CSE Main Compulsory Paper 5 Ethics , Integrity and...

CSE Main Compulsory Paper 5 Ethics , Integrity and Aptitude

2018

10x10 Learning TM Page 1

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No.

Contents Page

1. Ethics and Human Interface:

1.1 Essence, determinants and consequences of

Ethics in human actions.

1.2 Dimensions of ethics; ethics in private and

public relationships.

1.3 Human Values - lessons from the lives and

teachings of great leaders, reformers and

administrators

1.4 Role of family, society and educational

institutions in inculcating values.

2

2. Significance of Ethics in Civil Services: 8 3. Use of technology for monitoring ethical conduct

of government business

9

4. Laws, rules, regulations and conscience as

sources of ethical guidance

10

5. Moral Thinkers and Philosophers of:

a) India

b) the World

14

6. Philosophical basis of governance and probity

16

7. Probity in Governance: Concept of public

service;

a) Information sharing and transparency in

government p.18

b) Right to Information p.19

c) Quality of Service Delivery p.21

d) Citizen's Charters

e) Model Code of Governance p.22

f) Accountability and transparency p.24

g) Financial Management and Budget

Sanctity p.25

h) Public Service morale and anti-corruption

p.26

i) Challenges of corruption. P.27

j) Three current events articles on corruption

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VALUE AND ETHICS FOR GOVERNANCE

1. Preliminary:

1. How to raise the Right Questions to handle diversity of ethical and

unethical action in government?

2. How to practice Ethics and Integrity at the personal level?

3. How to practice it at the Governance level?

4. How to develop capability in integrity, ethical decision making , and

value as part of Good Governance?

2. An ethical person does away with platitudesi. Mohandas Karamchand

Gandhi believed everyone ought to share and care. “A person cannot do

right in one department whilst attempting to do wrong in another

department. Life is one indivisible whole’.

He gave importance to right values and a decent standard of

life. Standard of life suggests a flowering of spiritual, cultural and material

values so that one is not afflicted by the seven deadly sins:

a. wealth without work,

b. pleasure without conscience,

c. knowledge without character,

d. commerce (business) without morality (ethics),

e. science without humanity,

f. religion without sacrifice,

g. politics without principle.

2. Basics: The Three R’s:


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)

3. The three Dimensions:

The why dimension of Values and Ethics is universal. Ethics has

always been a distinguishing feature of humanity. It was, it is and will

remain. Ethics and Value are timeless and perennial, and are

fundamental to expectations from family members. These are equally

valid in work places. They are positive, good and clear to all.

1. Relevance of Value and Ethics?

3. Rationale? 2. Requirement?


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3. THE SCOPE:

The timeless characteristics of Ethics and Value in life include: all the

qualities that parents would like their children to display:

1. Truthfulness

2. Being Just and Fair to all

3. Caring towards the young, the weak, and helpless.

4. Dedication in work and in study

5. Discipline

6. Graceful in victory or defeat, success or failure.

7. Hard work

8. Helpfulness

9. Honesty

10. Humility

11. Kindness

12. Non-abusive

13. Patriotic

14. Perseverance

15. Punctuality

Dimensions of Value and

Ethics

1. What is the scope of Ethics and Value?

2. Why are these needed ?

Why dimension is most important?

3. How are ethics acquired ? How to recognize Value in

any action?


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16. Self Confidence

17. Selflessness

18. Sincerity

19. Trustworthy

20. Work as a team / a family

21. Any other positive /good quality

4, Source:

a. When are values and ethics acquired? = In early childhood

b. Where? = At Home and in School.

c. From Whom? = From Parents / Family / Teachers / Good friends.

d. Method of learning to be Ethical and recognize Value:

a) Seeing

b) Observing

c) Reflecting and thinking about it.

d) Experience

e) Exposure

a) The gap in preaching of value and ethics by parents / family /

teachers and of their practice is observed by all children. This

gap has increased many folds from 1990s due to consumerism

and globalisation.

b) Books such as “Difficulty in Being Good” by Gurcharan Das and

“Future Shock” by E. Tofler argue that ethics and values have to

be either changed or be declared obsolete because Stability is

giving way to Change. Change needs flexibility and adaptability

in values. Continuous Learning, continuous Unlearning that

involves learning to get out of aspects that have become

irrelevant, and Re-learning.

3. ETHOS - Ethics and Value = Spiritual Quotient (SQ)

PATHOS - Feeling, Emotion, Caring = Emotional Quotient (EQ)

LOGOS - Logic, Rationality, Analysis = Intelligence Quotient (IQ)

+ Physical Quotient (PQ)


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4. What and Why of Ethics and Value (Individual)

a) Dimension of Doing ( karni versus akarni )

b) Dimension of Replicating (anukarniya = worth imitating)

c) Dimension of Role Model (worth adopting in one’s own life).

d) Who is responsible for what we are expecting?

e) We have no business to expect from others what we are not

doing ourselves.

f) Change Management: the most famous principle of Change

Management is from Mohandas Karamchand Gandhi - “Do Not

try to change others. Be the change you want to see in others”.

Be a Role Model at home and in office, this is a process of

demonstrating and leading by example. Living by example.

5. From Stability to Change:

1. Experience and Exposure: Balance has been disrupted by Internet.

There is more exposure of young minds through the virtual world at an

age where they have not yet gained maturity or experience. This

results in a loss of touch with reality. As such experience through hard

work and research etc. is getting limited. More experience, due to

time factor, is resulting in less exposure.

2. Rules and Roles: Relationships, Prove to others. Those who improve

do not have to prove as their action provides the proof by themselves.

