Paper-4, Booklet-1, Ethics

PRESENTS THE KEY TO UPSC MAINS 2019 PAPER 4 Copyright © Aspire IAS All rights are reserved. No part of this document may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without prior permission of Aspire IAS.

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PAST YEAR QUESTIONS Q State the three basic values, universal in nature, in the context of civil services and bring out their importance. (UPSC 2018) Q Distinguish between ―Code of ethics‖ and ―Code of conduct‖ with suitable examples. (UPSC 2018) Q What is meant by public interest? What are the principles and procedures to be followed by the civil servants in public interest? (UPSC 2018) Q The Right to Information Act is not all about citizens‘ empowerment alone; it essentially redefines the concept of accountability. Discuss. (UPSC 2018) Q What is meant by conflict of interest? Illustrate with examples, the difference between the actual and potential conflicts of interest. (UPSC 2018) Q ―In looking for people to hire, you look for three qualities: integrity, intelligence and energy. And if they do not have the first, the other two will kill you.‖ – Warren Buffett What do you understand by this statement in the present-day scenario? Explain. (UPSC 2018) Q ―In doing a good thing, everything is permitted which is not prohibited expressly or by clear implication‖. Examine the statement with suitable examples in the context of a public servant discharging his/her duties. (UPSC 2018) Q With regard to the morality of actions, one view is that means is of paramount importance and the other view is that the ends justify the means. Which view do you think is more appropriate? Justify your answer. (UPSC 2018) Q Explain the process of resolving ethical dilemmas in Public Administration. (UPSC 2018) Q What does each of the following quotations mean to you in the present context? (UPSC 2018) a) ―The true rule, in determining to embrace, or reject anything, is not whether it has any evil in it; but whether it has more evil than good. There are few things wholly evil or wholly good. Almost everything, especially of governmental policy, is an inseparable compound of the two; so that our best judgement of the preponderance between them is continually demanded.‖ - Abraham Lincoln b) ―Anger and intolerance are the enemies of correct understanding.‖ - Mahatma Gandhi c) ―Falsehood takes the place of truth when it results in unblemished common good.‖ - Tirukkural Q Conflict of interest in the public sector arises when official duties, public interest, and personal interest are taking priority one above the other. How can this conflict in administration be resolved? Describe with an example. (UPSC 2017) 3

Q Examine the relevance of the following in the context of civil service: (UPSC 2017) a) Transparency b) Accountability c) Fairness and justice d) Courage of conviction e) Spirit of service Q Young people with ethical conduct are not willing to come forward to join active politics. Suggest steps to motivate them to come forward. (UPSC 2017) Q One of the tests of integrity is complete refusal to be compromised. Explain with reference to a real life example. (UPSC 2017) Q Corporate social responsibility makes companies more profitable and sustainable. Analyse. (UPSC 2017) Q ―Great ambition is the passion of a great character. Those endowed with it may perform very good or very bad acts. All depends on the principles which direct them.‖ – Napoleon Bonaparte. Stating examples mention the rulers (i) who have harmed society and country, (ii) who worked for the development of society and country. (UPSC 2017) Q ―If a country is to be corruption free and become a nation of beautiful minds, I strongly feel there are three key societal members who can make a difference. They are the father, the mother and the teacher.‖ – A. P. J. Abdul Kalam. Analyse. (UPSC 2017) Q How will you apply emotional intelligence in administrative practices? (UPSC 2017) Q Strength, peace and security are considered to be the pillars of international relations. Elucidate. (UPSC 2017) Q The crisis of ethical values in modern times is traced to a narrow perception of the good life. Discuss. (UPSC 2017) Q Increased national wealth did not result in equitable distribution of its benefits. It has created only some ―enclaves of modernity and prosperity for a small minority at the cost of the majority.‖ Justify. (UPSC 2017) Q Discipline generally implies following the order and subordination. However, it may be counter- productive for the organisation. Discuss. (UPSC 2017) Q Without commonly shared and widely entrenched moral values and obligations, neither the law, nor democratic government, nor even the market economy will function properly. What do you understand by this statement? Explain with illustration in the contemporary times. (UPSC 2017) GUESS PAPER - TOPICS EXPECTED TO BE ASKED IN THIS YEAR‘S EXAM, BASED ON CONTEMPORARY ISSUES AND PAST YEARS‘ PATTERN, HAVE BEEN COVERED IN DETAIL. 4

ETHICS 5

ETHICS, MORALS AND VALUES VALUES According to the dictionary, values are things that have an intrinsic worth in usefulness or importance to the possessor, or principles, standards, or qualities considered worthwhile or desirable. However, it is important to note that, although we may tend to think of a value as something good, virtually all values are morally relative – neutral, really – until they are qualified by asking, ―How is it good?‖ or ―Good to whom?‖ The ―good‖ can sometimes be just a matter of opinion or taste, or driven by culture, religion, habit, circumstance, or environment, etc. Again, almost all values are relative. The exception, of course, is the value of life. Life is a universal, objective value. We might take this point for granted, but we all have the life value, or we would not be alive. Life is also a dual value – we value our own life and the lives of others. Values are the foundation of a person's ability to judge between right and wrong. Values include a deep-rooted system of beliefs. They have intrinsic worth, but are not universally accepted. This system allows each individual to determine what should and shouldn't be. These fundamental beliefs are the barometers that go on to guide a person's decisions. Values don't necessarily need to be \"system wide\" in a group of people. Rather, they tend to be a personal, individual foundation that influences a particular person's behaviour. EXAMPLE For example, if someone's value system is founded upon honesty, they would probably make a proper judgment between cheating on a college entrance exam (wrong) and studying hard to ace a college entrance exam (right). Conversely, if someone valued achievement and success over honesty, that person may opt to cheat on the exam in order to achieve the desired result. This relates to which value is \"worth more\" to the individual. 6

CORE VALUES Core values are the fundamental beliefs of a person or organization. These guiding principles dictate behaviour and can help people understand the difference between right and wrong. Core values also help companies to determine if they are on the right path and fulfilling their goals by creating an unwavering guide. There are many different examples of core values in the world, depending upon the context. Core Values about Life Often, when you hear someone discuss why they fell in love with their other half, they will mention that they have the same values. In this case, they are often talking about core values, or internal beliefs that dictate how life should be lived. Some examples of core values people might have about life include the following:  A belief, or lack thereof, in God or an affiliation with a religious/spiritual institution  A belief in being a good steward of resources and in exercising frugality  A belief that family is of fundamental importance  A belief that honesty is always the best policy and that trust has to be earned  A belief in maintaining a healthy work/life balance Parents also try to instil these types of positive core values in children in an effort to give them guiding principles for living a good life. Of course, core values aren't always positive. Some people may be driven by self-interest or greed, and these are core values, too, if they dictate the way the people live their lives. Negative attitudes and core values can also develop when people live in fear or insecurity and are forced to focus on survival in difficult circumstances. Some examples of negative core values include the following:  A belief that the world is a fundamentally brutal place and that only the strong survive.  A belief that people are powerless to change their fates or personal situations.  A belief that you don't deserve good things or relationships in life.  A belief that other people are fundamentally untrustworthy and unloving.  A belief that life is meaningless. 7

Corporate Core Values Companies can have core values as well. These are the guiding principles that help to define how the corporation should behave in business and perhaps beyond, if they have an additional mission to serve the community. Core values are usually expressed in the corporation's mission statement. Some examples of core values for a company include:  A commitment to sustainability and to acting in an environmentally friendly way. Companies like Patagonia and Ben & Jerry's have environmental sustainability as a core value.  A commitment to innovation and excellence. Apple Computer is perhaps best known for having a commitment to innovation as a core value. This is embodied by their \"Think Different\" motto.  A commitment to doing good for the whole. Google, for example, believes in making a great search engine and building a great company without being evil.  A commitment to helping those less fortunate. TOMS Shoe Company gives away a pair of shoes to a needy person for every pair it sells in an effort to alleviate poverty and make life better for others.  A commitment to building strong communities. Shell oil company donates millions of dollars to the University of Texas to improve student education and to match employee charitable donations. 8

