, to develop
circumstances, corruption emerges as an easy
strong and positive values.
alternative to bridge the gap between aspirations and
b) educate people to realize that their existence is
abilities.
mutually dependent upon others. Public good
 In this context, it becomes important to:
can be ensured through capabilities, not social
a) improve the quality and quantity of essential
background. This makes it vital to promote a
services, so that people assured of atleast the
genuine recognition and appreciation of merit
basic necessities.

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
b) reduce the sense of relative deprivation within  In this regard, it is essential for society to adopt a
individuals through good value education, formal zero-tolerance attitude towards corruption and to
as well as informal. make its displeasure known by attaching severe
c) place special emphasis on inculcating values that stigmas to such acts. By making a public example of
emphasize self-realisation, contentment, dishonest individuals, society can create a favourable
personal improvement, sacrifice, hard work, social climate that discourages corruption.
patience etc. PARAMETER WHAT IS HOW
4. PASSIVITY & PESSIMISM NEEDED
 Although a large number of people admit that they Divisive -Foster Unity - -Proper value
have witnessed or even engaged in corruption, very societal norms Promote Merit. education.
few actually complain about it. Unfortunately, -Role models.
corrective action cannot be taken unless a complaint -establish Common
goals.
is made. Such passivity on the part of the citizens
Herd mentality Independent -Good CRP (Child
arises because of:
thought. rearing practices) -
a) The belief that one individual’s efforts will not positive regard
make any difference. -Social stigma (bribe
b) The misconception that if a person does make an giver).
effort, the results should be immediate and Need v/s Greed Better services. -Value education.
visible. Overcome sense -Balance b/w
c) The unwillingness to undergo the inconvenience of relative aspirations & potential.
that is necessary for any remedial action. Thus, deprivation
this responsibility is often expected from others. Passivity & Citizen -Inform & facilitate.
Pessimism Engagement -Safeguard.
 Such passivity is further compounded by pessimism
-Incentivize (False
which occurs because of:
Claims Act)
a) The belief that even if a person does make an
effort, the probability that appropriate action will  Bureaucrats are prone to corruption
be taken is low. because of...
b) The fear and risk associated with challenging the FACTOR IMPACT
established power dynamics and vested Unclear understanding of Unquestioning obedience.
interests. role/duties.
 Thus, citizens are content in merely getting access to Excessive political Seek patronage.
a service, with little concern for the manner in which interference.
it is delivered. However, since the Govt. by itself Centralization and Misuse for personal gains
cannot identify or punish malpractices unless they discretionary powers.
are reported, it is essential to promote citizen Monopolistic nature of No incentive to improve
engagement by: functions. service quality
a) Informing citizens about their entitlements .e.g. Weak disciplinary action. Immune to A/C.
through Information & Facilitations Centres, RTI,
Citizens Charters etc. B. ADMINISTRATIVE PERSPECTIVE.
b) Facilitating their feedback, in the form of 1. ROLE CLARITY:
suggestions or complaints, to the Govt., for  Many officers who join the administrative system
instance through functional Grievance Redressal have a very limited understanding of the roles they
mechanisms, social audits etc. are expected to perform. They imbibe this
c) Providing mechanisms to safeguard those who understanding from the prevailing culture, which
report such malpractices e.g. whistle-blower often focuses on what they can extract from the
protection. system, rather than also on what they are expected
d) Providing incentives for participation. A to contribute. As such, their principal orientation
significant example in this regard is the US False remains confined to unquestioning obedience and
Claims Act which encourages citizens to servility towards their superiors. This earns them the
scrutinize govt. actions and report instances of patronage of their superiors but significantly
corruption by rewarding them with 15-35 % of compromises the performance of their duties.
the penalties recovered.  The lack of role clarity is further compounded by the
5. LENIENT CULTURE fact that officers enjoy high levels of discretion but
 Indian culture, characterised by strong social face declining real salaries. This makes them
embeddedness, is traditionally lenient and forgiving extremely vulnerable to the necessities of need and
in nature. The mere act of asking for forgiveness the temptations of greed. While needs can be fulfilled
often leads to a pardon, regardless of whether or not through periodic revisions in pay and service
the person has actually repented for his actions. This conditions, greed is inherently individualistic and
encourages or atleast does not sufficiently discourage limitless. It thus necessitates a holistic approach that
the reoccurrence of inappropriate conduct, thus focuses upon identifying, nurturing and sustaining the
reinforcing incidental behaviours into habits. appropriate values. This can be achieved by:

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
a) Strengthening the organisational structure 4. MONOPOLISTIC NATURE OF FUNCTIONS:
through improvements in the mechanisms of  The monopolistic nature of administrative functions
recruitment, training, appraisal etc. This will does not provide incentives for improving
ensure that only honest individuals with a performance or staying honest. Officials take undue
progressive service-orientation hold positions of advantage of the fact that citizens do not have any
authority. other viable alternative to get access to the service
b) Strengthening the organisational culture, and treat the public office as an extension of their
especially by establishing strong deterrents in the private space, for pursuing personal agendas.
