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Governance, Ethics, Law and International Relations — Group-I · Chapter 8

Public Service Values and Probity

What to remember

  • Probity means integrity, uprightness and honesty in public life; it is supported by codes of conduct, anti-corruption laws and watchdog bodies such as the CVC, Lokpal and Lokayuktas.
  • The Nolan seven principles of public life are selflessness, integrity, objectivity, accountability, openness, honesty and leadership.
  • Sources of ethical guidance for an officer are laws, rules, regulations and conscience, in that order of firmness; where they are silent, conscience and values must guide.

Ethics in public administration

Public administration uses public money and public power on behalf of the people. Ethical standards are needed because officers have discretion, and discretion can be misused. Common ethical problems are corruption, nepotism and favouritism, misuse of official position, political interference, lack of transparency, conflict of interest, and poor treatment of citizens.

An ethical dilemma in government arises when the rule, the superior's order and the officer's conscience point in different directions. A conflict of interest arises when a personal interest (of the officer, family or friends) could affect official judgement. Disclosure of such interest and staying away from the decision is the normal ethical response.

Sources of ethical guidance:

  • Laws: made by the legislature; they have penalties.
  • Rules and regulations: for example, the Central Civil Services (Conduct) Rules, 1964, and the All India Services (Conduct) Rules, 1968, which cover integrity, political neutrality, gifts, property returns and behaviour.
  • Conscience: the inner sense of right and wrong; it is the final guide when law and rule are silent or unjust.
  • Codes of ethics and codes of conduct: a code of ethics states values (broad); a code of conduct lists specific do's and don'ts.

Principles and codes

The Nolan Committee (UK, 1995) listed seven principles of public life: selflessness, integrity, objectivity, accountability, openness, honesty, leadership. They are widely used as a model code.

ValueMeaning in public service
IntegrityHonest and consistent conduct; no personal gain
ImpartialityNo favour or bias
TransparencyOpen information and reasons for decisions
AccountabilityAnswerable for actions to the public and the legislature
ResponsivenessQuick and humane response to citizen needs
Political neutralityServes any government that comes to power

Leadership ethics: a leader sets the tone through example, protects whistle-blowers, gives credit to the team, takes responsibility for failures, treats the team fairly and does not allow wrong shortcuts for results.

Corruption and its control

Corruption is the misuse of public office for private gain. Causes include low accountability, high discretion, complex rules, weak enforcement, social tolerance, and election funding costs. Effects: loss to the exchequer, poor service, loss of public trust, and harm to poor people who cannot pay bribes. The Santhanam Committee (1962-64) studied corruption and led to the creation of the Central Vigilance Commission in 1964; the CVC got statutory status in 2003.

Law or bodyMain point
Prevention of Corruption Act, 1988Main law against bribery by public servants; amended in 2018 to punish bribe-giving too and to require prior approval for some inquiries (Section 17A)
Central Vigilance CommissionAdvises and supervises vigilance in central departments
Central Bureau of InvestigationInvestigates corruption in central matters
Right to Information Act, 2005Citizens can ask for government information; key tool for transparency
Whistle Blowers Protection Act, 2014Protects those who report corruption (not fully operational as of the last official position; check latest)
Prevention of Money Laundering Act, 2002Attaches property from crime proceeds
Benami Transactions (Prohibition) Act, 1988, amended 2016Targets property held in a false name
Fugitive Economic Offenders Act, 2018Action against offenders who flee India
Citizens' CharterPublic promise of service standards, time limits and grievance redress

Other measures: e-governance and direct benefit transfer to reduce leakage, social audit, integrity pacts in big contracts, asset declaration, sanction for prosecution rules, protection of honest officers, and public vigilance campaigns.

Lokpal and Lokayukta

The idea of an Ombudsman came from Scandinavian countries. The First Administrative Reforms Commission (1966-70) recommended Lokpal for the Centre and Lokayuktas for the States. After a long gap, Parliament passed the Lokpal and Lokayuktas Act, 2013.