Identifying Core Values No company will advertise negative core values, of course, but you can judge what really lies at the heart of a business' mission by examining how they act when it counts. A core value is only true if it has an active influence and if the people or company manage to live by it, at least most of the time. It's also important to remember that individuals don't necessarily choose their core values. Many people have these values instilled in them by the way their parents and the community around them. You may already live by strong core values without realizing it. To get a sense of what your core values are, ask yourself what activities bring you the most joy, or what you couldn't live without. What gives your life meaning or what do you want to achieve? If you can articulate those answers, you'll likely see a pattern that you can boil down into a single concept, such as a consistently positive attitude or using your creativity to make the world a better place. 9

MORALS Morals are formed out of values. They're the actual system of beliefs that emerge out of a person's core values. Morals are specific and context-driven rules that govern a person's behaviour. Because this system of beliefs is individually tailored to a person's life experience, it's subject to opinion. EXAMPLES OF MORAL DILEMMA 1. Given the personal nature of morals, someone might deem an action to be \"good\" even if it's breaking a law. For example, what if a daughter couldn't afford the life-saving medicine her dying mother needed but she, somehow, had access to the storeroom where the medicine was housed? In this instance, her core values might tell her stealing is wrong. However, her morality would tell her she needs to protect her mother. As such, the daughter might end up doing the wrong thing (stealing, as judged by her values) for the right reasons (saving her mother, as judged by her morals). 2. Morals are formed out of a person's values. Values are the foundation of a person's ability to judge between right and wrong. Morals build on this to form specific, context-driven rules that govern a person's behaviour. They're formed from a person's life experience and are subject to opinion. For example, someone's morals might indicate they're opposed to murder. That's a pretty general rule of thumb. But what about something more mundane? While one person's morals might tell them not to gossip, another person's morals might be quite different. They might not consider gossip to be a bad thing. Consider the following examples of morals and see how many line up with your core values and beliefs. AMORAL v/s IMMORAL Be careful with the terminology in this category. Sometimes, the words \"amoral\" and \"immoral\" are interchanged. However, they're quite different. If someone is amoral, they have no sense of right and wrong. They don't have the foundation that comes with a sound set of values. Meanwhile, if someone if immoral, you can be sure they know right from wrong. They're just choosing to do the wrong thing. 10

ETHICS A person who knows the difference between right and wrong and chooses right is moral. A person whose morality is reflected in his willingness to do the right thing – even if it is hard or dangerous – is ethical. Ethics are moral values in action. Being ethical is an imperative. It is a lifestyle that is consistent with mankind‟s universal values as articulated by the American Founding Fathers – human equality and the inalienable right to life. Ethics are the vehicle to our morals. Ethics enact the system we've developed in our moral code. As such, someone will behave ethically or unethically. For example, someone's ethics will prevent them from taking action and telling a bold-faced lie or stealing something that doesn‘t belong to them. We can consider morals as the rulebook and ethics as the motivator that leads to proper or improper action. Professional Ethics We tend to link morals to matters of religion and spirituality. Meanwhile, ethics are closely linked to matters pertaining to medicine or law. We know doctors are held to a strict code of ethics when they swear the Hippocratic Oath. Similarly, an organization like PETA literally stands for \"People for the Ethical Treatment of Animals.\" ETHICS MORALS VALUES To have an ethical viewpoint, you should be able to give some reason for it. Ethics is Moral Philosophy, and Philosophy is all about reasoning. For example, you might feel that it is morally wrong to steal, but if you have an ethical viewpoint on it, it should be based on some sets of arguments and analysis about why it would be wrong to steal. To be moral is all about adhering to what is described (by society or religion). But to be ethical, you should figure out what is right – by applying some principles and considering all the complexities involved. 11

DIMENSIONS OF ETHICS META ETHICS  Deals with questions like 'What is meant by being right?' OR 'What is meant by being wrong?'  Deals with the definition of right and wrong.  Meta means about the thing itself. So, Meta-Ethics is Ethics about Ethics. Example: What is meant by a wrong action? PRESCRIPTIVE ETHICS (NORMATIVE ETHICS)  Deals with questions like 'Is that action right (ethical)? OR 'Was that act wrong?'  Checks if the action/outcome of an action fits into the definition of right or wrong.  Deontological Ethics (focus on action/duty), Teleological Ethics (focus on the outcome/end), and Virtue Ethics are the sub-branches. Example: Is it wrong to kill a person? DESCRIPTIVE ETHICS (COMPARATIVE ETHICS)  Deals with peoples beliefs about morality.  Deals with what society thinks as among you think good or bad.  It is an empirical investigation of the moral beliefs of various groups. Example: How many among you think that it is wrong to kill a person? APPLIED ETHICS  The most practical branch of ethics.  Deals with ethical questions specific to practical fields.  Includes bio ethics, legal ethics, business ethics, medical ethics etc. Example: Is it ethical to allow euthanasia? 12

FOUR MAIN DETERMINANTS OF ETHICS 1. ACTION: It can be evaluated as right or wrong. e.g Telling the truth is evaluated as right act whereas lying as a wrong act. However some acts may be morally neutral and may not be evaluated as right or wrong e.g. Choice of Music. Again some acts can be supererogatory (highly altruistic act). These acts may go beyond the call of duty. Theories that emphasise on principles of actions are called deontological according to which principles of actions have inherent value (end in themselves). The most famous exponent is Kant. 2. CONSEQUENCE: Ethical theories that take consequence into considerations to determine the rightness or wrongness of an act are called teleological. 3. CHARACTER: Theories that emphasize more on the character of the agent than the rules are called virtue ethics, example - Aristotle's ethics. 4. MOTIVE: For a proper moral evaluation motive of the agent must be taken into account. OTHER DETERMINANTS OF ETHICS: 1. CUSTOM: It has contributed significantly in evolution of society. Actions in sync with custom are termed as ethical. Custom is group morality where it is externally imposed and is not inherent to an individual. 2. CONSCIENCE: Counter to group there is an inherent belief. Individual formulation has its source in conscience - A rational voice coming from within. Various viewpoints related to conscience are:  It is the voice of rationality.  It is the voice of God.  It is the voice of custom itself: Individual is not born in void. The kind of socialisation/naturalisation that one is subjected to, leads to such voice.  It has the inherent capability to reflect, explore, examine, investigate, and not take things for granted. The voice of conscience is not the final answer. It is merely a capability to reflect. 3. INTUITION: It has moral sense and aesthetic sense (beauty component decides what is right or wrong). 4. LAW: Ethical discourse and legal discourse are different. Through law we know to some extent what is wrong or right. It is motivated by carrot and stick approach. It leads to external 13

enforcement of norms and values. It doesn't allow one to grow as a human being. There should be a voluntary engagement. Self condemnation and self praise are guiding factors. 5. PLEASURE Behaving not according to: Moral → Guilt Ethics → Societal Fear Attitude → Dissonance Values → Conflict 14