6. GOVERNANCE:

1. How to harmonize the change in Governance, in the context of Official

Secrecy Act?

2. A paradigm shift is involved from ‘Being Responsible to Being

Responsive’.

3. New processes are needed that provide clear Outputs and Outcomes.

4. ANCHOR : For this paradigm shift Ethics and Values provide the

anchor.

5. HARMONY for balancing between multiple and seemingly conflicting

interests, and constantly being responsive

5.1. There are four characteristics of HARMONY

a) Coordinate

b) Cooperate


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c) Synchronize

d) Implementing Reforms as per Ethics and Values.

e) RE - FORM can only be, after understanding the existing

FORM objectively and fully.

5.2. RANGE of FACTORS around HARMONY

7. There are 8 kinds of RELATIONSHIPS IN OFFICE AND AT HOME

1. Information

2. Change

3. Self

4. Family

5. Roles

6. Relationships

7. Situations

8. Environment

8. Competencies for Governance

a) Equitable

b) Inclusive

c) Competencies

d) Learning to operate without hierarchies

e) Complete in a way that enhances cooperation

f) Having a dose of humility and disciple

g) Learning attitude is essential. An adult is Responsible for one’s

choices as well as what is chosen. Choosing on basis of stimulus is

done by animal only where stimulus effects reactions. For humans

there is a process of Values and Ethics in one’s reactions to any

stimuli.

(Source for content of pages 2 to 7 : Adapted from a presentation by Shri M. P. Sethy on 21.05.2012 in ISTM, New Delhi)


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Unit 2 Significance of Ethics in Civil Services:

9. Public / Civil service values: Significance of Ethics in Civil Services:

The four pillars of Civil Services are :

9.1. Ethos is Citizen Centricity, inclusiveness, promoting public good, long

term interest of the nation.

a) People First attitude

b) Strategic Thinking.

c) Organisational Awareness

d) Commitment to service

e) Leading others

9.2. Ethics is a set of standards that help in guiding conduct in a work

environment, including integrity, self-confidence, attention to details,

and taking accountability. The Government of India has conduct rules

and disciplinary rules for each civil service. Ethics includes the quality

of integrity, transparency, openness and fairness.

9.2.1. The concise Oxford Dictionary defines ethics as the science or

morals or moral principles. It is often used as a synonym for terms

such as values, standards, norms, morality.ii

9.2.2. Ethics is invisible like electricity, but its power is felt when it is

switched oniii

.

1. Ethos 3. Equity

2. Ethics 4. Efficiency


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9.2.3. In 2007 the Third Report of the Administrative Reforms

Commission was entitled ‘Ethics in Government’. This was

because of the world wide realisation of the need for citizen

centricity and Good Governance. This placed the focus on Ethics.

Good Governance in turn was required in the raising of the GDP

growth rate of a country.

9.2.4. The existing Conduct Rules for civil services and other work

process rules were oriented for financial accountability only. But

Integrity includes more than financial honesty.

9.2.5. Two facets of corruption were identified as:

a) Government institutions, rules and processes that

encouraged corrupt practices through licences and control and

b) Individuals who were / are corrupt.

9.3. Equity: is treating all citizens alike, ensuring justice, to all with

empathy for the weaker sections.

9.4. Efficiency is promotion of operational excellence and value for

money. Management of human capital and nurturing capability.

10. Accountability: Interlocking accountability is a process by which evaluation

is easy and accountability is ensured. Building trust and confidence

requires transparency, openness, fairness, and justice. But honesty cannot be

mandated. The art of good governance includes not only making things

right, but also putting them in the right place.

11. Use of technology for monitoring ethical conduct of government business:

11.1. `Probity’, ‘Sparrow' and `Solve' portals have been created to assess

officers' performance and integrity.

11.2. The ‘Sparrow’ (for Smart Performance Appraisal Report Recording

Online Window) system of the Department of Personnel and Training

is being used to make the entire appraisal system online and accessible

for review by the ministries concerned.

11.3. The `Online Probity Management System' Department of Personnel

and Training (DoPT) in association with other ministries, is for

assessing the integrity and performance levels of officers.


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11.4. The `Probity' portal also monitors the rotation of officers on sensitive

and non- sensitive posts, to identify officers occupying sensitive

positions for over three months.

12. Laws, rules, regulations and conscience as sources of ethical guidance

12.1. The Lokpal and Lokayuktas Activ, 2013, passed by Parliament in

2013 and notified after the President's assent on January 1, 2014.

The Act is still to be made operational after two parliamentary

committees vetted the original Act and an amendment Act moved

later by the government. What was supposed to be the panacea

and super inspector for high-level corruption is struggling for

implementation.

12.2. In the States, the most powerful anti-corruption institution has

been the Lokayukta of Karnataka, which is being sought to be

undermined by the ruling parties:

12.3. Delhi’s first woman Lokayukta : Reva Khetrapal, former Delhi

High Court judge, who had pronounced death sentence to the

Nirbhaya criminals.

13. The Prevention of Corruption (Amendment) Bill, 2013v. It has

since been vetted by a Standing Committee of Parliament, Law

Commission and also a Select Committee of Parliament that

submitted its final report on August 12, 2016. It brings changes to

the original 1988 corruption law, diluting the draconian Section

13(1) (d) that criminalises irregular decisions of officials even in

absence of any personal gain.