form of swift and exemplary punishment. This  In this regard, there is a need to:
will discourage any questionable conduct and a) Review and downsize the role of the state
encourage individuals to instinctively adopt wherever possible through measures such as
ethically appropriate habits. disinvestment, PPP etc.
c) Widening the ambit of the Conduct Rules for the b) Develop indicators that enable an assessment of
All India and Central Services. The Rules are the productivity and sustainability of the public
currently restricted to only providing a list of services through measures such as a Public
prohibited activities. This should be broadened Service Management Code.
by specifying the fundamental principles that
5. DISCIPLINARY ACTION:
should guide a civil servant, for instance by
 At present, disciplinary action against officers is
publishing a Code of Ethics for bureaucrats.
either weak or excessively slow in operation. This
2. POLITICAL INTERFERENCE: emboldens dishonest officers to believe that they are
 Since the politician represents the mandate of the immune to any mechanism of accountability. For
people, the administrative system is always instance, Art. 311 of the Constitution seeks to
considered subordinate to the political system. safeguard civil servants from arbitrary misuse of
However, this grants politicians significant powers discretion by providing that they cannot be removed
over an officer, including the authority to transfer, by an authority subordinate to that which appointed
suspend, promote etc. When such powers are used them. However, the real intent of Art 311 is
injudiciously, even honest officers face tremendous significantly compromised when dishonest officers
pressure to seek political patronage to maintain use it to delay and even escape justice.
stability in their personal and professional lives. Such  In this regard, it is required that where an officer has
patronage often demands unquestioning loyalty to been found guilty of a wrong-doing, the mechanisms
the personal agendas of the politician, rather than of punishment are swift, impartial and exemplary.
public welfare. This can be achieved by:
 In this regard:
a) Reviewing and rationalising Constitutional and
a) Officers can be insulated from excessive political
legislative provisions to ensure a balance
interference by granting them stability and
between accountability and autonomy.
security of tenure.
b) Strengthening internal vigilance by providing
b) The decisions taken by a political superior can be
stringent guidelines for time-bound and unbiased
cross-validated through multi-member bodies
departmental enquires.
(such as a Civil Services Board). This is especially
PARAMETER WHAT IS NEEDED HOW
vital when the matter is sensitive in nature.
Role clarity Integrity O structure (R/T/PA)
3. CENTRALIZATION AND DISCRETION: Intellectual strength O Culture
 Excessive centralization creates delays in the Code of Ethics
decision-making process and also increases the scope Political Cross validation Stability of tenure
for corruption, because a corrupt official at any level Interference Multi-member bodies
of the hierarchy can stall a decision in expectation of for transfer/promotions
a bribe. Centralization Rationale Standardization of
 The problem of centralization can be addressed by Discretion norms
E-Governance
promoting decentralisation, but this increases the
Multi-member
chances of misuse of discretion. Further, a greater committees
degree of decentralization makes honest officer more Monopoly Promote Disinvestment
directly susceptible to pressure. competition PPP
 In this regard, it is suggested that: Downsize Better indicators
a) Where the functions are predictable/mechanical disciplinary Time bound Deptt. enquiries
in nature, the discretion given to officers should  Politicians are prone to Corruption because of...
be reduced by standardizing rules and FACTOR IMPACT
procedures.
Their credentials are not Criminalization of politics.
b) Human interface should be reduced through the
assessed. (Educational/
use of IT-based interventions such as e-
Criminal/Financial)
governance platforms.
The costs involved in Reciprocal relations
c) Sensitive decisions should not be not entrusted
contesting an election are
to the discretion of individual officers but should
very high.
be assigned to multi-member committees.
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022 52
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
The electorate is fractured Identity-based politics.
on trivial issues.
Voters are affected by Dynastic politics.
spectacle more than
substance.
C. POLITICAL PERSPECTIVE
1. Credentials
 When candidates with poor credentials contest
elections, it not only damages public trust in the
polity but also increases the chances of institutional
mechanisms being misused. Yet, the political system
allows entry to individuals who are not even literate,
are charged with crimes and whose financial
transactions are suspect. The very same individuals
are responsible for enacting laws and directing the
bureaucracy. Therefore, there is an urgent need to
introduce institutional changes that enable the voter
to choose from among irreproachable individuals,
who can serve as not just political representatives but
become respectable leaders and statesmen.