ATTITUDE When values are applied on concrete object it becomes attitude or in other words application of values becomes attitude. It has definite shape. We know a person more through attitude than values even though values are central to a person's personality. Attitude helps in predicting the exact behaviour of a person. Attitudes are learned, enduring predispositions to respond consistently either in favourable or unfavourable manner towards objects, persons, events or a class of objects, events or persons. It is a product of socialisation, and is long lasting and consistent. It can be positive or negative. Attitudes are evaluative because emotions are involved. BELIEF VALUE ATTITUDE BELIEF VALUE ATTITUDE  Belief is what we  Value is what we think ‗should  Attitude is our like / dislike think about things. happen‘. for an object, event, organization or person.  e.g. IPL is corrupt.  e.g. Corruption is bad. Honesty is best policy.  Belief (IPL Corrupt) + Value (Honest is best) = frame our  Value can be ‗desirable‘ or attitude towards event/people. ‗undesirable‘.  In above example, person‘s  They guide our behaviour. attitude will be of Hatred / cynicism towards cricket,  Values can be for individual, cricketers, products endorsed group, organization and by those cricketers. nation, while virtues are associated only with an individual (e.g. physical fitness=> courage.) 15

ATTITUDE AND BEHAVIOUR Environment plays a great role in shaping our final behaviour. There is often a clash between attitude and environment. Which will prevail depends upon the relative strength or cost-benefit analysis. Attitude should be based on objective reality and not distortive reality. Examples:  If the govt policy supports women participation in labour force and your attitude is also in sync with govt policy then it leads to positive reward from govt and gives a sense of satisfaction.  If the govt policy supports women participation but you hold opposite attitude then either you will refuse and face punitive action or will reluctantly agree.  If the govt doesn't support women participation and you hold negative attitudes towards women then it is a dangerous scenario.  If the govt doesn't support women participation and you support then allowing women will earn you wrath from govt but will give a sense of satisfaction. EFFECTS OF A NEGATIVE ATTITUDE  Negativity can change the way you look at the world and keep you from enjoying the things that used to bring joy.  It stops you from trying new things that may be spectacular.  Negativity can keep you from maturing and learning how to cope with the challenges of life.  It can lead to loneliness, depression, and stress.  Negativity can take away energy and motivation. Instead of being a go-getter, you become hopeless and simply cannot help yourself.  From a physical standpoint, negativity, unhappiness, and stress weaken the immune system. When this happens, you can become susceptible to many diseases, from the common cold to chronic pain. 16

HOW TO CHANGE ATTITUDE? Attitudes can be changed if a person consistently receives the information that invalidates their existing belief structure. In such situations these individuals are likely to correct their existing belief system and establish a more logical, cognitive structure. It can't be changed overnight as it is the product of socialisation and consists of deep seated values and emotions. A sudden attempt to reverse the attitude may be met by resistance as a change in attitude leads to mental dissonance. Example: Earth is round; the sex of a child is determined by men and not women. Reinforcement, both positive and negative also play a key role in changing attitude and behaviour. The various theories that can be used include: Learning Theory of Attitude Change: Classical conditioning, operant conditioning, and observational learning can be used to bring about attitude change. (1) Classical conditioning – create positive emotional reactions to an object, person, or event by associating positive feelings with the target object. (2) Operant conditioning – strengthen desirable attitudes and weaken undesirable ones. (3) Observational learning – let people observe the behaviour of others so that they change their attitude. The theory of persuasion: This theory of persuasion suggests that people can alter their attitudes in two ways. First, they can be motivated to listen and think about the message, thus leading to an attitude shift. Or, they might be influenced by the characteristics of the speaker, leading to a temporary or surface shift in attitude. Messages that are thought-provoking and that appeal to logic are more likely to lead to permanent changes in attitudes. Dissonance Theory of Attitude Change: As mentioned earlier, people can also change their attitudes when they have conflicting beliefs about a topic (cognitive dissonance). In order to reduce the tension created by these incompatible beliefs, people often shift their attitudes. In the earlier example, the dissonance was created by giving an incentive to change the behaviour, and thus attitude was also changed accordingly. 17

MORAL ATTITUDE Not all attitudes are concerned with Morality. E.g. One‘s attitude towards snakes has nothing to do with morality. But attitude towards democracy will have moral undertones. So, Moral attitudes are based on moral convictions of what is ―Right‖ and what is ―wrong‖. Moral attitudes are stronger than moral beliefs. Family, society, religion and education play important role in framing those moral convictions. IMPLICATIONS POSITIVE NEGATIVE  Tied up with strong emotions. Hence  Person can use it to justify violent behaviour prevents deviant behaviours among normal and lunacy and still society will accept it folks due to fear of social osctricization e.g. because moral attitude has strong emotions. child molestation, incest. Example: in April 1919, A violent mob  Motivates a person towards altruism, attacked an English missionary Marcella volunteerism, and social service. Sherwood in Punjab. General Dyer used this to justify Jaliawalla Massacre, and he was given a hero‘s welcome in England.  Motivates a person towards riots, genocide and terrorism.  Since moral attitude is tied with strong emotions, people don‟t get along with those who don‟t share their moral attitude. This results into Intolerance. Example: Before buying/renting a house, people will inquire about the caste/religion of the neighbours.  Religious attitude has trickle-down effect. E.g. Hindus vs. Muslim- if there is negativity towards other person‘s religious outlook, then they‘ll find differences even in political and economic outlooks. Ultimately it‘ll transform from religious to communal attitude. 18

POLITICAL ATTITUDE Political values are important when they frame political behaviour. Political attitudes are the approaches of people to the areas of public life covered by political psychology such as views on nationalism, political conservatism, political liberalism, and political radicalism. Political attitudes fall on a range between extremely liberal and extremely conservative. Abundant of scholars stated that Political Attitude means the beliefs and values which underpin the operation of a particular political system. These attitudes were seen as including knowledge and skills about the operation of the political system positive and negative judgments about the system. These attitudes decide how people participate, whom they vote for and which political parties they support. Political attitude formulation is continuing process and it is achieved through several institutions and agents. Individuals pass through several stages before they completely get socialized. Various agents of political attitude formulation can be categorized into five groups: 1. Interpersonal agencies-family and peer groups. 2. Organizations-schools, religious institutions and workplaces. 3. Mass media-newspaper, TV and radio. 4. Specialized political input structures-the legislature, the executive, courts and the bureaucracy. IDEOLOGY CHARACTER They support basic ideas of liberty, equality and democracy but want reforms in Liberal/Moderate the system albeit not in extreme/violent manner but through constitutional / legal means. Conservative Want Status quo. They believe changes or reforms will not improve the situation. Progressive  Progressive: slowly reform the system  Radical: immediately reform the system, e.g. Marx: Confiscate all the private property immediately.  Nehru was a progressive- he believed state ownership but in a gradual 19

Reactionary manner. Extremist Pacifist  They‘re one step behind Conservatives i.e. Conservatives want status quo, while reactionaries want to go back to previous system.  Example: Taliban/ISIS wanting to run nation with literal interpretation of Shariat/Quran.  Religious organizations involved in politics are usually reactionary in nature.  Extremely unhappy with current system  Want complete change to a new system, and justify violence as a ‗means/tool‘ to achieve the end/goal.  They‘re also unhappy with current system but reject violence as a tool to achieve the goal.  Example: Gandhi, Dr. Martin Luther King Jr. To summarize, political attitude is belief and action system that decides an action based on electoral gains. Political attitude on positive side can lead to showing zero tolerance towards corruption, pro- poor, welfare for weaker sections, listening to public grievances, but on negative side political attitude can take shape of regionalism, communalising public to polarise them during election. Political Philosophy is basis of Political party for which it stands. It is like internal constitution of party. Every political party has healthy and pro-people political ideology but hardly do they follow it because for electoral gains, political attitude of individual politicians comes into action and hence bribery, lobbying, fake protests, walkout, insensitive defamation on other parties and perks politics comes into play. 20