13.1. The proposed law also offers protection of prior sanction to now-

retired officials like Gupta. This means the CBI needs permission

before opening any inquiries against them. The complaint is that

while both Prime Ministers Manmohan Singh and Narendra

Modi, have voiced their intent to safeguard honest bureaucrats

from various platforms, visible action in terms of amending the

Prevention of Corruption Act has not followed up in earnest. At


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the heart of the delay is an inherent political tussle. The

government feels both the Prevention of Corruption Amendment

Act and the Lokpal Act were brought by the erstwhile UPA

hurriedly without much application of mind to its far-reaching

ramifications. So, drastic amendments were moved by the

government to key provisions in both the legislations.

13.2. The Prevention of Corruption Act 2013 states that all bribe givers

will be held liable on an equal footing with the bribe takers. An

amendment is proposed to spare bribe givers who inform the

police beforehand and help catch the official red handed.

13.3. When the government tried to make the Lokpal law operational,

by asking public servants, that includes heads of trusts and

NGOs funded by government, to declare the assets of their

spouses and dependent children, that will go public. The

provision existed in the 2013 Lokpal law, but became applicable

in 2015. The provision has now been scrapped.

13.4. Amid all this, there is an alternate view within a section of the

government: is there even a need for a super structure like the

Lokpal since there is no corruption under this government?

14. RERA

15. Other policy changes:


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15.1. The rise in complaints against Banks, filed with Banking Ombudsman,

Ms. Gayatri Naik, in the 2014-15:

a) Maximum rise in consumer complaints in eastern part,

though the region is under-banked.

http://epaperbeta.timesofindia.com/Article.aspx?eid=31816&articlexml=Tweaked-Mauritius-Tax-Pact-Yields-Capital-Gains-for-11052016001070

http://epaperbeta.timesofindia.com/Article.aspx?eid=31816&articlexml=Mauritius-Says-Tweak-in-Tax-Pact-Only-for-13052016001067


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b) Rural India is under-banked, and yet had a higher rise in

complaints than metropolitan areas.

c) North and Delhi account for highest number of complaints

filed.

(Source for this graphic and news report: The Times of India, New Delhi edition)

13. Bank of Baroda got entangled in forex transactions for money laundering in

one of its branches in Delhi


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14. Unit 3 Moral Thinkers and Philosophers of India:

Note: A selection of their thoughts on moral values is given. The student

is expected to formulate these thoughts into a cogent answer according to

the question asked in the exam.

1. Swami Vivekananda: Purity, patience, and perseverance are the

three essentials to success, and above all, love.

2. Mahatma Gandhi on Accountability and Transparency

a) Power and Accountability are two sides of the same coin.

b) “We shall never be able to raise the standard of public life

through laws.”

c) “They say ‘means are after all means’. As the means so the

end. There is no wall of separation between means and end.”

d) “Knowing the fundamentals as I interpret it, means putting

them into practice.”

e) “Earth provides enough to satisfy everybody’s needs, but not

for anybody’s greed.”

f) “To argue that what has not occurred in history will not occur

at all, is to disbelieve in the dignity of man.”

g) “If everybody lives by the sweat of his brow, the earth will

become a paradise.”

h) “Ignorance will not disappear merely with education. It can go

only with a change in our ways of thinking.”

3. Guru Nanak : ‘ Truth is great, but truthful living is greater.’vi

4. Goswami Tulsidas in his Ramcharitmanas writes that if a guru , a

vaid, or a minister or a sachiv gives advise due to fear, love or

devotion in the hope of gain, then the king as well as his kingdom

are doomedvii

.


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5. Kailash Satyarthi, Nobel Laureate: “Education is the key to all

other rights in life” “The Second key is the Direction, Quality and

Ethics in Inclusive Education.”

6. Mahatma Gandhi On Ethics in Governance:

a) “Independence must begin at the bottom. Thus every village

will be a republic or Panchayat having full powers. It follows

therefore, that every village has to be self -sustained and

capable of managing its affairs even to the extent of defending

itself against the whole world.’

b) “I will give you a talisman. Whenever in doubt ..….apply the

following test. Recall the face of the poorest and the weakest

man whom you may have seen, and ask yourself if the step you

contemplate is going to be of any use to him. Will he gain

anything by it?”viii

7. Rabindranath Tagore “You can't cross the sea merely by standing

and staring at the water.”

8. Sardar Vallabhbhai Patel : “Every Indian should now forget that

he is a Rajput, a Sikh, or a Jat. He must remember that he is an

Indian and he has every right in this country but with certain

duties.”

3. The World:

3.1. Kofi Annanix, former UN General Secretary, described the power

of information as:

“The great democratizing power of information has given us all

the change to effect change and alleviate poverty in ways we

cannot even imagine today. Out task, your task …. is to make

that change real for those in need, wherever they may be. With

information on our side, with knowledge of a potential for all,

the path to poverty can be reversed.”


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3.2. Kofi Annan: “Good governance is perhaps the single most

important factor in eradicating poverty and promoting

development.

3.3. Albert Einstein: “Education is a progressive discovery of our own

ignorance.”

3.4. Albert Einstein: “A calm and modest life brings more happiness

than the pursuit of success combined with constant restlessness.”

3.5. General George S Patton: “If everyone is thinking alike, then

somebody isn't thinking.”

3.6. T. S Eliot, Poet, “Where is all the knowledge we lost with

information?”

Chapter 4 Philosophical basis of governance and probity

4.1. India’s Epics Mahabharata and the Ramayana state ‘Rajdharma’

as the duty of a king to derive happiness in making his people

happy and feel secure.

4.2. Kautilya’s Arthshastra also emphasized the same principles of

‘Rajdharma’ as “In the happiness of the subjects lies the king’s

happiness, in their welfare his welfare.’