 This can be achieved by:
a) Widening the exercise of assessing a candidate’s
background by not only obtaining their financial
and criminal antecedents, but also instituting an
enquiry into factors that seem suspicious.
b) Legislative amendments (in the Representation
of Peoples Act and the Constitution) that
disqualify persons facing charges related to grave
offences or corruption. If there is a possibility
that false charges may be used to deliberately
debar a person from contesting, fasttrack courts
can be specially constituted for such matters.
c) Providing voters with the NOTA option at the
time of voting and the Right to Recall later. This
will ensure responsible choices on the part of
political parties when they are fielding
candidates for an election. Even if a politician’s
misconduct cannot be proven, the lack of
appropriate conduct or competence should be
adequate to impose political costs on the party.
d) A Code of Conduct for Ministers as well as
Legislators can be developed to establish
provisions related to issues such as conflicts of
interest, acceptance of gifts, involvement in
business activities etc.
2. Funding
 The significant costs involved in contesting an
election often translate into reciprocal relationships
with financial donors. Bribes paid to influential
decision makers are often disguised as donations to
political parties or electoral campaigns. Such
reciprocity not only leads to partiality towards a
privileged few, it also encourages the tendency to
directly engage in corruption.
 In this regard, it becomes important to:
a) disclose, control and audit the funds of political
parties and electoral campaigns to detect and
prevent corruption.
b) Reduce the costs of contesting an election
through State funding of elections. Partial state
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
funding, in kind and for certain essential items,
may also be considered.
3. Identity-based Politics
 Political platforms in India are often identity-based
rather than being issue-based. This makes it easy to
camouflage narrow, personal interests as regional
interests and superimpose unreasonable demands on
the national agenda.
 The issue is further compounded by the fact that the
necessity of maintaining an electoral majority in the
house makes it difficult to control the misconduct of
electoral partners-in the worst of cases, it may even
give rise to legislative horse-trading. Finally, the lack
of consensus among the partners dilutes collective
responsibility and gives rise to endless blame games,
rather than addressing the source of corruption.
 In this regard, it is important to strengthen collective
responsibility by:
a) Assessing collective responsibility and vision in
the light of the common minimum program or
manifesto that was publicised while seeking the
mandate of the people. If the coalition is so
realigned that the goals of the CMP are in risk of
being disregarded, the govt should seek a fresh
mandate. (2nd ARC recommends a Constitutional
Amendment)
b) Political opportunism should be eliminated by
tightening the anti-defection law to not permit
defection in any form (presently, the limit is 2/3).
A welcome step in this regard is the 91st
A.A.(2003) which makes it mandatory to seek re-
election when switching political sides and bars
legislators from holding an office of profit post-
defection (Art. 75-1B; Art. 361 B).
4. Dynastic Politics
 Despite serious allegations of corruption against
politicians, they continue to enjoy legitimacy and
public support. This happens because such legitimacy
depends on the ability to satisfy populist demands
rather than on performance. The charisma of political
personalities and dynasties further reinforces such
legitimacy, explaining how relatively high and stable
levels of corruption are tolerated.
 This promotes corruption in two ways:
a) By maintaining the status quo and inhibiting
changes in value systems.
b) By institutionalizing the need for loyalty towards
such individuals and families, by recognizing their
inevitable claim to power.
 This severely restricts the representative nature of a
democracy and diverts focus towards serving only an
elite minority. This trend can be curbed, to some
extent, by:
a) Promoting participation in elections, especially
amongst the youth.
b) Reservations, to facilitate the entry of previously
unrepresented sections.
c) Delimitation and rotation of constituencies to
dilute the dominance of a select few over the
electoral process.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
D. JUDICIAL PERSPECTIVE
1. Contempt of Court:
 The Indian judicial system faces two major criticisms,
corruption and inefficiency (unduly slow processes).
Citizens are often unaware about their rights, which
incentivizes corrupt judicial officers to demand
bribes/favours for speeding up or slowing down trials.
Even when a judicial verdict seems questionable, it is
accepted without protest since the judge also enjoys
the power to enforce punishment for a contempt of
court.
 In this regard, it becomes important to detect and
curb judicial misconduct by encouraging complaints
and impartial enquiries. The powers of contempt
available to the judiciary can be rationalized through
the institution of a Judicial Ombudsman, who can
accept and investigate grievances on behalf of
aggrieved citizens.
2. Judicial Appointments and Removals:
 Although judicial independence is imperative to
maintain public trust in the fairness of the system, it
also implies that the powers vested in the judiciary
are final and unreviewable. It thus becomes
important to ensure that such powers do not
disproportionately favour members of the judiciary.