Lokpal:

  • A Chairperson and up to eight Members; half of the members must be judicial members, and at least half belong to SC, ST, OBC, minorities and women.
  • Selection committee: Prime Minister (Chair), Speaker of Lok Sabha, Leader of Opposition in Lok Sabha, Chief Justice of India or a Judge nominated by him, and an eminent jurist.
  • Jurisdiction includes the Prime Minister (with safeguards, such as exclusion on matters of security, foreign affairs, defence, atomic energy and space), ministers, MPs, and group A to D officers, along with some bodies receiving foreign contributions.
  • It has an inquiry wing and a prosecution wing. The first Lokpal Chairperson was appointed in 2019.

Lokayukta: the Act required every State to set up a Lokayukta within one year. States have their own laws, so structure and powers differ. Andhra Pradesh has a Lokayukta and Upa-Lokayukta under a State law made in the 1980s. Critics point to limits such as dependence on the Government for funds and staff, advisory powers in some States, and delays in cases.

Accountability and ethical governance

Accountability has several forms: political (to the legislature and voters), administrative (to superiors), legal (to courts), and social (to citizens through RTI, social audit and media). The Second Administrative Reforms Commission's report on "Ethics in Governance" stressed a code of ethics, protection for whistle-blowers, citizen-centric services, and strong vigilance. Ethical governance means rule of law, transparency, responsiveness, equity and efficiency.

Strengthening moral values in governance: ethics training at induction and in service, role models, fair performance appraisal, merit-based postings, protection from arbitrary transfer, and open feedback from the public.

Ethics in other settings

  • Private and corporate: Companies Act, 2013 includes independent directors, audit committees and Corporate Social Responsibility (companies above a set profit level must spend a share of profit on social work). Corporate governance means fairness, transparency, accountability and responsibility to shareholders and society. Conflicts include insider trading, misleading accounts and bribery.
  • Ethical issues in international relations: use of aid with conditions, respect for sovereignty, human rights concerns versus national interest, and fair treatment of refugees and migrants.
  • Judiciary: the Bangalore Principles of Judicial Conduct stress independence, impartiality, integrity, propriety, equality and competence.

Handling ethical dilemmas in office: practical guide

Real cases test the values above. Some common situations and the sound response:

  • Pressure from a superior or a politician to bend a rule: state the rule politely, ask for the order in writing, record the reasons, and use the proper channel to report if the pressure continues. An officer must obey lawful orders but is not bound to follow an unlawful one.
  • Gift or hospitality from a person who has a pending matter: refuse politely; report if the offer is large or repeated.
  • A colleague is found taking bribes: do not ignore; collect facts, report to the vigilance authority or the head of the department, and protect the evidence. Loyalty to a colleague cannot be placed above duty to the public.
  • A poor applicant who misses a technical condition: check whether the rule allows relaxation; if not, explain the reason with respect and guide the person to the available remedy rather than breaking the rule.
  • Use of official vehicle or staff for private work: avoid; public resources are held in trust.

A useful final check is the "mirror and newspaper test": would I be comfortable if my decision were printed in a newspaper and if my own family saw it?

Exam traps

  • Nolan principles are seven; do not confuse with seven sins of Gandhi.
  • CVC was set up in 1964; it got statutory status in 2003.
  • Lokpal Act is 2013; it was not implemented until a chairperson was appointed in 2019.
  • Lokpal is for the Centre; Lokayukta is a State body.
  • Code of ethics states values; code of conduct states specific rules.
  • RTI Act is 2005; Whistle Blowers Act is 2014.
  • Santhanam Committee led to CVC; First ARC recommended Lokpal.
  • Conscience guides when rules are silent but does not override law lightly.

