Ethical
Challenges in Governance
Ethics refers to those moral principles
which are provided by external sources and govern a person’s conduct.
Governance refers to processes of interaction and decision making as well as
structures and systems which constitute a state or an organisation. Many of
these ethical challenges necessitate non-economic goals. However no code of
ethics or ethical policy can bring compliance with law and high ethical standards.
Commitment to ethics is inspired by top leadership.
(1) India’s rank in corruption perception
Transparency International’s Corruption
Perception Index (C.P.I.) measures the perceived levels of public sector
corruption worldwide. In 2016, India ranked 76th out of 168
countries. In 2015, India ranked 76th out of 175 countries, compared
to China (100th), Pakistan (126th), Bangladesh (145th), Sri Lanka (85th), Nepal
(126th) and Bhutan (30th). This is the second least corruption rank for India
in the whole of South Asia. In 2013, India was ranked 94th out of
175 countries. In 2012, India was 94th ranked out of 174. In 2011,
India ranked 95th out of 182 countries.
The above indicates that India has a
substantial challenge to governance in terms of high corruption (absence of
ethics). In India, corruption has been aggravated by three factors:
1. There is an enormous asymmetry of
power in our society. Nearly 90% of our people are in the unorganised sector
and are very poor and not highly literate.
2. We have inherited a colonial legacy
of unchallenged authority. People in power exercise their power arbitrarily.
3. In the early decades after
independence India chose a set of policies which put the citizens at the mercy
of the government. There was regulation in all sectors of economy, leading to
widespread corruption.
(2) Public Administrators as moral
agents
There is a difference between efficient
governance and ethically driven governance.
In many countries of European Union, the primary focus is on processes
and procedures for improving governance rather than on asserting ethically
driven standards of governance. But a government can have political legitimacy
only when its legislators and civil servants act professionally and ethically.
Public administration has to be a moral/ ethical enterprise. A public
administrator has to be a moral agent, with a special moral status. He or she
has to take a clear moral position in resolving issues as inequality, poverty,
injustice and corruption, in addition to having skills, efficiency and
strategies.
Legislators too are moral agents. But
they are also expected to act as advocates for specific constituents in seeking
government benefits. A public administrator serves best as a model of moral
agency in governance (than a legislator).
Therefore the profiles and
proficiencies of public officials have to meet the criteria of clear moral
position as also of having communication and collaborative and other skills and
strategies. In other words, public administrators are the class who have to
meet the ethical challenges in governance more than the other classes like
political or business people, though the latter also have to give their
support.
Chapter 3, verse 21 of Geeta says:
“Whatever deed is done by good people
(in public offices), the community follows. Thus public officials have a much
heavy moral load on their shoulders to carry.”
Often maintaining professional ethics
comes in conflict with desire to maintain career. Sometimes there is a conflict
between choosing to serve the best interests of the community and being
responsible to the government of the day. This has the danger of development of
an unhealthy politician – administrator nexus.
(3) Ethical Principals in Public Life
Nolan Committee of UK, in 1994 gave
the following seven principles of public life:
1.
Selflessness
2.
Integrity
3.
Objectivity
4.
Accountability
5.
Openness
6.
Honesty
7.
Leadership
In 2012, Belgian
Directors’ Association (GUBERNA) produced a Director’s Tool kit about ethical
principles to be followed by individual directors. The details of Toolkit are
as below:
1. Act ethically and with integrity
2. Have high standards of honesty and
loyalty
3. Have respect for rules
4. Comply with procedures and avoid and
resolve conflict of interest.
5. Have irreproachable behaviour with
regard to law and rules.
6. Be incorruptible and free of all
pressures while taking decisions.
7. Be faithful to commitments.
8. Be trustworthy and act in a manner so
as to preserve trust and confidence required by office.
9. Be responsible and act with
diligence, caution and reserve, refrain from holding indiscrete and indelicate
conversations. Assume consequences for your behaviour. Discharges duties to the
best of your abilities and with discernment.
Broadly there are four sets of
ethical principles (ethical framework). These sets are as follows:
1. Principles of justice and fairness.
2. Principles of truth
3. Principles of service to the common
good (service in public interest).
4. Principles of trusteeship
(trustworthiness)
We elaborate each of these sets of
ethical principles as follows:
(3.1) Principles of justice and fairness:
a.
Rule
of Law
b. Accountability for the proper exercise of authority
and use of public resources.
c.
Equity
in administrating rewards and punishments.
d. Equity of rights and opportunities
e.
Participation
in the consultative process for collective decision-making
f.
Merit
system in contacting personnel.
(3.2) Ethical principles of truth:
a.
Truthfulness
in reporting the facts.
b.
Honesty
in managing resources
c.
Evidence-based
decision making
d.
Transparency
of decision-making and resource management for public scrutiny.
e.
Safeguard
for whistleblowers.
(3.3) Ethical principles of service to the common good:
(Service in public interest)
(Service in public interest)
a.
Consensus-building
in relation to the common good.
b.
Application
of human development indicators
c.
Inclusiveness
d.
Spirit
of service
e.
Respect
for human dignity
(3.4)Ethical principles of Trusteeship (trustworthiness):
a.
Legal
contract between government and public servant.
b.
Responsible
stewardship
c.
Efficient
and effective service of the public interest.
d.
Transparency
regarding possible conflict of interest.
e.
Recognition
of merit and adequate remuneration.
(4) India’s Political System and Corruption
In India, political system suffers
from many ills and inadequacies which pose major ethical challenges to
governance. Some of the challenges are as below:
(i)
Nexus
between politics and crime.
(ii)
Immunity
of members of parliament and members of State legislatives from proceedings in
a court.
(iii)
Funding,
Donations and gifts to political persons and parties by industry.