4.3. The king has been replaced by the State and the Constitution of

India states the Rajdharma philosophy in the Preamble that

reflects the primary aims and objects of the Indian State that

shall strive to secure ‘JUSTICE: Social, Economic and Political

to all its citizens.. The Directive Principles of Sate Policy in

Articles 37 to 51 of the Constitution enumerate and elaborate

some of these goals and principles of governance.

a) To establish a social order to promote welfare of all the

people.

b) To minimize inequalities in income and eliminate

inequalities in status.

c) To provide living wages for workers and to ensure to

them decent standard of life and adequate leisure.

d) To ensure adequate means of livelihood to all men and

women.


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e) To ensure equal pay for equal work for men and women.

f) To ensure just and humane conditions of work and

maternity relief.

g) To organise panchayats as units of self -government.

h) To provide free and compulsory education to all children

below 14 years of age (Article 45)

i) To ensure higher level of nutrition and public health

4.4. Mahatma Gandhi’s dream to wipe every tear from every eye’ in

free India.

4.5. Dr. S. Radhakrishnan noticed the evils of corruption and

nepotism even in the Interim government and warned that ‘A

free India will be judged by the way in which it will serve the

interests of the common man in matters of food, clothing,

shelter and social service.’ He emphasised on the need and

urgency to ‘destroy corruption in high places’.

4.6. Dr. Rajendra Prasad advised the future ‘rulers’ as “Those who

have so far been playing the role of rulers and regulators of the

life of our men and women have to assume the role of servants.”

4.7. J.L. Nehru emphasized that ‘the future is not one of ease and

resting but of incessant striving in the service of India.’ Service

here meant ‘ending poverty and ignorance and disease and

inequality.’

4.8. For Sardar Vallabhai Patel and Lal Bahadur Shastri the primary

aim of any good democratic state should be to protect the life

and liberty and property of its people. Government should also

aim to promote the general well- being of the people through

provision of proper health care, educational facilities and access

to basic needs of life like food, water, sanitation and facility of

electricity, road and employment opportunities.

4.9. In 1985x Shri N. K. Palkhiwala delivered a lecture on ‘The

Responsible Society’ and defined it as : “ A responsible society

is the joint venture between the government and the people for

achieving development and enhancing the quality of life

through humane and efficacious means.”


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4.10. The adoption of ‘Satyamev Jayate’ as the national guiding

principle of India les at the core of all ethics in government.

5. Information sharing and transparency in government

5.1. India has moved towards an information revolutionxi

. The

Constitution of India guarantees Fundamental Right under

Article 19(1) (a) Freedom of Expression, which Courts have

held to include the right to information, thus accounting for the

naming of India’s legislation as ‘right to information’. In other

countries there is only ‘freedom for information’.

5.2. The new information technology that developed in 1990s was

accompanied by withdrawal of government monopoly and

control of many activities. Civil society has taken over the space

vacated by government and private sector has been aligned in

public service delivery through the Public Private Participation

(PPP) model.

4. World Bank’s Concept of Good Governance

5.3. ‘Governance’ first mentioned in World Bank Report of 1989 in

the context of ‘crisis of governance’ in Saharan Africa as the

main reason for failure of development projects funded by the

Bank.

5.4. In its 1992 Report, WB equated the term with ‘sound

development management’ and defined ‘Good Governance’ as

‘the manner in which power is exercised in the management of

a country’s economic and social resources for development’.

5.5. The concept was further modified by the Bank in its subsequent

Report to include a ‘predictable open and enlightened policy

making’, ‘a strong civil society participating in public affairs’

and a professional bureaucracy acting in ‘furtherance of the

public good, the rule of law and transparent processes.’

5.6. One view is that the WB definition is a political route to

political reforms and includes a managerial perspective. It

involves combining democracy with governance and stresses on

civil society.


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5.7. A second view emphasizes on ‘de-politicized’ development

through the managerial component only. But as public authority

cannot be ‘apolitical’ due to the very nature of power this view

has few takers.

5.8. A third view emphasizes the holistic nature of development to

see it as a bundle of related aspects that bring about

development, in place of one or two issues focused above.

5.9. Good Governance for transparency in Government of India was

initially adopted through ‘Responsive Government’ (1997).

This was an umbrella concept for multiple reforms

characterized by

a) Citizen Centric service

b) Emphasize on ‘Outcome’ from every ‘Service Delivery’

both financial and non-financial.

c) Private participation in public service delivery.

5.10. Accountability: New dimensions of accountability in

Government of India from 1990s include

a. Accountability oriented practices in India’s

Parliamentary democracy.

b. Accountability after efficiency reforms.

c. Accountability under Governance mode of

functioning.

d. ‘Responsive Government’ based on outcomes

rather than on procedures.

e. The changing language of accountability that

treats citizens as consumers and direct beneficiaries

of a department’s service delivery.

5.11. Right to Information Act 2005 defines information to mean ‘

any material in any form including records, documents,

memos, e-mails, opinions, advices, press releases, circulars,

orders, logbooks, contracts, reports, papers samples, models,

data material held in any electronic form and information


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relating to any private body which can be accessed by a public

authority under any other law for the time being in force.’

This definition makes ‘transparency’ and ‘accountability’ as

the key concepts in the working of every public authority and

the right of any citizen of India to request access to information

held by the government. It also makes the government liable to

provide the information, except for information under Section 8

and list under Section 24.