ATTITUDE V/S APTITUDE ATTITUDE APTITUDE It is your positive/negative feeling It is the innate or inborn potential. But, it is not towards a person, object, event, idea, or cast in stone. It can be from nature or it can also environment. be nurtured/developed through training. Associated with character. Associated with competence. Attitude determines how people arrive at It determines whether person will develop the correct judgment, how they‘ll perform a skills to perform a particular task? given task,etc. Example: If an officer has negative Both physical and mental. attitude towards minorities, he may delay To become an officer in defense or police passing their scholarship files. services, you need to have both physical and mental aptitude. Only mental. Surviving terminal disease depends on Examples of aptitude your attitude towards life rather than Quantitative aptitude ‗aptitude‘ in physical training. Verbal aptitude Reasoning aptitude Examples of attitudes Finger dexterity Confidence Visual memory Cautious Tolerant Pessimism Responsible 21

Aptitude is the human ability associated with problem solving whereas attitude is the ingrained set of emotions that defines the orientation towards human and innate factors in varying circumstances. For a Civil servant Aptitude is important as he has to balance both between the rules of the bureaucracy as well as requirements emerging out of a variety of situation he has to deal with on a daily basis. Finding a middle way out for such decisions require his aptitude to be sufficiently sharp. In India, most people pickup profession without seeing whether they‘ve the ‗aptitude‘ for it or not? They choose a profession by chance and not choice. So, they make a living from their career, but don‘t derive job-satisfaction e.g. Most Engineers, pharmacist and IT graduates. A Civil servant must have 3 aptitudes  Intellectual aptitude.  Emotional aptitude.  Moral aptitude. As far as attitude is concerned, a civil servant has to deal with people and situations of varying nature. He is answerable to his superiors as well as to the citizenry. There have been incidences when the attitude of civil servants has been brought into negative focus which is detrimental to service delivery. In India which is diverse country both culturally and economically, addressing concerns and expectations of all the stakeholders requires a balanced attitude of a civil servant. Though attitudinal attributes like Patience, Perseverance, Tolerance are as much important as aptitude related qualities like Focus, Prudence and Logical ability. It is more common for attitude related qualities to be taken for granted and not focused upon. Also the state of bureaucracy in India is such that public servants are not deemed to be cooperative and empathetic to people and hence civil servants need higher focus on attitudinal traits for better service delivery. Thus for better sensitization towards citizens‘ need it is important that attitude related aspects be better inculcated via training and spreading awareness among civil servants. 22

EMOTIONAL INTELLIGENCE The term ‗Emotional Intelligence‘ was coined by two researchers – Peter Salovey and John Mayer in 1990 but got popular in 1996 from Daniel Goleman‟s book „Emotional Intelligence: Why It Can Matter More Than IQ‟. It refers to ‗the ability to identify one‟s own emotions and those of others, harness and apply them to tasks, and to regulate and manage them‟. Emotional Quotient (EQ) is a measure of one‘s emotional intelligence i.e. through a standardized test, one‘s awareness of emotions in relation to self and others is known. INTERPERSONAL EMOTIONAL INTRAPERSONAL EMOTIONAL INTELLIGENCE INTELLIGENCE SOCIAL AWARENESS SELF AWARENESS  Recognizing others‘ emotions  Identification of one‘s own emotions  Emotions of the society at large  Accurate self assessment  Organisational awareness  self-confidence  Service orientation  self-regard (knowing strength and  Empathy for others weakness of oneself) SOCIAL SKILLS SELF MANAGEMENT  Teamwork/ Leadership  Impulse control  Conflict management  Self control  Problem solving skills  Conscientiousness (guided by  Communication skills conscience)  Change catalyst  Adaptability  Personnel management  Goal-orientation  Influencing others  Level-headedness  Developing others and getting the best out of them 23

ELEMENTS OF EMOTIONAL INTELLIGENCE DANIEL GOLEMAN MAYER & SALOVEY ABILITY MODEL  Self-Awareness: It is the skill of being aware  The ability to perceive emotions in oneself of and understanding one‘s emotions as they and others accurately. occur and as they evolve.  The ability to use emotions to facilitate  Self-Regulation: It is about controlling one‘s thinking. emotions i.e. instead of reacting quickly; one  The ability to understand emotions, can reign in one‘s emotions and thus will emotional language, and the signals think before responding. conveyed by emotions.  Internal Motivation: It includes one‘s  The ability to manage emotions so as to attain specific goals. personal drive to improve and achieve commitment to one‘s goals, initiative, or readiness to act on opportunities, and optimism and resilience.  Empathy: It is an awareness of the needs and feelings of others both individually and in groups, and being able to see things from the point of view of others.  Social Skills: It is applying empathy and balancing the wants and requirements of others with one‘s. It includes building good rapport with others. 24

IMPORTANCE OF EMOTIONAL INTELLIGENCE IN CIVIL SERVICES  For Targeting Policies better: Bureaucrats need to know emotions, moods and drives of persons at whom public policy is targeted for better acquaintance with the nature of problems in society and their possible solutions.  For motivating subordinates: EI helps a person in comprehending emotions of others, thus an emotionally intelligent civil servant can motivate his/her subordinates towards a particular goal.  Stress Management: EI enables one to manage emotions in anxiety-provoking situations and thus helps one in maintaining one‘s physical and mental well being.  For change: An Emotionally Intelligent person is more likely to try new things, take risks and face new challenges without fear. This will help in finding innovative solutions to different problems.  For Decision making: EI helps in recognizing such emotions that are unrelated to any specific problem and not allowing them to be influential to the final result.  For Better Communication: An Emotionally Intelligent civil servant will be able to communicate policies better. Also, the person will be able to foster a healthy relationship with subordinates.  For maintaining balance in life: EI helps a civil servant in managing his/her personal life as well as professional life.  On personal front, EI makes one more flexible, empathetic and clear in expression. IMPROVING EMOTIONAL INTELLIGENCE  By self-evaluating oneself, one can know one‘s emotions and reactions to different situations.  By observing others, one can comprehend feelings of others.  By improving one‘s expression, one can communicate better.  By analyzing the impact of one‘s action over others, one can fine tune the actions. 25

SOME QUOTES ABOUT EMOTIONAL INTELLIGENCE Rule Your Feelings, Whatever is begun in Where we have strong Lest Your Feelings anger, ends in shame. emotions, we’re liable Rule You. — Benjamin Franklin to fool ourselves. — Publilius Syrus – Carl Sagan What really matters for success, character, happiness and lifelong achievements is a definite set of emotional skills – your EQ — not just purely cognitive abilities that are measured by conventional IQ tests. —Daniel Goleman 26

ROLE OF CIVIL SERVICES IN INDIA  Basis of government: No government can exist without administrative machinery. All nations, irrespective of their system of government, require some sort of administrative machinery for implementing policies.  An instrument for implementing Laws and Policies: Civil services are responsible for implementing the laws and policies of government. By carrying out laws, it regulates the behaviour of the people in society. By implementing public policies and programmes, it delivers the promised goods and services to the intended beneficiaries.  Participation in policy formulation: Civil servants participate in policy making by giving advice to ministers and providing them the necessary information. The administrative tasks of public bureaucracy include formulation of policies and plans, executing and monitoring programmes, laying down laws, rules and regulations, which affect human actions in almost all walks of life.  Provides continuity: Civil services carry on the governance when governments change due to elections etc. Ramsay Muir has remarked that while governments may come and go, ministers may rise and fall, the administration of a country goes on forever.  Role in socio- economic development: The developing nations are struggling to achieve modernisation of society and economic development and realize welfare goals. These objectives have placed challenging tasks on public administration such as formulation of economic plans and their successful implementation to economic growth and social change. Civil servants play an important role in socio-economic development in the following ways:  To develop agriculture, civil servants have to properly manage community resources such as land, water resources, forests, wetlands and wasteland development.  To facilitate industrial development, infrastructural facilities such as roads, electricity, communications, market centres etc. have to be provided. In these countries, the civil service manages government owned business, industrial enterprises and public utility services.  Setting right developmental goals and priorities for agriculture, industry, education, health, communications etc.  Formulation and implementation of strategies and programmes for the development and modernisation of the nation.  Mobilisation of natural, human and financial resources and their proper utilization for accomplishing developmental objectives. 27