(iv)
Weak
anti-defection law.
(v)
No
code of conduct for ministers.
(vi)
Crony
capitalism.
(vii)
Appointment
in high posts on considerations other than merit (like Lokayukt).
(4.1) Findings of Vohra Committee Report on nexus between crime and
politics in India.
(i) On the basis of the extensive
experience gained by our various concerned intelligence, investigative and
enforcement agencies, it is apparent that crime Syndicates and Mafia
organizations have established themselves in various parts of the country.
(ii) The various crimes Syndicates/Mafia
organizations have developed significant muscle and money power and established
linkages with the governmental functionaries, political leaders and others to
be able to operate with impunity (as recently exemplified by the activities of
the Memon Brothers and Dawood Ibrahim)
(iii)
While
the CBI and IB and the various agencies under the department of revenue in
their normal course of functioning, came across information relating to the
linkages of the Crime Syndicate/Mafia Organizations there is presently no
system under which they are expected to pass on such information to an identified
nodal agency. Sharing of such information is presently of an occasional nature
and no evidence is available of the same having been put to any operational
use.
(4.2) Immunity enjoyed by Legislators in Parliament and State
Legislatures Article
105 (2)
No Member of Parliament shall be
liable to any proceedings in any court in respect of anything said or any vote
given by him in Parliament or any Committee thereof and no person shall be so
liable in respect of the publication by or under the authority of either House
of Parliament of any reports, paper, votes or proceedings.
Similar provisions exist in Article
194(2) for members of State legislatures.
Immunity covers corrupt acts
committed by MPs in connection with duties in the House or otherwise.
(4.3)Other Ethical challenges:
(i)
Bribery
(ii)
Coercion
(iii) Insider trading by leakage of
confidential data.
(iv) Discrimination
(v)
Nepotism
(vi) False returns of income, false
statements of accounts.
(vii)
Accumulation
of profits by illegal means.
(4.4)Diversity,
equality (especially of genders), eradication of poverty, environment are
increasingly occupying attention in ethical governance. Corruption in judiciary
is another complex area for governance.
(4.5)The
security provided to government employees under article 311 of the Constitution
results in long delays in punishing the officials for corruption and other
charges. Often the delay is compounded when a criminal case for corruption is
also investigated by police against a government official, because there is a
delay in sanction for prosecution.
There is also an
inordinate delay in taking up the cases of irregularities pointed at by audit
reports, as public Accounts Committee is overloaded with work.
Employees unions and
teachers Unions also oppose when serious disciplinary is taken against their
members:
(5)Ethical Corporate Governance
In addition to government, governance
also includes corporate governance. On 29th October, 2007, Central
Vigilance Committee, Government of India circulated a note on “Corporate
Government and Ethics challenges and Imperatives”. Kumar Mangalam Birla
Committee constituted by Security and Exchange Board of India (SEBI) expressed
concerns about standards of financial reporting and accountability by some of
companies. As a result, some companies raised capital from the market and
investors suffered because managements performed much worse than past reported
figures. Bad corporate governance was also highlighted when promoters share
were allotted at prices much below the market value. Many companies did not pay
heed to investors’ grievances.
(6)Architecture to meet ethical challenges
Along with their ethical framework of
four sets of principles, we need the following to complete the architecture of
our ethics, relevant for governance.
1)
A
code of conduct.
2)
A
set of established anti-corruption laws.
3)
Established
administrative procedures, including procedures for sanction on reprehensible
acts.
4)
Mechanism
for whistle-blowing (Ombudsman)
5)
Mechanisms
for collaboration and coordination between existing and anti corruption
agencies also for evaluation.
(7)Socialisation of ethical framework
To meet ethical challenges
effectively, we also need socialization of ethical framework and code of
conduct through:
1) Consciousness raising activities.
2) Transforming dysfunctional mental
models.
3) Development of intensive motivation
to apply an ethical framework
4) Advocacy through moral leadership.
(8) Some steps recently taken in India to meet ethical challenges to
governance
In India some recent anti-corruption
steps have been taken in the right direction. The Right to Information Act has
been enacted. The introduction of e-governance in many areas of public
administration has resulted in reduced corruption. Thirdly the Supreme Court
has ordered electoral reforms on seven occasions since 2003.
1.
March 2003: A
voter has a fundamental right to know candidates’ qualifications, assets,
liabilities and criminal antecedents, if any.
2.
July 5, 2013:
Freebies in poll manifestos vitiate electoral process; EC to frame guidelines
after consulting with political parties.
3.
July 10, 2013:
Automatic disqualification of MPs/ MLAs convicted by crimes attracting
punishment of two years or above.
Section 8(4) of Representation of the People Act that allowed a
convicted MP/MLA to continue in office, declared unconstitutional.
4.
September 13, 2013: Knowing about a voter’s natural right and candidatures will be rejected
if they refuse to disclose any information on their election affidavit.
5.
September 27, 2013: Voters have right to not back any candidate. The none of the above
(NOTA) option to be enabled in voting machines.
6.
March 10, 2014:
One year deadline set for lower courts to complete trial in cases involving
MPs, MLAs.
7.
February 5, 2015: A candidates’ election can be declared null and void due to
non-disclosure of criminal antecedents.
(9)Other important steps to help in meeting ethical challenges
Free press (Media) and Vigilant Civil
Society can also contribute to put pressure on the government to meet ethical
challenges. This requires a closer interaction between public services, civil
society and other sections of intelligentsia.
Social and religious organisations
can also play a part. Strict enforcement of penal provisions can act as
deterrent.
Moral education must be separated
from the start of life, and to this end, a restructuring of the educational
syllabus is imperative. Value based learning and teaching is essential and
should be brought in by reorienting our formal education system.
Date: 28.03.2016
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