5.12. The implementation of the Act is not the responsibility of the

government alone, but is also the responsibility of the media,

the civil society, and the citizens.

a) The act provides universal access to information to the poor

as a citizen may seek information on a plain sheet of paper,

or post card, or inland letter. A fee of Rs. 10/- is to be paid

either in cash or sent through an Indian Postal Order.

b) There is no fee for those below the poverty line. For the

illiterate assistance is provide to write down her/his oral

complaint.

c) There is no limit to the number of times information may be

sought.

d) In addition, information on certain topics mentioned in the

Act, and mandated by the Central Information Commission,

is required to be displayed on the website of the ministry /

department.

e) In case of denial of information or incomplete information, a

citizen may appeal to an Appellant Authority, who is a

notified superior officer in the same ministry / department.

f) An online RTI portal has also been created.

g) After the Public Information Officer, the Assistant Public

Information Officer, an appeal can be made to the Central

Information Commission, whose decision is final.

5.13. Citizen’s Charter: introduced in 1997 on the occasion of the

50th Independence Day, is a document meant to empower the


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citizens with information about the working of every

government ministry / department/ undertaking / organisation.

It states the Vision and Mission, the organisational units and

their functions, contact details, and list of Attached /

Subordinate offices including field offices. As in 2018 the

citizen’s charter is accessible on the first page website of every

ministry / department.

Quality of Service Delivery:

5.14. From 2005, the Citizen Charter became a part of Sevottam

framework for quality based service delivery.

5.15. Sevottam is ‘Quality Management System’ (QMS) under which

government organizations can receive certification under Indian

Standard 15700:2005, from Bureau of Indian Standards, New

Delhi.

5.16. Sevottam Framework - At a Glance

Quality Management System (QMS) Sevottam is a Service

Delivery Excellence framework, which provides an assessment-

improvement framework to bring about continuous

improvements in public service delivery, till excellence is

achieved. Sevottam is a simple framework with three modules

of

5.17. Citizen’s Charter a document that specifies the services and the

standards of service delivery, including timelines and contact

details.

5.18. A Grievance Redress Mechanism for public to lodge complaints

and get assured redressal within a specified time period.

5.19. Capability Building for Service Delivery module that involves

systemic and processes review, infrastructure and human

capability augmentation. Thus, it involves ‘gap analysis’

between existing and desired capacity and its augmentation for

assured fulfilment of service standards. The entire process

depends on wide consultations and participation of internal and

external stakeholders. The fundamental point about the


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framework is that it views public service delivery from the

perspective of the citizen who receives it. (For details please see the Sevottam Guidelines attached separately.)

5.20. Model Code of Governance: is now recognized as a critical

pre-requisite for participative and citizen centric development.

The priorities for development adopted by various states and the

variations in their approaches to these priorities have given rise

to diversities that have brought about a variation in the

commitment to these principles across States. The proposed

framework of good governance looks at governance from the

point of view of the citizen and lays down parameters that can

be used for comparison and evaluation of performance by the

States to check out on the state of governance.

5.21. The main components of the model code of governance would

be :-

1) Improving Service Delivery

2) Technology and System Improvement

3) Accountability and Transparency

4) Financial Management and Budget Sanctity

5) Development of programmes for weaker sections and

backward areas

6) Public Service morale and anti-corruption

7) Providing incentives for reforms.

5.22. Improving Service Delivery would involve about 14 sub-

components such as placing people at the centre of all

development activities of the government at all levels, that is,

the Centre, the State, District, and Panchayat,

a) providing services in accordance with specified standards,

b) Through easily accessible interface such as a single

window facility, or a common service centre, so as to

minimize inconvenience to the public.

c) Developing appropriate benchmarks for service delivery

and monitoring performance measurement


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d) Exploring alternative mechanisms such as outsourcing,

public-private-people partnership, public service

agreements between policy makers and service providers,

and then adopting the most appropriate system for the

given service

e) To promote decentralization and strengthen rural and urban

local bodies as grass root level self- governing institutions.

f) To strengthen district administration including Panchayati

Raj institutions and urban local bodies as the cutting edge

level of public administration

g) Clarify the roles and responsibilities of all agencies and

functionaries working at the district level.

h) To adopt participatory mechanisms in public service

delivery, involving the people through civil society groups,

community based organizations, self-help groups, in all

aspects and stages of planning, evaluating, budgeting,

delivery, monitoring, getting feedback, undertaking social

audit, customer satisfaction surveys.

5.23. To establish independent regulatory mechanism to effectively

implement the laws relating to customers’ protection for

ensuring adherence to service standards.

a) To firmly establish the Rule of Law and maintain

public order at all times as the basic foundation of

good governance and provide a safe environment to

citizens and business to pursue their tasks of self-

development and nation building.

b) To develop and implement a core governance and core

reform agenda covering key social, economic and

human development goals which are in the supreme

interest of the people, as well as the socio-economic

development that needs to be pursued with a vision on

a long term basis.

c) To create a conducive environment for public servants

to deliver service and results based on clarity of

vision, mission and objectives, service standards,

delegation of authority and responsibility, budget

linked outcomes, efficiency and proven track record,

appropriate incentives and disincentives.


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5.24. Technology and System Improvement : includes the following

a) To harness the new technologies to simplify the government

procedures, reduce costs and improve interface with citizens

b) To utilize e-governance as a tool for enhancing service delivery,

improving transparency and ensuring better performance

management.

c) To redesign the structure of the government machinery to meet

the aspirations of the people as well as the national and global

challenges.

d) To build a right sized, citizen centric and responsive

government structure.

e) To reform and overhaul processes dealing with citizens and to

corruption prone procedures

5.25. Accountability and transparency

5.25.1. To develop and implement Citizens’ Charters and

Service Charters covering all public services, and take

corrective action for review through citizen involvement.

5.25.1.1. To end secrecy and opaqueness in public

service delivery mechanism. Making the

administration, particularly of public

procurement, transparent, fair and just.