 Development of human resources to secure the necessary managerial skills and technical competence to carry out the developmental tasks.  Creation of new administrative organisations and improving the capacity of the existing ones for the developmental purposes.  Securing the support of the people for developmental activities by involving them in the process of development by creating appropriate attitude towards the socioeconomic changes that are taking place in society.  Promotion of clean and green environment and protection of human rights.  Developing a sense of nationhood: In order to develop a sense of nationhood among the people of these countries, the civil servants have to resolve the sub-national and sub- cultural differences among the people.  Facilitating democracy: The civil servants play a vital role in maintaining the democratic ideals by assisting their political heads (Ministers) in policy-making function and in implementing the policies made.  Calamities and crisis: Natural calamities such as earthquakes, floods, droughts and cyclones have also enhanced the importance of civil services. In the event of occurrence of such natural calamities, the public administrators have to act quickly and undertake rescue operations in order to prevent loss of life and property of the affected people.  Administrative adjudication: This is a quasi- judicial function performed by the civil service. The civil servants settle disputes between the citizens and the state. For this purpose, the Administrative Tribunals, with civil servants as judges are established. For example: The Income Tax Appellate Tribunal. 28

ETHICS IN PUBLIC ADMINISTRATION The Civil Services is the backbone of the administrative machinery of the country & refers to the permanent bureaucracy of the Government. While the provision of adult franchise & electoral democracy provides an enabling environment for the practice of democratic governance, it is the quality of peoplewho must have not only the required skills and knowledge, but also the right values which would include integrity, commitment to public service and above all, commitment to the ideals and philosophy embodied in the Constitution. TODAY INDIA NEEDS CIVIL SERVANTS WITH FOLLOWING QUALITIES: 1) Need for specialization: As the functions of Government have diversified, selection for senior management posts in functional areas and outside functional areas should be done on the basis of area of specialization. Example - Uttarakhand flood case 2013: In the case of Uttarakhand flood in June 2013 due to cloud burst & heavy rain, authorities in Uttarakhand seemed clueless about how to handle the situation as disaster management was a new concept to them & it took time for them to understand how to work in that situation by when a lot of damage have had happened. 2) Leadership: A leader is one who steps up in times of crisis & is able to think and act creatively in difficult situations & is able to inspire subordinates to perform & achieve the goal. As per the Alagh committee report 2001, the scheme of examination for entry into civil services should do away with optional papers & rather include test to judge aptitude & leadership qualities of candidates. 3) He should be willing to assume responsibility & be able to deal with diverse problems of the country. 4) He should be a good listener who is influential with people to convince them of the benefits of government programs if required & also motivate & involve them in decision making. This is found to be a major issue in implementing developmental & rehabilitation projects like nuclear projects or land acquisition etc. 5) Capacity to use institutional resources to achieve the goals targeted towards a better society. 6) Avoid using their authority & privileges for their own good. 7) Should welcome reports of troublesome things without getting accustomed to the luxuries & powers, becoming an end in themselves. They should be ready for any reforms essential for efficient public service which is often not the case. 29

VARIOUS ETHICAL ISSUES related to the services have been briefly discussed: CODE OF ETHICS In India civil services values have evolved over these years which mention about the Code of conduct rules in the Central Civil Services (Conduct) Rules 1964, that the civil servant must follow in his/her tenure of service to the nation. It is essentially directed towards classifying certain specific activities deemed undesirable for the civil servants. However there is no Code of Ethics prescribed for civil servants in India although it does exist in other countries like Australia, China & UK etc. It is the need of the hour in the country as ethical culture is the best defense against corruption & achieving goals of the nation proposed in the Draft Public Service Bill, 2007 which is still under review. The Second Administrative Reforms Commission in its 10th report pertaining to Values & Ethics of Civil Services in India recommended drafting a Bill on ethics to give code of ethics a statutory basis in the form of ―The Civil Services Bill‖ ( 2nd ARC has recommended to rename public service bill as civil service bill as public service has a wider connotation). The commission recommended that in addition to upholding the constitutional spirit the civil servants shall be guided by the following values:  Adherence to the highest standards of integrity & conduct  Impartiality & non-partisanship  Objectivity  Dedication to public service  Empathy & compassion towards the weaker sections 30

INTEGRITY Integrity in dictionary terms means the quality of being honest & having strong moral principles. It is a concept of consistency of actions, values, methods, measures & principles. Integrity is a personal choice, an uncompromising and “predictably consistent commitment” to honour moral, ethical & spiritual values and principles. It helps to decide whether one‘s actions are right or wrong. Organizations & Individuals have certain ethical standards that ensure that they have consistent approach in carrying out their responsibilities & the way they make their decisions. Draft Public Service Bill, 2007 has proposed certain ethical standards for the public servants to imbibe in their conduct to maintain integrity as a virtue in their service to the nation as follows:  To discharge official duties with competence and accountability; care and diligence; responsibility, honesty; without discrimination and in accordance with the law.  To ensure effective management, professional growth and leadership development.  To avoid misuse of official position or information and using the public moneys with utmost care and economy.  Function with the objective to serve as instruments of good governance and to provide services for the betterment of the public at large 31

IMPARTIALITY & NON PARTISANSHIP The Indian Civil Services plays an important role in ensuring the benefits of policies of the government reaching the people for whom it has been created & towards ensuring good governance. Despite of clear mention of objectives, execution & implementation of the policies of the elected Government, their execution & administration is a complex system. The civil servant has to maintain political neutrality & non partisanship while performing his duty of public service by serving the political ideology of the elected govt, without letting his own ideology or liking for a group affecting his duty. It essentially means political neutrality of the civil servant in execution of his duties & should be loyal to serve the Governments of all political ideologies. The Civil Servant is expected to follow the following, to ensure objectivity: DOs DON‟Ts  Carry out your responsibilities in a way that  Act in a way that unjustifiably favours or is fair, just and equitable and reflects the discriminates against particular individuals or Civil Service commitment to equality and interests. diversity.  Act in a way that is determined by party  Serve the Government, whatever its political political considerations, or use official persuasion, to the best of your ability in a resources for party political purposes. way which maintains political impartiality and is in line with the requirements of this  Allow your personal political views to Code, no matter what your own political determine any advice you give or your beliefs are. actions.  Act in a way which deserves and retains the confidence of Ministers, while at the same time ensuring that you will be able to establish the same relationship with those whom you may be required to serve in some future Government.  Comply with any restrictions that have been laid down on your political activities. Though we expect the civil servant to be impartial in their service to the nation however unfortunately, it is the age of corruption and nepotism. The cases of civil servants losing the principles of neutrality and rule of law are growing. At the same time, political climate is not favoring strong and stable government. Thus the role and responsibility of civil service will grow. Need of the hour is to keep the civil services insulated from politicization of the services. 32

OBJECTIVITY Objectivity essentially means basing your ideas & decisions on empirical evidences & a rigorous analysis of the issue at hand. A civil servant should be open minded, impartial, guided by evidence & should not let any set of pre-conceived notions affect his duty or professional conduct. Objectivity is guided by aptitude, not attitude. It leads to consideration of others before self. OBJECTIVITY RESPONSIBILITY SUCCESS A civil servant is expected to do the following while maintaining objectivity: DOs DON‟Ts  Provide information and advice, including  Ignore inconvenient facts or relevant advice to Ministers, on the basis of the considerations when providing advice or evidence, and accurately present the options making decisions. and facts.  Frustrate the implementation of policies once  Take decisions on the merits of the case. decisions are taken by declining to take, or  Take due account of expert and professional abstaining from, action which flows from those decisions advice. 33