The judicious use of powers depends upon the quality
of individuals who are chosen to serve as judicial
officers, as reflected through their appointment and
removal.
 However, the collegiums system remains largely
opaque, with very little information available
regarding the criteria on the basis of which an
appointment was made. Even in the removal of a
judge, the dominance of the judiciary remains high,
since any removal motion passed by a House of
Parliament has to be investigated by a Committee of
3 judges of the Supreme Court and a distinguished
jurist before any further action.
 In this regard, transparency and impartiality can be
incorporated in the proceedings through the
constitution of multi-member bodies that give due
representation to diverse institutions and the
judiciary itself, for instance through a National
Judicial Appointment Commission.
3. Judicial Conduct:
 The judiciary must conduct itself in a manner that is
unambiguously seen as being above reproach, legally
and morally. It must be able to impose upon itself
strict measures of accountability, allowing also for
healthy contributions from external institutions also.
This can be achieved by prescribing broad ethical
standards and guidelines, beyond legal provisions, to
govern the conduct of judges. An instance in this
regard is the Restatement of the Values of Judicial
Life-SC-1997.
 THE “RESTATEMENT OF VALUES OF
JUDICIAL LIFE” :-
 In 1997, the Supreme Court adopted a Charter called
the Restatement of the Values of Judicial Life to serve
as a guide to be observed by Judges, essential for
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
independent, strong and respected judiciary,
indispensable in the impartial administration of
justice. It is a complete code of the canons of judicial
ethics. It is not meant to be exhaustive but
illustrative of what is expected of a Judge.
1. Justice must not merely be done but it must also be
seen to be done. The behaviour and conduct of
members of the higher judiciary must reaffirm the
people’s faith in the impartiality of the judiciary.
Accordingly, any act of a Judge of the Supreme Court
or a High Court, whether in official or personal
capacity, which erodes the credibility of this
perception has to be avoided.
2. A Judge should not contest the election to any office
of a Club, society or other association; further he
shall not hold such elective office except in an
association connected with the law.
3. Close association with individual members of the Bar,
particularly those who practice in the same court,
shall be eschewed.
4. A Judge should not permit any member of his
immediate family, such as spouse, son, daughter,
son-in-law or daughter-in-law or any other close
relative, if a member of the Bar, to appear before him
or even be associated in any manner with a cause to
be dealt with by him.
5. No member of his family, who is a member of the
Bar, shall be permitted to use the residence in which
the Judge actually resides or other facilities for
professional work.
6. A Judge should practice a degree of aloofness
consistent with the dignity of his office.
7. A Judge shall not hear and decide a matter in which a
member of his family, a close relation or a friend is
involved.
8. A Judge shall not enter into public debate or express
his views in public on political matters or on matters
that are pending or are likely to arise for judicial
determination.
9. A Judge is expected to let his judgments speak for
themselves. He shall not give interviews to the
media.
10. A Judge shall not accept gifts or hospitality except
from his family, close relations and friends.
11. A Judge shall not hear and decide a matter in which a
company in which he holds shares is concerned
unless he has disclosed his interest and no objection
to his hearing and deciding the matter is raised.
12. A Judge shall not speculate in shares, stocks or the
like.
13. A Judge should not engage directly or indirectly in
trade or business, either by himself or in association
with any other person.
14. A Judge should not ask for, accept contributions or
otherwise actively associate himself with the raising
of any fund for any purpose.
15. A Judge should not seek any financial benefit in the
form of a perquisite or privilege attached to his office
unless it is clearly available. Any doubt in this behalf
must be resolved and clarified through the Chief
Justice.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
16. Every Judge must at all times be conscious that he is
under the public gaze and there should be no act or
omission by him which is unbecoming of the high
office he occupies and the public esteem in which
that office is held.
 CORPORATE GOVERNANCE
 As the govt. shifts towards a regulating and
facilitating role, the functions that it vacates are
assigned to the private sector. The private sector is  However, small investors cannot overrule the
expected to generate employment, contribute to
taxation revenues, comply with environmental norms
etc. Thus, the responsibility of public welfare has
become a matter of common concern for public and
private institutions.
 In this context, Corporate Governance can be
understood as the structural mechanisms that
establish a balance between the economic and social
goals of a corporation. The primary purpose of
corporate governance is to enable corporations to
create wealth legally and ethically. This requires a
strengthening of the relationships between four basic
stakeholders
 CORPORATE GOVT. STRUCTURE:
 NEED FOR CORP. GOV.