5.25.1.2. To effectively implement the Right to

Information Act 2005, with appropriate record

keeping and record management mechanism.

5.25.1.3. To develop and implement a legal framework

for institutionalizing accountability,

transparency, and performance across the

government.

5.25.1.4. Periodic dissemination of status papers on the

sector issues and options for wide discussion

and involvement.

5.25.1.5. To establish citizen evaluation mechanisms

such a citizen report cards, social audit, user

group monitoring and independent evaluation

by professional agencies.

5.25.1.6. To use e-governance tools to reduce physical

interface between government functionaries and

the instruments of law enforcement and justice.


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5.25.1.7. To re-emphasize and build checks and balances,

tours and inspections, timely action on audits,

effectively managing court cases.

5.25.1.8. To review all outdated laws and use law as an

instrument of accountability and development.

5.26. Financial Management and Budget Sanctity: to ensure that

public money is utilized responsibly for the benefit of the

people the following steps are necessary.

a) To ensure fiscal responsibility and sanctity of the budget

process

b) To move away from expenditure targets to performance related

output with clearly identified, defined and measurable outcome

measures

c) To undertake effective cost containment measures and

eliminate wasteful expenditures and make impact assessment

studies of expenditure

d) To institute effective budget formulation, execution,

monitoring, reporting, revenue-expenditure forecasting, internal

audit, asset management, financial disclosure and management

systems.

5.27. Development of programmes for weaker sections and

backward areas

a) To adopt policies for closely involving the socially and

economically marginalized sections in the mainstream of

development.

b) To undertake special programmes for the development of weaker

sections and the needy, including women, children, the minorities,

and the physically handicapped. This should be based on objective

assessments of the principles of development from the bottom-

most layer with the participation of all stakeholders.

c) To give priority to the placement of public personnel in backward

and tribal areas with appropriate incentive mechanisms

d) To deal with atrocities against women and weaker sections

effectively, devoid of any extraneous considerations.


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5.28. Public Service morale and anti-corruption

a) To promote and strengthen merit-based, competent,

performance oriented, apolitical, responsive and people

centric public service.

b) To keep up service morale by ensuring legitimate service

entitlements, provide a work environment conducive to

performance, matching skills with jobs, and instituting an

impartial dispute resolution mechanism.

c) To provide security of tenure and transparency in

promotions, transfers, placements.

d) To ensure an objective assessment of performance.

e) To evolve and implement human resource development and

management systems.

f) To introduce periodic and mid-career training for skill and

capacity building of public servants and also to improve

learning facilities with professional facilitation for exchange

of best practices and experiences.

g) To institute rewards for outstanding work and accord

deterrent and timely punishment for wilful misconduct and

recalcitrance.

h) To declare zero tolerance for corruption, strengthen

vigilance and anti -corruption machinery.

i) To promote integrity, accountability and proper

management of public affairs and public property.

j) To formulate a Code of Ethics for all connected with public

affairs to implement it strictly.

5.29. Providing incentives for reforms.

a) To create a conducive atmosphere for learning and reform within

the government including capacity building to plan and implement

reforms.

b) To effectively manage change in government by properly designed

change management programmes creating constituencies

supporting reforms


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c) To create a mechanism of documentation and dissemination of best

practices and initiatives in good governance and to provide

incentives for innovations by instituting rewards and recognitions.

5.30. Challenge of Corruptionxii

: Corruption prevention is a

continuous endeavour. To effectively deal with the challenge of

corrupt practices in governance, government has adopted

preventive, detective and punitive measures.

5.30.1. Preventive measures include:

5.30.2. Simplification of departmental rules and

procedures through restructuring and process

re-engineering.

5.30.3. Reducing the scope of discretion in the rules.

5.30.4. Greater de-regulation to reduce scope of corruption.

5.30.5. Creation of common assistance counters for providing

information

5.30.6. Creation of departmental websites as per prescribed

standards for government websites.

5.30.7. Establishment of public grievances redressal

machinery in each ministry linking all its field offices.

5.30.8. Regular and systematic monitoring of disposal of

grievances and cases.

5.30.9. Curbing external interference in the functioning of the

ministry / department.

5.30.10. Detective measures: through use of technology in

corruption prone areas.

a) Closer watch on officials of doubtful integrity by

vigilance agencies.

b) Annual and mandatory self -declaration of movable and

immovable property by government servants.

5.30.11. Deterrent and Punitive measures:


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a) Effective use of available Rules for premature retirement

of government servants on attaining the age of 50 or 55

years.

b) Closer monitoring of all anti- corruption measures.

c) Wide publicity to punishment awarded to guilty persons.

d) Effective use of Right to Information Act.

A few articles for supplementary reading On Ethics and Integrity in

public and private sectors:

Supplementary Article 1 July 06 2016: The Economic Times (Delhi)

CORRUPTION & INDIA INC - Clarity Begins at Home

Mukund Rajan

The writer is Brand Custodian, Tata Sons

1. India needs to address perceptions of widespread corruption that

impact the ease of doing business. It ranks 76 in the International

Corruption Perceptions Index 2015, and 130 in the World Bank's Ease

of Doing Business Index 2015.These statistics matter.

2. IMF research shows that investment in corrupt countries is almost

5% less than in relatively corruption-free countries. India needs to

generate employment for over 12 million youth every year. And jobs

need investment.

3. Increasingly, the party political system is recognising that jobs are

a priority . It is more responsive to the call of corporate institutions for

increased levels of transparency and ease of doing business. So, it is

timely for corporate India to evaluate how it can contribute to the

debate on rooting out corruption in public life.