One-liners

  • 1. Probity means integrity and uprightness in public life.
  • 2. Nolan Committee gave seven principles of public life.
  • 3. CVC was created on the Santhanam Committee's recommendation.
  • 4. RTI Act was passed in 2005.
  • 5. The Lokpal and Lokayuktas Act was passed in 2013.
  • 6. The Prevention of Corruption Act dates from 1988.
  • 7. Half the Lokpal members must be judicial members.
  • 8. The Prime Minister is within Lokpal's jurisdiction with safeguards.
  • 9. Conduct rules for central civil servants date from 1964.
  • 10. A conflict of interest should be declared.
  • 11. The Citizens' Charter promises service standards.
  • 12. The Second ARC wrote a report on ethics in governance.

Practice questions

  1. The seven principles of public life were listed by the

    1. Santhanam Committee
    2. Second ARC
    3. Nolan Committee
    4. Vohra Committee
    Answer

    C. Nolan Committee

    The Nolan Committee (UK) gave seven principles of public life.

  2. Which of the following is NOT one of the Nolan principles?

    1. Profitability
    2. Leadership
    3. Selflessness
    4. Openness
    Answer

    A. Profitability

    The seven are selflessness, integrity, objectivity, accountability, openness, honesty and leadership.

  3. The Central Vigilance Commission was set up on the recommendation of the

    1. Vohra Committee
    2. Nolan Committee
    3. Santhanam Committee
    4. Punchhi Commission
    Answer

    C. Santhanam Committee

    Santhanam Committee (1962-64) led to the CVC in 1964.

  4. The Lokpal and Lokayuktas Act was passed in

    1. 1988
    2. 2018
    3. 2005
    4. 2013
    Answer

    D. 2013

    It was passed in 2013 and came into force in January 2014.

  5. The Right to Information Act was passed in

    1. 2002
    2. 2005
    3. 2014
    4. 2013
    Answer

    B. 2005

    The RTI Act is of 2005.

  6. The Whistle Blowers Protection Act was passed in

    1. 2014
    2. 2011
    3. 2005
    4. 2018
    Answer

    A. 2014

    The Act was passed in 2014.

  7. The First Administrative Reforms Commission recommended

    1. Lokpal and Lokayukta
    2. The CVC
    3. The RTI Act
    4. Citizens' Charter only
    Answer

    A. Lokpal and Lokayukta

    It recommended the institution of Lokpal and Lokayuktas.

  8. The main law against bribery by public servants is the

    1. Lokpal Act, 2013
    2. Benami Act, 1988
    3. Prevention of Corruption Act, 1988
    4. RTI Act, 2005
    Answer

    C. Prevention of Corruption Act, 1988

    The 1988 Act punishes bribery by public servants.

  9. Conduct of central civil servants is regulated by

    1. PMLA, 2002
    2. Central Civil Services (Conduct) Rules, 1964
    3. RTI Act, 2005
    4. Companies Act, 2013
    Answer

    B. Central Civil Services (Conduct) Rules, 1964

    These rules cover integrity, neutrality and behaviour.

  10. In the selection committee for the Lokpal, who chairs it?

    1. Speaker of Lok Sabha
    2. Chief Justice of India
    3. President
    4. Prime Minister
    Answer

    D. Prime Minister

    The Prime Minister is the Chair.

  11. At least what share of Lokpal's members must be judicial members?

    1. One-third
    2. Three-fourths
    3. One-fourth
    4. One-half
    Answer

    D. One-half

    Half of the members must be judicial.

  12. A code that lists specific do's and don'ts for officials is a

    1. Preamble
    2. Code of conduct
    3. Charter of rights
    4. Code of ethics
    Answer

    B. Code of conduct

    A code of ethics states values; a code of conduct states specific rules.

  13. A public promise of service standards, time limits and redress is a

    1. Writ petition
    2. Whistle-blower policy
    3. Citizens' Charter
    4. Social audit
    Answer

    C. Citizens' Charter

    The Citizens' Charter sets service standards.