DEDICATION TO PUBLIC SERVICE Spirit of sacrifice & service to the public & to the nation are the essential ingredients of public service & civil servants should feel motivated & inspired by the fact that they are working & devoting their life to a noble cause if they chose to be a part of it. As per the report of Transparency International, there continues to be a decline in India‘s rank on Transparency International‘s Corruption Perception Index (CPI) indicating a serious corruption problem. As of 2011, in duration of three years a total of 943 cases were at different stages of investigation by CBI against civil servants. Today we are moving towards a consumer society. There is a general lack of compassion, concern & devotion for others & for the society. Everyone wants to achieve their materialistic ambitions & civil services are considered by many to achieve those through unethical practices by exploiting their position of power & authority. However we need to change the societal attitude of people to be an agent of change themselves especially those who are in public service, so that they develop a sense of devotion for the masses & work in true spirit of the service to the society. Proper selection procedure with personality evaluation and psychometric tests will go a long way in recruiting the right people. Training also helps in developing the attitude and aptitude of public service. 34

EMPATHY, TOLERANCE & COMPASSION TOWARDS THE WEAKER SECTIONS It is well known that economic growth & prosperity in India has generally bypassed a large number of marginalized and disadvantaged people. Moreover access to basic services & access to justice depend upon the basic principle that people are aware of their rights, educated enough to avail those & empowered enough to challenge the authorities in case the justice is being denied. Which is often not the case & therefore majority of weaker section of the society even though covered in government programs & schemes on paper, not able to enjoy even the most basic & fundamental rights in the country. On top of that many government programs are plagued by corruption, leakages and error in selection of the claimant, delays, poor allocation & little accountability. It is therefore imperative to inculcate a strong sense of values like empathy, tolerance & compassion towards the weaker section, amongst the civil servants, so that we can move closer towards the dream of an egalitarian society as enshrined in our constitution. Empathy-It is about understanding another person‘s condition from their perspective. Simply put empathy means putting yourself in their shoes & feel what they must be feeling in the circumstances they are faced with. Tolerance- It is a fair, objective & permissive attitude towards those whose opinion, practices, race, religion, gender, or economic status etc differ from one‘s own. Compassion- It is a feeling of distress and pity for the suffering or misfortune of another which include the desire to alleviate it. If governance is important to citizens, it is more important to the weaker section of the society which includes women & children, poor people, minorities & the disadvantaged. The rest who are well to do can find their way around poor governance as they are likely to be a part of it. However it is the weaker section of the society that depends upon governance arrangements for availing primary services like health, education, shelter & livelihood opportunities. Thus an improvement in the attitude & conduct of service towards the common man & especially towards the weak & marginalized is necessary for the task of building a strong nation. 35

NEED FOR REFORMS OF CIVIL SERVICES Civil Services has been criticized often for the inability of the recruits to administer the situations they are been hired for. So far there have been six hundred commissions & committees set up & fifty since independence to look into & suggest reforms for the same, however there have been no serious attempts to restructure the services. Rather the reform efforts have been tremendously conservative. Following are some reasons cited for the need to reform the Services: 1) Rapid & fundamental changes are taking place in political, economic & technological front. The available response time to adapt to these changes has become much shorter than it used to be. All this has necessitated building a competent work force of civil servants who can administer in the changing scenario with finesse. 2) As a result of globalization, countries are competing not only in the market scenario but also on their quality of governance structures. The changes in the economic structure, which demand for a less prescriptive & more market driven approaches in administration, raise new concerns of control & accountability of civil service. 3) The increasing role of Private sector & that of the civil society, in the Indian economy & social development, calls for their involvement as partners in the development process of the country by the civil servants. In the today‘s fast changing scenario the civil servants have to be ready for change & to adapt themselves as per the need. However in reality they often resist change as they are wedded to their privileges & powers that have become an end in themselves. The success or failure of any country in terms of governance depends upon the successful implementation of government plans &policies which in turn depend upon the quality of people in the administrators. However corruption & power abuse is becoming so widespread, that it is weakening the governance structure of our country. Unless values are inculcated within the civil servants, they can‘t be expected to conduct ideally in a superficial manner. 36

SUGGESTED REFORMS 1) Code of Ethics – There is a need to lay down a statutory code of ethics for civil service with lucid language & clear emphasis on values only. The civil service code of some other countries like that of UK can serve as a model. 2) The authority & accountability for meeting certain goals in public administration should be clearly defined. 3) Political executive should also have conduct rules so that the honest civil servant is not being harassed for doing what is ethically & morally right. 4) There should be proper training in ethics awareness and also for development of essential skill for ethical analysis and moral judgment in situations of dilemma for the civil servants. 5) It is also necessary to make drastic changes in the way civil servants are recruited. Rather than testing them on a rigorous written examination, it should try to judge them on their passion to serve the nation, qualities like leadership etc & the values that guide these men/women. Which could be done by introducing a field based assessment by putting them in real time situation for some period or making it mandatory before applying for such a position. Following are SOME OF THE RECENT REFORMS in the civil services:  UPSC brought about changes in the Prelims stage of the Civil Services Examination in 2011 by abolishing the optional subject paper and introducing Civil Services Aptitude Test (CSAT). Further changes were made in the Mains stage of the exam from 2013 by abolishing one optional subject & expanding the extent of General studies papers.  In 2011, the Department of Personnel and Training (DOPT) created a proposal to retire and remove incompetent, inefficient and unproductive All India Service officers after 15 years of service. The proposal has been accepted and rule 16(3) of the All India Services Rules of 1958 was amended in 2012.  Recently, notification was issued for allotment of cadre and posting to selected candidates on the basis of their rank, calculated after including their marks scored in the training academy. This was done to ensure that they take the training more seriously. 37

LATERAL ENTRY IN CIVIL SERVICES Lateral entry into civil services refers to induction of eligible candidates into bureaucracy by bypassing the regular mode at a higher level of its hierarchical structure. NEED FOR LATERAL ENTRY  Shortage of Officers: There is shortage of officers in large states like UP, MP, Rajasthan and Bihar. These are also those states were the social development as well as economic growth numbers are dismal.  Specialists and experts: Career bureaucrats, due to their frequent transfers and deputations, remain generalists in nature. Also there is little incentives within the bureaucracy to join advanced courses and gain cutting edge knowledge. Thus in the wake of changing geo- political and economic environment, experts are needed for certain positions.  Burden to Exchequer: Recruitment through formal process comes with economic baggage of lifetime of salary, pensions and other perks. Constitutional safeguards prevent removal of even non-performing officers. This anomaly could be resolved through lateral entry.  Incentives to innovations: It is believed that bringing professionals from private sector would bring fresh ideas and usher innovative problem solving methods to otherwise a monolithic institution.  Competition: It will push career bureaucrats towards healthy competition to perform better. Also it will act as a warning sign of ‗perform or perish‘. In June 2018, the Department of Personnel and Training (DoPT) issued notification inviting applications for 10 senior level positions at the joint secretary level in the Departments of Economic Affairs, Revenue, Commerce and Highways among others. The eligibility criteria was ―Individuals working at comparable levels in Private Sector Companies, Consultancy Organisations, International/Multinational Organisations with a minimum of 15 years' experience‖ besides those working in central public sector undertakings, autonomous bodies, statutory organisations, research bodies and universities. According to the DopT, the recruitment will be on contract basis for three to five years. The intake will be made in 10 departments initially but will expand to other categories in the second phase. 38