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4. India Inc needs to first demonstrate its commitment to putting its

own house in order. A good place to start is with the adoption of a

Code of Conduct by each corporate entity .

5. A Code guides the behaviour of the people within the corporate

house. Its coverage can also be extended to value chain partners, thus

increasing its impact. And it sets in motion industry dynamics that

create a kind of competition to do good, reflected, for instance, in the

integrity pacts that corporate entities have entered into in some

overseas markets.

6. Once a baseline is set with a Code, it also creates sustained

pressure on the institution to keep improving on its own standards.

7. A key element in ensuring a Code is taken seriously is to

encourage employees to speak up when they observe its violations.

Such whistleblowing is all too often received badly within

organisations. This has to change.

8. One of the principal reasons for corruption in India is the need to

gene corruption in India is the need to generate funds to fight

elections. The legislated limits on spending per constituency by

candidates ¬ `70 lakh in bigger states for general elections ¬ are

widely acknowledged to be breached by most parties. Corporate

houses now have more transparent alternatives to fund political parties

in the form of electoral trusts that enjoy the sanction of the law.

9. The operations of these trusts can be scrutinised by stakeholders.

By defining predetermined formulae for allocation of the trust funds,

corporate entities can put in place transparent, non-discriminatory and

non-discretionary mechanisms that can significantly insulate them

from political pressure. With increased public vigil, including

demands to open the books of political parties to public scrutiny ,

electoral trusts may eventually lead the way to state funding of

elections.

10. A wide cross section of India Inc is not fully aware of the reach

and extraterritorial jurisdiction of legislation covering bribery and


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corruption across countries, including the Foreign Corrupt Practices

Act (FCPA) in the US and the UK Bribery Act.

11. Indian companies are being increasingly questioned on the

adequacy of their internal anti-bribery and anti- corruption

frameworks by potential or actual business partners, particularly from

the US and Britain. The actions of Indian companies could expose the

foreign partner to unwanted litigation, scrutiny and reputational risk.

We are already seeing a rising trend in FCPA enforcements and

actions involving the Indian operations of US companies.

12. The old adage of `what gets measured, gets improved' holds just as

true in the field of ethics and values. At the recent B20 Anti-

Corruption Forum meeting in Shanghai, it was clear that the agenda of

the most-powerful industrial economies is increasingly focusing on

two key areas: identification of beneficial ownership of legal entities

and making government procurement more transparent through the

use of technology

13. At the Brisbane Summit in November 2014, the G20 leaders

adopted high-level principles on beneficial ownership transparency,

describing financial transparency as a `high priority' issue.’ This

question has acquired greater urgency following the leak of the

Panama Papers.

14. With the advent of new technological tools, the calls are increasing

for automating government procurement and public services. E-

custom clearance programmes and e-procurement processes for public

procurement are helping to simplify policies, procedures and rules and

removing discretion in these areas. Some countries are pushing for

adoption of the HLRM (High Level Reporting Mechanism) ¬ a

channel for companies to report corrupt behaviour in public

procurement. The idea is then to identify and rate companies based on

a `corruption index'.

15. Corruption increases uncertainty and leads to wastage of public

resources and fundamentally undermines the rule of law. It is time for

corporate India to play a leadership role by engaging in advocacy


2018


around the key issues to be resolved. This may be one of the greatest

contributions an Indian corporate entity could make towards nation

building.

Supplementary Article 2

Apr 26 2017: The Economic Times (Delhi) New Delhi

Our Political Bureau

Coal Scam: CBI Books Ex-chief Ranjit Sinha

The Central Bureau of Investigation (CBI) on Monday booked its

former director Ranjit Sinha on charges of criminal misconduct and

abuse of his official position while holding a public office and

indulging in corruption

A case under the Prevention of Corruption Act was registered against

Sinha for allegedly influencing the investigation in the coal block

allocation during his stint as the director of CBI.

The Coalgate had engulfed the UPA government in 2012 after the

CAG accused the government of allocating 194 coal blocks in a

flawed manner between 2004 and 2009. Advocate Prashant Bhushan

had sought a probe against Sinha. Sinha's role in the coal allocation

scam infamously called ‘Coalgate’ had come to light when a visitors'

diary revealed that Sinha had privately met some of the high profile

accused at his official residence several times.

The Supreme Court had held that meeting accused in the absence of

the investigating officer or the investigating team was inappropriate on

behalf of Sinha and had ordered an inquiry in September 2015. A

team was constituted and headed by former CBI director M L Sharma.

Sharma had submitted his detailed inquiry report in a sealed cover to

the Apex Court.

After Sharma's report, the Apex Court had constituted a special

investigation team (SIT) headed by Director CBI to look into Sinha's


2018


role. Sinha is the second CBI director, who stands booked by its own

agency on charges of corruption. A P Singh, also former director CBI,

was earlier booked by the agency on corruption charges along with

meat exporter.

“In view of the orders of the Supreme Court vide which CBI was

instructed to conduct an investigation (as a special investigating team)

into the abuse of authority prima facie committed by Ranjit Sinha with

a view to scuttle enquiries, investigations and prosecutions being

carried out by the CBI in coal block allocation cases, a regular case

under Section 13 (1) (d) of the Prevention of Corruption Act, 1988 is

registered“, the CBI FIR reads. The matter has been entrusted to an SP

level officer for investigation.

Sinha is the second CBI director, who stands booked by its own

agency on charges of corruption. A P Singh, also former director CBI,

was earlier booked by the agency on corruption charges along with

meat exporter.