  14. A situation where an official's private interest could affect official judgement is

    1. Whistle-blowing
    2. Social audit
    3. Conflict of interest
    4. Probity
    Answer

    C. Conflict of interest

    Disclosure and recusal are the usual responses.

  15. An officer finds that a tender includes his brother's company. The best ethical step is to

    1. Cancel all tenders
    2. Approve it quickly
    3. Hide the relation
    4. Disclose the interest and keep out of the decision
    Answer

    D. Disclose the interest and keep out of the decision

    Disclosure and recusal manage the conflict of interest.

  16. Which of the following is the best source of guidance when rules are silent?

    1. Conscience guided by values
    2. Rumour
    3. Public opinion alone
    4. Superior's mood
    Answer

    A. Conscience guided by values

    Conscience and values guide when law is silent.

  17. A subordinate reports a bribery case in his office. Which law is meant to protect him?

    1. Dowry Prohibition Act
    2. Whistle Blowers Protection Act, 2014
    3. Companies Act
    4. Official Secrets Act
    Answer

    B. Whistle Blowers Protection Act, 2014

    The Act aims to protect those who report corruption.

  18. A citizen wants to know how a road contract was awarded. The best legal tool is

    1. RTI Act, 2005
    2. Lokpal Act only
    3. Benami Act
    4. Companies Act
    Answer

    A. RTI Act, 2005

    RTI gives access to government information.

  19. Which is a preventive tool to reduce leakage in welfare schemes?

    1. Delaying payments
    2. Direct benefit transfer
    3. Cash payments through middlemen
    4. Closing records
    Answer

    B. Direct benefit transfer

    DBT reduces middlemen and leakage.

  20. Which body investigates corruption in central matters?

    1. CAG
    2. Finance Commission
    3. CBI
    4. Election Commission
    Answer

    C. CBI

    The CBI investigates such matters.

  21. Which statement best describes political neutrality?

    1. Servants avoid work
    2. Servants work for the ruling party's interest
    3. Servants join parties
    4. Servants serve any lawful government without bias
    Answer

    D. Servants serve any lawful government without bias

    A civil servant serves whichever party is in power.

  22. Consider the statements. 1. The Lokpal covers the Prime Minister with safeguards. 2. Lokpal is a State-level body. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    A. 1 only

    Lokpal is for the Centre; Lokayukta is for States.

  23. Consider the statements. 1. The CVC was set up in 1964. 2. It got statutory status in 2003. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    C. Both 1 and 2

    Both dates are correct.

  24. Consider the statements. 1. Santhanam Committee led to the CVC. 2. First ARC recommended Lokpal. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    C. Both 1 and 2

    Both statements are right.

  25. Consider the statements. 1. The Prevention of Corruption Act was amended in 2018. 2. The amendment punishes bribe-giving as well. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    C. Both 1 and 2

    Both are correct.

  26. Consider the statements. 1. A code of ethics lists specific rules. 2. A code of conduct states broad values only. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    D. Neither 1 nor 2

    The two statements are reversed.

  27. Consider the statements. 1. Corruption affects the poor more because they cannot pay bribes. 2. Corruption has no effect on public trust. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    A. 1 only

    Corruption reduces public trust.

  28. Consider the statements. 1. Conscience can guide when law is silent. 2. Conscience is a legal rule enforced by courts. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    A. 1 only

    Conscience is an inner guide, not a legal rule.

  29. Consider the statements. 1. The Lokpal Act of 2013 asks States to set up Lokayuktas. 2. All States have identical Lokayukta laws. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    A. 1 only

    State laws differ in powers and structure.

  30. Consider the statements. 1. RTI Act promotes transparency. 2. RTI Act was passed in 2013. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    A. 1 only

    RTI was passed in 2005.

  31. Consider the statements. 1. Companies Act, 2013 includes provisions on Corporate Social Responsibility. 2. It includes independent directors. Which is/are correct?

    1. 1 only
    2. 2 only
    3. Both 1 and 2
    4. Neither 1 nor 2
    Answer

    C. Both 1 and 2

    Both are part of the 2013 Act.