1. Changing role of govt.- Regulator/Facilitator.
2. Gap created by exit of govt. is filled by private
corporations.
3. Public Welfare-responsibility of Govt+ Pvt sector.
4. Corporate Governance:
a) establish balance between economic & social
goals of corporation.
b) enable corporations to create wealth legally &
ethically
 THE STAKEHOLDERS:-
a) Shareholders
b) Management
c) Board of directors
d) Auditors
1. SHAREHOLDERS:
 Shareholders not only invest their money to
provide the capital of a company but also repose
trust in its ability to keep their investments
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
secure. Thus, corporations must maximise
shareholder value and protect their welfare.
 The shareholders of a company can be
considered as small and large investors. Both
enjoy proportionate control over the working of
the company, depending upon the size of their
investment. This is so because the larger the
investment, the greater the risk.
power of the large shareholders because the size
of their investments is negligible, which severely
limits their voting power.
 Large shareholders include business families,
banks, insurance companies etc. By virtue of the
size of their investments, they enjoy significant
control over the decisions of a company, which
creates the risk of such control being misused.
2. MANAGEMENT:
 In a traditional sense, the role of a manager was
confined to the activities described by the
acronym POSDCORB (Planning, Organizing,
Staffing, Directing, Coordinating, Reporting,
Budgeting). But in the contemporary business
environment, management is increasingly
becoming synonymous with leadership.
Managers play a direct role in determining how
a company would respond to activities such as
gender discrimination, fraudulent accounting,
tax evasion, insider trading etc.
3. BOARD OF DIRECTORS:
 The Board of Directors is appointed by the
shareholders to direct the management of the
company and provide the long-term vision for
the company. As such, the growth of the
company depends upon the sense of purpose,
values and the will of the Board. Each member
of the BOD bears similar duties and
responsibilities. However, the composition of
the board must establish a balance between the
expertise and impartiality of its directors. As
such, the structure of the board does distinguish
between directors based upon whether or not
they hold management positions in the
company. Those who hold such positions are
called Executive Directors and those who do not
are called Non-Executive Directors.
 Such a distinction is important since it:
a) ensures the independence of the Board.
b) prevents any potential conflict of interest or
concentration of power.
c) ensures impartiality in enforcing
accountability upon the management
4. AUDITORS:
The auditors of a company are appointed by the

shareholders to inspect its financial statements.
An auditor must be seen as independent of any
55
 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
undue influence to ensure shareholder trust in  CORPORATE GOVERNANCE IN INDIA:-
the reliability of their reports and the financial 1) Clause 49 (listing agreement –SEBI)
health of the company. However, since voting 2) Companies Act
power is concentrated in the hands of large  CLAUSE 49-SEBI
shareholders, it is not always possible to uphold  CLAUSE 49:- To promote corporate excellence in
such independence. Indian industry, SEBI constituted the KM Birla
Committee (1999). Based upon the recommendations
of the committee, SEBI specified the broad principles
of Corporate Governance by introducing Clause 49 in
the Listing agreement of the Indian Stock Exchanges
(2000). Clause 49 provides some requirements that
have to be mandatorily adopted by companies and
some requirements that are non-mandatory or
voluntary in nature.
 Mandatory Requirements:
1. Composition of BOD (Board of directors) -
STAKEHOLDER RELEVANCE CONCERN Independent Directors + One Woman Director.
Shareholder Owners of Small v/s large 2. Code of Conduct for BOD.
company shareholders
3. Whistle-blower Protection Mechanism.
Money + trust
Management Day-to-day Impact on ethical conduct
4. Audit Committee.
operations (tax evasion, pay parity, 5. Senior management should disclose any
gender discrimination) potential conflict of interest to the BOD.
Board of directors Long-term
vision
Expertise + impartiality
Executive v/s Non-
 MANDATORY REQUIREMENTS OF
executive director CLAUSE 49:-
Auditors Inspect & Independence (influence 1. SHAREHOLDER RIGHTS
report financial of large shareholders)
 All shareholders of same series of a class should be
health of
company
treated equally.
 Procedures for general shareholder meetings should
 PILLARS OF CORPOR… GOVERNANCE allow for equitable treatment of all shareholders.
1. Accountability: ensure that the management is  Foreign shareholders should also have voting rights.
accountable to the Board and the Board, in turn,  Company should devise a framework to avoid Insider
is accountable to the shareholders. trading.