ISSUES WITH LATERAL ENTRY  Bypassing UPSC: UPSC is a constitutional body and has retained legitimacy and credibility of selection process over the years. Some experts opine that lateral entry is unconstitutional in nature.  Not a Panacea: It is also argued that it is a piecemeal effort to deal with a systemic problem. Bureaucracy needs major overhauling.  Offers not lucrative enough: Most of the times, the terms of recruitments are not rewarding enough to attract best of talents. Even the recent lateral entry initiative would recruit professionals for only 3 years with remuneration not competitive with private sector.  Open door to privatization: Some civil servants believe that it would open the floodgates to privatization. And eventually government would lose its socialist and welfare characteristics.  Transparency in recruitment: Government should ensure that the recruits remain independent of ―fissiparous tendencies. The sanctity of the selection procedure should remain for the services to stay insulated from the government of the day. CONCLUSION 2nd ARC recommended an institutionalized, transparent process for lateral entry at both the Central and state levels. But pushback from bureaucrats, serving and retired, and the sheer institutional inertia of civil services that have existed largely unchanged for decades have prevented progress. Also the parliamentary standing committee on external affairs headed by Dr. Shashi Tharoor has urged the government to facilitate the entry of Non-Resident Indians (NRIs) into Foreign Service in order to expand the country‘s diplomatic corps. In addition to lateral entry, the method of civil service training also needs to be revamped. 39

CODE OF CONDUCT The Civil Services is the backbone of the administrative machinery of the country & refers to the permanent bureaucracy of the Government. While the provision of adult franchise & electoral democracy provides an enabling environment for the practice of democratic governance, it is the quality of people who must have not only the required skills and knowledge, but also the right values which would include integrity, commitment to public service and above all, commitment to the ideals and philosophy embodied in the Constitution. Code of Conduct is principles, values, standards, or rules of behaviour that guide the decisions, procedures and systems of an organization in a way that contributes to the welfare of its key stakeholders & respects the rights of all constituents affected by its operations. In India, the current set of ethical norms are the Conduct Rules, contained in the Central Services (Conduct) Rules, 1964 and analogous rules applicable to members of the All India Services or employees of various State Governments. The code of behaviour as enunciated in the Conduct Rules, while containing some general norms like ‗maintaining integrity and absolute devotion to duty‟ and not indulging in „conduct unbecoming of a government servant‟ is generally directed towards cataloguing specific activities deemed undesirable for government servants. These conduct rules, which do not constitute a code of ethics are enumerated below:  No Class I officer shall, except with the previous sanction of the Government, permit his son, daughter or other dependent, to accept employment in any organization with which he has official dealings or the Government has. Note: There is no firm in India, which does not have any dealings with the government.  If a civil servant enters into a transaction in respect of movable property either in his own name or in the name of the member of his family, he shall, within one month from the date of such transaction, report the same to the prescribed authority, if the value of such property exceeds twenty thousand.  No Government servant shall, except with the previous knowledge of the prescribed authority, acquire or dispose of any immovable property by lease, mortgage, purchase, sale, gift or otherwise either in his own name or in the name of any member of his family.  A Government servant shall manage his private affairs, so as to avoid habitual indebtedness or insolvency. A Government servant against whom any legal proceeding is instituted for the recovery of any debt due from him or for adjudging him as an insolvent, shall forthwith report the full facts of the legal proceedings to the Government. 40

Second ARC report has criticized the Code of Conduct rules for being too vague to be followed & therefore conduct rules are likely to be observed more in breach than in reality and which in any case, may not necessarily involve any type of conflict of interest. Therefore, it has suggested redefining these rules to make them more meaningful to be followed. SOME COMMITTEES‟ RECOMMENDATIONS Certain committees have recommended from time to time for reforming the civil services w.r.t. the code of conduct & ethics of the civil servants, few of which are as follows: 1) Committee on Prevention of Corruption (Santhanam Committee), 1964: • Suggested rules to be framed for governing the conduct of civil servants • Suggested that values like altruism and empathy for the poor, are hard to imbibe after joining the services. These need to be instilled in childhood through various institutions like family, school etc. • There is no code of ethics for civil servant in our country unlike other countries, which needs to be incorporated. 2) Hota Committee Report, 2004: • Aptitude & leadership test may be introduced for selection & that domain assignments should be introduced for the civil servants for acquisition of skills required. • As no competitive examination can be a proof against unsuitable candidates for the public service, the committee recommended invoking the probation rules to weed out such officers. Also a performance review after 15 yrs. of service is recommended to remove such officers. • Code of Ethics should be laid down for the civil servants to imbue the values of integrity, merit & excellence in public service. 3) Second Administrative Reforms Commission The Second Administrative Reforms Commission in its 10th report pertaining to Values & Ethics of Civil Services in India recommended drafting a Bill on ethics to give code of ethics a statutory basis in the form of ―The Civil Services Bill‖ (2nd ARC has recommended to rename public service bill as civil service bill as public service has a wider connotation). The commission recommended that in addition to upholding the constitutional spirit the civil servants shall be guided by the following values: 41

• Adherence to the highest standards of integrity & conduct • Impartiality & non-partisanship • Objectivity • Dedication to public service • Empathy & compassion towards the weaker sections The ARC Commission has highlighted the principles of public life enunciated by the Nolan Committee in UK. Drawing from these, the Commission has suggested the inclusion of the following principles in the Code of Ethics for civil servants in India: 1. Integrity: Civil servants should be guided solely by public interest in their official decision making and not by any financial or other consideration either in respect of themselves, their families or their friends. 2. Impartiality: Civil servants in carrying out their official work, including functions like procurement, recruitment, delivery of services etc, should take decisions based on merit alone. 3. Commitment to public service: Civil servants should deliver services in a fair, effective, impartial and courteous manner. 4. Open accountability: Civil servants are accountable for their decisions and actions and should be willing to subject themselves to appropriate scrutiny for this purpose. 5. Devotion to duty: Civil servants maintain absolute and unstinting devotion towards their duties and responsibilities at all times. 6. Exemplary behaviour: Civil servants shall treat all members of the public with respect and courtesy and, at all times, should behave in a manner that upholds the rich traditions of the civil services. 42

CODE OF ETHICS CODE OF ETHICS, 1997 It was the first initiative to introduce the code of ethics for public servants in India, which was considered a step towards better governance. The salient features of the code were as follows: A public servant should: • Uphold the rule of law & respect human rights • Maintain objectivity & transparency in their conduct with the public & in discharge of their duties • Maintain utmost impartiality in respect of service matters • Be accountable for their actions for timeliness of delivery, quality of service etc& be accessible to the people • Ensure effective & efficient use of public funds & avoid extravagance. • Not exploit their position of power for any personal gains. The code was considered by a group of ministers but was not issued as code of ethics for public servants unfortunately. DRAFT PUBLIC SERVICE BILL, 2007 Again in 2007 Department of personnel drafted Public Service Bill. It extends to the whole of India. It envisages a moral behaviour from the civil servants & enumerates certain values which should guide the Public Servants in the discharge of their functions which are as follows: • Allegiance to the Constitution and the law, democracy, nationalism, sovereignty & integrity of India and the security of the nation • Function in apolitical manner, act objectively, impartially, honestly, equitably, and in a fair and just manner • Act with integrity and in a courteous and just manner • Establish high standards, and ensure quality service, effective working and prompt decision making 43

• Be accountable for the decisions • Establish merit as the fundamental principle in employment, promotion and placements • Discharge functions with due regard to diversity of the nation/community and religion but without discrimination of caste, community, religion, gender or class and duly protecting the interest of poor, underprivileged and weaker sections • Provide honest, impartial and frank advice to political executive • Ensure that public money is used with utmost economy and care • The public servant function with the objective that Public Services and Public Servants are to serve as instruments of good governance and to provide services for the betterment of the public at large; foster socio-economic development, with due regard to the diversity of the nation but without discrimination on the ground of caste, community, religion, gender or class and duly protecting the interest of poor, underprivileged and weaker sections. • Without prejudice to the provisions of this Act, the Central Government may, on the recommendations of or in consultation with the Central Authority, notify from time to time other values in this Section. • The Central Authority may from time to time review the adoption, adherence to and implementation of the Public Service Values in the departments or organizations under the Central Government and send reports to the Central Government. The bill is still under consideration. However it tries to fulfil too many objectives apart from a code of ethic like norms for appointments to public services etc. Thus it might get difficult to gain consensus on all such issues & pass this bill. 44