  32. Match the body with its function: CBI

    1. Supervises central vigilance
    2. Investigates corruption cases
    3. Audits government accounts
    4. Conducts elections
    Answer

    B. Investigates corruption cases

    The CBI is an investigating agency.

  33. Match the body with its function: CVC

    1. Appoints Governors
    2. Advises and supervises vigilance in central departments
    3. Investigates all crimes
    4. Passes laws
    Answer

    B. Advises and supervises vigilance in central departments

    The CVC supervises vigilance.

  34. Match the law with its subject: Benami Transactions Act

    1. Whistle-blower protection
    2. Judicial conduct
    3. Access to information
    4. Property held in a false name
    Answer

    D. Property held in a false name

    It targets benami property.

  35. Match the law with its subject: Prevention of Money Laundering Act, 2002

    1. Right to information
    2. Service standards
    3. Public servants' conduct
    4. Attachment of property from crime proceeds
    Answer

    D. Attachment of property from crime proceeds

    PMLA attaches proceeds of crime.

  36. Match the document with its subject: Bangalore Principles

    1. Whistle-blowers
    2. Judicial conduct
    3. Corporate governance
    4. Civil service rules
    Answer

    B. Judicial conduct

    They set standards of judicial conduct.

  37. Match the committee with its work: Second ARC report "Ethics in Governance"

    1. Corporate social responsibility
    2. Code of ethics and citizen-centric governance
    3. Lokpal at the Centre
    4. Creation of the CVC
    Answer

    B. Code of ethics and citizen-centric governance

    The Second ARC wrote on ethics in governance.

  38. An officer is pressured by a minister to transfer an honest subordinate for refusing a favour. The ethical response is

    1. Transfer him quietly
    2. Resign at once
    3. Follow the order without question
    4. Refuse in writing with reasons citing rules and report through proper channels
    Answer

    D. Refuse in writing with reasons citing rules and report through proper channels

    Rule-based and recorded response is the right course.

  39. A friend offers a costly gift before a licence decision. The ethical response is

    1. Accept but delay approval
    2. Ask for a bigger gift
    3. Accept it and approve
    4. Politely refuse and record the offer
    Answer

    D. Politely refuse and record the offer

    Gifts from interested parties break conduct rules.

  40. Which one is a form of social accountability?

    1. Police inquiry
    2. Court trial
    3. Social audit
    4. Cabinet decision
    Answer

    C. Social audit

    Social audit lets citizens review government work.

  41. Which statement about Lokpal's jurisdiction over the Prime Minister is correct?

    1. It is complete with no safeguards
    2. It is excluded for matters such as security and foreign affairs
    3. It never applies
    4. It applies only after retirement
    Answer

    B. It is excluded for matters such as security and foreign affairs

    Safeguards exclude sensitive subjects.

  42. Which of these best expresses the idea of probity?

    1. Large budgets
    2. Popularity of a leader
    3. Speed in decisions
    4. Honesty and uprightness in public life
    Answer

    D. Honesty and uprightness in public life

    Probity means integrity and honesty.

  43. Responsiveness in public service means

    1. Quick and humane response to citizen needs
    2. Following only superiors
    3. Delaying decisions for study
    4. Ignoring complaints
    Answer

    A. Quick and humane response to citizen needs

    Responsiveness is a core value.

  44. A leader's ethical duty in a team includes

    1. Rewarding favourites
    2. Taking responsibility for failures and giving credit to the team
    3. Blaming juniors
    4. Hiding mistakes
    Answer

    B. Taking responsibility for failures and giving credit to the team

    Ethical leadership means fair and responsible conduct.

  45. Which element of accountability applies when an officer answers questions in the Legislature through a minister?

    1. Political accountability
    2. Social accountability only
    3. Personal loyalty
    4. Informal pressure
    Answer

    A. Political accountability

    Answerability to the legislature is political accountability.

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