 Company procedures should not make it unduly
2. Fairness: protect shareholders rights by
difficult or expensive to cast votes.
ensuring that all shareholders, including the
small investors, are treated equitably. 2. DISCLOSURE AND TRANSPARENCY
 The Company should ensure timely and accurate
3. Transparency: ensure timely and accurate disclosure of information to its shareholders.
disclosure on matters relating to the financial  Channels for dissemination of information should
situation of the company, ownership and provide for equal, timely and cost efficient access to
corporate governance measures. relevant information by users
4. Independence: ensure that the Directors and  The company should maintain minutes of the
Auditors are free from any undue influence by meeting explicitly recording dissenting opinions.
establishing procedures that minimize any 3. COMPOSITION OF BOARD OF DIRECTORS
potential conflicts of interest.  The Board should have an optimum combination of
Executive Directors (ED) and Non-Executive Directors
FOUR PRINCIPLES OF CORP. GOVERNANCE (NED), satisfying the following criteria:
Accountability Ensure that Mgmt. is accountable to a) If Chairman is an ED, at-least half of the Board
BOD & BOD is accountable to should be Independent Directors (ID).
shareholders. b) If the Chairman is an ID, at-least one-third of the
Fairness Ensure that all stakeholders, including Board should be IDs.
small stakeholders, are treated c) If the Board doesn’t half a regular non-executive
equitably. Chairman, at-least half of the Board should be
Transparency Ensure timely + accurate disclosure on IDs.
financial situation of company, d) The Board should have at-least one woman
ownership and corporate governance director.
measures  NOTE: An Independent Director is one who does not
have any material pecuniary relationship (apart from
Independence Ensure that BOD & Auditors are free directorial remuneration) with the company. To
from any undue influence. ensure his independence, it is required that he should

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
not have had such a relationship with the company
in the preceding 2 years and that he should not hold
more than 2% of the shares of the company. e.g. he
should not be a material supplier, service provider,
customer, employee etc. of the company.
4. OTHER BOARD PROVISIONS
a) Board meeting to be held at-least four times a year,
with a maximum gap of 120 days between two
meetings.
b) A director cannot be a member in more than 10
committees and Chairman of more than 5
committees across all the Boards of Indian listed
companies.
c) IDs who resign or are removed, are to be replaced
with new IDs within 3 months or immediate next
Board meeting, whichever is earlier.
d) The Board shall lay down a Code of Conduct for all
Board members and senior management of the
company and they shall affirm compliance with the
code on an annual basis.
e) IDs to be held liable in acts of omission or
commission, which occur in their knowledge.
f) Company has to mandatorily establish a Whistle
Blower mechanism.
5. AUDIT COMMITTEE
 A qualified and independent audit committee, with
atleast 3 members, shall be constituted by the
company. The Chairman of the Audit Committee shall
be an independent director and atleast two-thirds of
the members of audit committee shall also be
independent directors.
 All members of audit committee shall be financially
literate, implying the ability to read and understand
basic financial statements such as balance sheets,
profit and loss accounts, statements of cash flows etc.
 The Chairman of the Audit Committee shall be
present at the Annual General Meeting to respond to
shareholder queries.
 The task of the audit committee shall be to establish
oversight of the company’s financial reporting
process and the disclosure of its financial
information. It shall also recommend to the Board the
appointment, re-appointment, replacement or
removal of the statutory auditor.
6. DISCLOSURES
 The company shall provide proactive disclosures
relating to its accounting standards, risk assessment
procedures, remuneration provided to directors etc.
Also, if senior management personnel have any
financial or commercial transactions that may have a
potential conflict with the interest of the company at
large, they shall disclose the same to the Board.
7. ANNUAL REPORT
 The Annual Report of the company should include a
detailed compliance report on Corporate
Governance. Such a report should specifically
highlight the noncompliance of any mandatory
requirement as also the extent to which the non-
mandatory requirements have been adopted.
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 NON-MANDATORY REQUIREMENTS
OF CLAUSE 49
1. The board may set up a remuneration committee to
determine on behalf of the shareholders the
company’s policy on remuneration for directors.
2. A half-yearly declaration of financial performance
may be sent to the shareholders.
3. The performance evaluation of non-executive
directors could be done by a peer group comprising
the entire Board of Directors. Such an evaluation
could be the mechanism to determine whether to
extend or continue the terms of appointment of
nonexecutive directors.
 COMPANIES ACT (2013)
 The Act is aimed at improving transparency and
accountability in India’s corporate sector. It provides
for business friendly corporate regulation, e-
governance initiatives, Corporate Social Responsibility
(CSR), enhanced disclosure norms and accountability
of management, stricter enforcement, audit
accountability, protection for minority shareholders
and investor protection and activism. Some salient
features of this Act include:
1. 2% of average net profits of last 3 years to be
mandatorily spent on CSR by companies having net
worth of Rs. 500 crores, turnover of Rs.1000 Crores or
net profit of Rs. 5 crores or more. Such companies
shall constitute a CSR committee within its Board of
Directors consisting of minimum 3 directors, including
one Independent Director.