Supplementary Article 3

Aug 27 2016 : The Economic Times (Delhi)

SCORPÈNE SUBMARINE LEAK - Don't Let it Go Off the Radar

Subimal Bhattacharjee

The writer is former country head of a major defence multinational

Earlier this week, The Australian published the story of 22,400 pages

of leaked secret documents marked `Restricted Scorpène India'. These

revealed threadbare details of the Scorpène-class submarine project in

India consisting of technical literature, manuals and other operational

details.

India's Scorpène submarines are being built at the Mazagon Dock in

Mumbai, a defence public sector undertaking (DPSU), by the French


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company DCNS. The first of the six submarines is set to be

commissioned and named INS Kalvari next month.

The Indian government was quick to respond to the situation and the

defence minister termed the incident as a case of “hacking“. The

ministry of defence (MoD) press release had initially mentioned that

the source of the leak was `overseas' and not from India. The next day

it claimed that the documents were examined and do not pose any

security compromise as the vital parameters have been blacked out.

It's needless to say that such detailed leaks or even `hacks' with serious

national security connotations have many angles that have to be

studied before any conclusions can be arrived at. At the same time, the

issue is a wake-up call to check how secure processes are and how

stringent checks and balances have been in place since sensitive and

national security data have been put under cyber security.

The notorious `Naval War Room' leak case of 2006, in which 7,000

pages were stolen via drives, was already a red flag for the overall

national security apparatus. While much analysis has happened on the

impact of that leaked content, what is a real matter of concern is

India's readiness to deal with such situations in a Digital Age. Defence

assets and data are very much a part of the national security-related

critical information infrastructure. Dealing with them needs well

defined standard operating procedures.

Clearly, the leak of these `restricted' data could have happened

physically or by `hacking'. So the whole paraphernalia would entail

the data storage and transmission protocol agreed between the vendor

and the government, the defined and approved list of access points at

both ends, the redundancy and backup measures if something went

wrong, and the available capacity to deal and arrest any further spread

of such leaked data.

Further, one needs to check if the application of legal arrangements

application of legal arrangements adequately covers current cyber

capabilities. The contract, one must remember, for the submarines was

signed way back in 2004. Likewise, one must examine the capacity of


2018


cyber forensics to investigate such cases and identify the actual source

of the leak even if it happened in 2011. As all the players in this

context are responsible and legally bound, the `leak' or `hack' has to be

identified to bring the perpetrator to justice and maintain the integrity

of India's defence cyber security system.

This case can be well addressed by the provisions of the Information

Technology Act, 2008. Section 66F (B) clearly makes this case one of

cyber terrorism. Whatever be the geography of the act and motive, the

legal umbrella is there. The perpetrator can face life imprisonment.

Likewise, Section 120B (criminal conspiracy) of the Indian Penal

Code (IPC) read along with Section 3 (penalties for spying) and

Section 5 (wrongful communication, etc, of information) and Section

9 (attempts, incitements, etc, of commission of offence) of the Official

Secrets Act also apply .

But the larger point is to realise how much cyber security today is

important for the country's national security, and how proactive steps

have been taken to bolster such measures across critical information

infrastructures (CIIs). The National Cyber Security Policy, 2003,

needs a bigger push for implementation with adequate budgets. Also,

our defence forces need to go many steps forward to have their assets

and data protection measures in overdrive.

The doctrine of warfare has been changing globally. Cyber espionage

forms a major strategy of many countries that employ means to gather

sensitive data and also hack into critical networks. For years, our

adversaries have been regularly targeting strategic assets. Cyberspace

allows much more to sneak, probe and launch attacks.

It is crucial for the government to consider the impact of cyber-attacks

as an act of war in many cases. There is no global binding agreement

on cyber security, and neither will there be one in place very soon.

So, while the Scorpène data would have spread far and wide through

the social media and dark networks with or without portions being

`blacked out', it is time to devise a more proactive strategy to deal with

such exigencies.


2018


i Source: Adapted from The Economic Times (Delhi) dated 29.01.2016 Editorial. ii Source: Article by T. N. Chaturvedi, ‘Good Governance and Ethics: Poltical and Social Implications’ published

in Management in Government, January to March, 2011. iii Ibid page 12

iv Adapted from article in The Economic Times, Delhi edition, August 26, 2016, by Aman Sharma ‘ Anti

Corruption Laws, Stopping the Graft on Tap. v Adapted from article in The Economic Times, Delhi edition, August 26, 2016, by Aman Sharma ‘ Anti

Corruption Laws, Stopping the Graft on Tap. vi Source: Article by T. N. Chaturvedi, ‘Good Governance and Ethics: Poltical and Social Implications’ published

in Management in Government, January to March, 2011. P. 14 vii

Source: Article by T. N. Chaturvedi, ‘Good Governance and Ethics: Poltical and Social Implications’ published in Management in Government, January to March, 2011.p 14. viii

Adapted from Article by T. N. Chaturvedi, ‘Good Governance and Ethics: Poltical and Social Implications’ published in Management in Government, January to March, 2011. Page 16. ix Quoted by Shri Wajahat Habibullah , former CIC, ‘ Right to Information and Ethics in Governance’ published

in Management in Government, January – March 2011. x From T. N. Chaturvedi, ‘Good Governance and Ethics: Poltical and Social Implications’ published in

Management in Government, January to March, 2011. Page 6. xi Adapted from article by Shri Wajahat Habibullah , former CIC, ‘ Right to Information and Ethics in

Governance’ published in Management in Government, January – March 2011. xii

Adapted from aticle by U. C. Agarwal, ‘ Probity in Governance’ published in Management in Government January to March 2011 issue from. p. 22 to 24

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