CITIZEN CHARTER The Citizen's Charter is a written, voluntary declaration by service providers about their service standards, choice, accessibility, non-discrimination, transparency and accountability. It should be in accordance with the expectations of citizens. Therefore, it is a useful way of defining with the stakeholders what service should be and what standards to expect. OBJECTIVES • To help change the mindset of the public official from someone with power over the public to someone with a care of duty in spending the public's taxes and in providing them with necessary services. • An effective tool to ensure transparency and accountability and should help deliver good governance if implemented vigorously. • Improved service delivery through more responsive attitude from officials towards the public specifying what to expect & how to act if standards are not met. • Value for the taxpayer: Greater output on every single penny spent on governance programs & greater public satisfaction with the public services COMPONENTS OF A CITIZEN‟S CHARTER There are five broad components to the Citizen's Charter as below: 1. Standards for service delivery • Standards should be SMART i.e. Specific, Measurable, Accurate, Relevant & Time bound • They should also be monitored periodically. Actual performance against standards must be published and independently validated. 2. Openness and information about service delivery • It should provide concise information to the users at the right time and at the right place. • Information should be published in plain language in the Charters about service levels and service quality to be expected and about who is in charge in case the service does not deliver to that standard. 45

• Publication of handbooks, guides, posters and providing information on websites are some of the ways of providing information. 3. Choice for the citizen and consultation with users about service levels and quality • Users' views about services and their priorities for improving them should be taken into account in finalizing standards. • Citizen's rights should be balanced by their responsibilities by seeking citizens' involvement and co-operation in the process of service delivery & clearly outlined role of the citizens in the charter 4. Courtesy and helpfulness in service delivery The Charter should help embed a culture of courteous and helpful service from public servants with 'May I help you' counters should be available at all offices to the citizens to help them understand the procedures and what is expected of them. 5. Provision of redress when services are not delivered to the published standards • Service providers should welcome complaints as a means of getting feedback in order to improve services as being able to identify 'trends' in complaints helps the organization to resolve systemic and recurring problems for the benefit of all its customers. • Redressal system should be quick, consistent, simple, and focused on the individual. 46

ISSUES IN IMPLEMENTING THE CHARTER Citizen‘s Charter initiative in India had started in 1997. So far, sixty-eight Citizen's Charters have been formulated by the central government in Delhi. These relate to ministries, departments and other organizations. There are also 333 Charters in various agencies of the State Governments and Union Territories. Most of the charters formulated are in nascent stage of their implementation & it is more difficult to implement in its true sense because of the rigid attitude of bureaucratic work force & citizen‟s perception towards the same. The major obstacles encountered in implementing it & lessons learnt were: • Developing close relationships with stakeholders - In the charters being implemented so far, the consultation process was minimal or largely absent. It thus became one of routine instructions that bureaucracy is habitual to avoid. The initiative was therefore treated with a degree of skepticism by bureaucrats as well as citizens. • The lack of training & motivation in the employees to deliver the level of services promised by the charter. • Transfers of concerned officers at the crucial stages of its formulation or implementation in an organization severely undermine the processes. • Tasks to educate & make aware the public were not conducted systematically. There is no public awareness campaign on Citizen's Charters. • In some instances, the standards formulated in the charter were not realistic & therefore losing more trust of the stakeholders in following the same. • Sometimes, even the concept of Citizen‟s Charter was not properly understood by the stakeholders. • There is little internal or external monitoring of the implementation of the Charters by departments and citizen satisfaction data is not available. No proper feedback systems are in place. 47

RECOMMENDATIONS To make the Citizen‘s charter a success the following is suggested: • The departments should guard against the tendency to promise more than they can deliver. A commitment to specific services standards should be made only if they really can be delivered. • A critical review of the current systems and processes in the department should be undertaken to examine whether they are likely to have an adverse impact on the Charter. Failure to do this will result in a mismatch between the standards enumerated in the Charter and the capacity of the system to deliver. • Implementing the Charters without the staff owning them will defeat the purpose of the Charter. Motivating the staff and involving them in the preparation of the Charter are important. • The Charters will remain merely a paper exercise of limited value if there is no consultation with the users. Departments should ensure user involvement at all stages of preparation and implementation of the Charter. • Independent audit of results is important after a period of implementation of the Charter. The Charter is meant for the users and departments may not know how they are faring unless their performance is tested against the standards. • Simplifying the systems for lodging complaints or access to officers obtaining redressal of grievances will facilitate the procedure of delivery. • The Charters should not be launched without adequate publicity and distribution of copies to the users and the staff in each public office. 48

GOOD GOVERNANCE The concept of good governance is not new. Kautilya in his treatise Arthashastra elaborated the traits of the king of a well governed State thus: ―in the happiness of his subjects lies his happiness, in their welfare his welfare, whatever pleases himself, he does not consider as good, but whatever pleases his subjects he considers as good‖. Mahatma Gandhi had propounded the concept of „Su- raj‟. Good governance has the following eight attributes which link it to its citizens- ACCOUNTABLE CONSENSUS - TRANSPARENT ORIENTED PARTICIPATORY GOOD RESPONSIVE GOVERNANCE FOLLOWS THE EQUITABLE AND RULE OF LAW INCLUSIVE EFFECTIVE AND EFFICIENT Good governance aims at providing an environment in which all citizens irrespective of class, caste and gender can develop to their full potential. In addition, good governance also aims at providing public services effectively and equitably to the citizens. 49

The 4 pillars on which the edifice of good governance rests, in essence are: 1. Ethos (of service to the citizen), 2. Ethics (honesty, integrity and transparency), 3. Equity (treating all citizens alike with empathy for the weaker sections), and 4. Efficiency (speedy and effective delivery of service without harassment and using ICT increasingly). Citizens are thus at the core of good governance. Therefore, good governance and citizen centric administration are inextricably linked. The Constitution articulates the vision of its Founding Fathers for the people of this country and also spells out the role and functions of the three organs of the State – Legislature, Executive and Judiciary. It enshrines the Fundamental Rights which are critical for democracy and the Directive Principles of State Policy which embody the concept of a Welfare State and are a unique feature of our Constitution. The endeavour of Government at all levels has, therefore, been to provide for a citizen centric administration. To this end, a robust legal framework has been created. Institutions such as the National Human Rights Commission, National Women‘s Commission, National Consumer Disputes Redressal Commission, and Lokayuktas etc. have been set up. Several other measures including affirmative actions have been initiated for the socio-economic empowerment of the weaker sections of society. The Tenth Plan drew attention to the implementation of good governance in the following terms: ‗Governance relates to the management of all such processes that, in any society, define the environment which permits and enables individuals to raise their capability levels on the one hand, and provide opportunities to realize their potential and enlarge the set of available choices, on the other. The Eleventh Plan has emphasized that good governance should cover the following distinct dimensions:  As a democratic country, a central feature of good governance is the constitutionally protected right to elect government at various levels in a fair manner, with effective participation by all sections of the population. This is a basic requirement for the legitimacy of the government and its responsibility to the electorate.  The government at all levels must be accountable and transparent. Closely related to accountability is the need to eliminate corruption, which is widely seen as a major deficiency in governance. Transparency is also critical, both to ensure accountability, and also to enable genuine participation.  The government must be effective and efficient in delivering social and economic public services, which are its primary responsibilities. In our situation, where the responsibility for 50