2. Mandatory rotation of auditors.
3. The Board of Directors must have at least 1 woman
director.
4. Director to vacate office if he remains absent from all
the meetings of the BOD held during 12 months
whether with or without seeking leave of absence of
the BOD.
5. At least 1/3rd of the total number of directors should
be Independent Directors.
6. An Independent Director shall be appointed for a
term upto 5 consecutive years and is eligible for re-
appointment. Once the 2 consecutive terms are
completed, the ID shall be eligible for appointment
after a cooling period of 3 years, provided he is not
associated with the company during this 3 years
period in any capacity, either directly or indirectly.
7. A person cannot be a director in more than 20
companies, including not more than 10 public
companies.
8. Mandatory establishment of Audit Committee, which
shall have atleast 3 Directors, with the majority being
Independent Directors.
9. The company cannot advance any loan or provide a
guarantee, to any director.
10. Minority shareholders interest shall be protected by
ensuring that if a company has raised money from
the public and then proposes to change its objectives,
it shall provide an exit to the dissenting shareholders
in accordance with regulations specified by SEBI.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
 COMPANIES ACT (2020 AMENDMENTS)
 The Companies Amendment Bill, 2020 was
introduced to amend the Companies Act 2013 with
the intent of improving the ease of doing business in
India, de-criminalizing various minor offences and
regulating producer companies. This Bill received the
President's assent and was notified in the official
gazette on September 28, 2020.
 Key changes in this Amendment are:
a) De-criminalization of minor offences: Imprisonment
as a consequence of contravention of certain
provisions of the Act has been done away with for
over 46 offences under the Act, in addition to
reducing, modifying and omitting the fines/penalties
for these offences. For example, imprisonment has
been removed as a punishment for contravention of
provisions in relation to buyback of securities,
disclosure of interest by directors, financial
statements and Boards' report, formation of
companies with charitable objects, disqualification of
directors and constitution of audit, stakeholder
relationship and nomination and remuneration
committee.
b) Corporate Social Responsibility (CSR): Companies
that have spent an amount in excess of the
requirements prescribed under the Act (i.e., at least
2% of the average net profits of the company made
during the 3 immediately preceding financial years)
are now permitted to set off such excess amount in
succeeding financial years. Further, companies that
are not required to spend more than Rs. 50 lakhs
towards CSR are now exempted from constituting a
CSR Committee.
c) Remuneration of Independent Directors: Prior to the
Amendment, in case of inadequate profits, only
executive directors/managing director of a company
were entitled to receive remuneration subject to
limits prescribed in the Act. The Amendment provides
that in case a company has no profits or its profits are
inadequate, then non-executive directors, including
an independent director, will be entitled to receive
remuneration up to the extent permissible under the
Act.
 ETHICAL ISSUES IN INTERNATIONAL
RELATIONS:-
 National interest is the prime objective in IR
 Inter connected world issues not restricted to
national boundaries
 Nations should maintain harmony b/w National
and international aspirations
 National interest = intl. peace
 Sovereignty:- of a nation cannot be
compromised
 In an interconnected and interdependent world,
many issues and decisions are not restricted to
national boundaries. Such issues could be
financial, environmental or security-related.
Ideally, each nation is expected to align its
national aspirations in accordance with the
NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
requirements for international peace (Art. 51 &
253).
 However, there may be situations where the
collective interest of the global community
requires some nations to forgo their individual
self-interest. In such situations, no nation or
international organisation can force its will on
another nation as this would disregard its
sovereignty and increase the possibility of
conflict. Therefore, in the event of a conflict
between national and international aspirations,
it is often national aspirations that prevail,
sometimes to the detriment of international
peace.
 UN DECLARATION 1970:-
 This creates the need to identify and promote
appropriate values and principles to guide and
regulate an international exchange. Some such
principles were adopted by the UN Declaration
on the Principles of International Cooperation
(1970):
 Five principles were given by UN
1. Sovereign equality of all nations
2. Right of self-determination
3. Prohibition of use of force
4. Non-interference in domestic affairs of other
countries
5. Duty to cooperate with other nations to
promote international peace.
 However, with regard to adopting, ignoring or
violating any such principles, each nation can
resort to two prominent and contrasting schools
of thought that govern international relations:
 TWO BASIC APPROACHES /THEORIES
FOR INTERNATIONAL ETHICS:-
A. REALISM
 Self-interest takes precedence over ethics
 Ends justify the means; opportunism
 Sole aim is advancement of national interest
 Realism is based on the premise that mankind
itself is self-centred and competitive. By
extension, nations too seek only to promote self-
interest, through military power and economic
leverage. Therefore, the focus of realism is on
promoting national interest at any cost. This
end-goal justifies the use of any and every
means available, without considering the
morality of the means. As such, ethical principles
and concerns are rendered irrelevant.
 While realism may provide immediate and
beneficial results, it also suffers the following
limitations:
a) It focuses largely on material benefits as
opposed to also considering aesthetic issues
such as climate change, human rights etc.
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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
Such issues are considered secondary in c) Spread of democracy, on the belief that
importance and thus, given superficial democracies are less likely to go to war with
treatment e.g. the loss of human lives in each other.
drone strikes is conveniently labelled as  As such, liberalism provides the following
collateral damage, the priority after an advantages:
armed conflict is on infrastructural a) It emphasizes the importance of absolute gains
reconstruction but the exploitation and as opposed to relative gains. In other words,
rehabilitation of women is ignored etc. even though a nation may benefit less than
b) It leads to myopic decisions, which fail to another, the fact that it is benefitting at all is still
comprehend the long-term consequences in national interest. It is these absolute gains
e.g. denying refuge to migrants may be that motivate developing countries to bear the
justified in the short-term by citing security economic costs to reduce their GHG emissions
risks or a strain on national resources, but and cooperate with other nations to mitigate the
such denial would, in the long run, lead to a impact of climate change.
polarisation of the international community b) It promotes peaceful coexistence and
and encourage arms trafficking, human sustainable decisions, based on trust and
trafficking etc. cooperation. This addresses any trust-deficit
c) It results in a zero-sum game where, as each between nations through better information
nation tries to outdo the other, it further sharing and dialogue and is of significant value in
compounds the problem e.g. an arms race, dealing with issues such as border disputes,
which promotes greater instability and demilitarisation, disarmament etc.
mutually assured destruction as opposing c) It encourages ethical considerations and
powers increase their stockpile of weapons altruistic decisions, without merely focussing on
d) It creates a culture of opportunism and the expected benefits. It is such considerations
double standards where, under the garb of that enable meaningful humanitarian efforts
morality or responsibility, only national with regard to natural calamities, refugees etc.
interests are further pursued e.g. d) It assures stability and consistency in
international funding is often granted with international exchanges by giving supremacy to
very difficult conditions attached, military international institutions and law, such as the
interventions are justified in the name of League of Nations, the UN etc.
promoting peace or disarming WMDs etc. e) It encourages efforts to find a mutual consensus,
e) It focuses largely on relative gains, without rather than merely resorting to the use of force
adequately considering and sometimes even e.g. through trade, granting MFN status etc.
compromising the absolute gains e.g. INTERNATIONAL ISSUES & REALISM
nations avoiding their responsibilities ISSUE RESPONSE PROBLEM
towards climate change merely because Climate Secondary issue, Superficial
other nations have to bear a lesser burden. change Relative gains problem efforts,
B. LIBERALISM Short-term
 Mutual cooperation; less conflict Migrants/ Deny + border control, Polarisation,
a) International institutions and law refugees Security risks, Aggravates
b) International trade
Strain on resources problem
Military Hegemony; arms race, Open conflict,
c) Spread of democracy
interventions/ Garb of morality Regime change
 b/w two always choose liberalism, because it is WMD’s
moral, ethical and principled Funding/Aid Attach conditionalities, opportunism
 Liberalism is based on the premise that mutual create
cooperation and benefits are possible in an
international exchange. As such, it rejects the
INTERNATIONAL ISSUES & LIBERALISM
ISSUE RESPONSE PROBLEM
use of power politics and promotes the pursuit
Climate Mutual cooperation, Absolute gains
of shared benefits and secure freedom.
change Common differentiated
 Liberalism is based on three principal factors: responsibility
a) International institutions and law, for a Migrants/ Allow entry, Ethical/altruistic,
peaceful resolution of disputes. refugees Equal, not identical, humanitarian
b) International trade, which encourages treatment
economic interdependence and thus Military Info. Sharing Peaceful
reduces the possibility of conflict. interventions/ Dialogue, coexistence
WMD’s New start

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 NOTES MADE BY AKASH 7589157201 E-5 BATCH STUDENT 2022
Funding/Aid No conditions, consistency
Enabling nature

Human rights Treat humans as ends humanitarian



 LINKAGES
1. Corp. Gov.- need and objectives.
2. Corp. Gov.-Stakeholders & Structure.
3. Need for Ethical considerations in IR.
4. Realism v/s Liberalism.
………………12th Class done , ALL DONE…………

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