Dr. V. Vivekanandan I.R.S Additional Commissioner (Income Tax) On GS Ethics Preparation
Approach to Ethics paper By Dr. V. Vivekanandan, IRS
Ethics, Integrity and Aptitude: Can it be written in too general way? It is General Studies paper. But, can it be written in a too general way? We cannot write ultra-technically also, as ultra-technicality is not required in GS paper. We cannot write it in too general way also. Some technicality also has to be interspersed. What do we mean my Technicality here? What Techniques should be used in writing this paper? What is the expectation from us? What are we suppose to know? Syllabus has mentioned only broader areas of the paper. It is not exhaustive! It then appears that they may ask even nitty-gritty’s and minor aspects of ethics also! Our aim is to empower you to secure more marks easily in this paper.
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Why was this paper introduced? Unless we understand as to why this paper is introduced, we cannot get the soul of the subject and cannot bring it in our writing. Hence, first let us understand the purpose for introduction of this paper for Civil Services Examination. Upto early 1800’s, our country has high moral standards, as admitted by Lord Macaulay in British Parliament:
These days, Corruption has grown like a cancer in public service, destroying the very essence of public service. Other ethics related problems like conflict of interest, dilemmas, insider trading, and corporate frauds are increasing manifold in public life. In today’s world, the aggravation of material greed has a reaction set ablaze the fire of corruption at all levels. The issue of dealing with corruption has become the mother of all issues. One standard deviation improvement in the corruption index is associated with over a 4-percentage point increase in the
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investment rate and half a percentage increase in the annual growth rate of per capita GDP. Corruption renders governance into a state of “non-governance�.
Everybody has the urge to reap the maximum benefits with minimum efforts; such tendency has led people to compromise their morality as well as ethical conduct of the organisation in which they operate. In India, people cherish ethics but never internalise them.
The cancer of corruption has seeped into the blood stream of our polity. The million dollar question that stares us in the face is what can be done other than what we have been doing in the name of combating this evil all along. If a part of human body suffers from gangrene, doctors might advise surgery. When gangrene spreads to all nooks and corners, probably surgical amputation cannot be the mode of management. The punitive methods in the form of criminal law on corruption and disciplinary action for breach of conduct rules of the public servants on one hand and preventive measures in the form of pro-active vigilance on the other may need to be strengthened and the loopholes plugged. But, this may not suffice. As history shows, unscrupulous elements have always been one step ahead of the law.
The enacted laws to curb these malpractices have proved to be inadequate. We need to do something over and above law enforcement. What law cannot solve, ethics can solve. Ethics is mother of all laws. Hence, in addition to legal angle, it has to approached and tackled from other angles also – viz., philosophical, sociological, psychological, economic, political, practical, management and public administration angles. Hence, this paper is introduced.
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PHILOSOPHICAL
PSYCHOLOGY
CORRUPTION & other related CORRUPTION &ETHICAL ETHICAL problems
MANAGEMENT
APPLIED ETHICS
There should be inter-disciplinary multi-pronged approach to tackle problems ailing the public service. There is a clue in this for presenting your answers in the examination. You cannot give simple direct answers; you have to analyse the questions, problems and case studies from the above angles wherever possible and give a comprehensive answer to tackle corruption and other ethical problems. Everything in society finally falls back on ethics. Ethics touches the entire society. Ethics manages all the contradictions of the society. Ethics cannot allow a contradiction. That is why this paper is introduced. Every employer likes to restrict the training period as little as possible. This is more so in private sector. Now, to some extent, this is being applied to government employees, at least at higher level recruitments. They like us to know Citizens charter, Code of Conduct, Conduct Rules, work culture, decision making skills, persuasion skills, Quality Management, Corporate Governance, Right to Information Act, etc. even before we enter into government. This is the latest
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global trend in recruitment. Hence, government also tends to follow suit. In order to follow the global trend, this paper is introduced. Civil servants could be posted as Directors in PSUs. Corporate scams and frauds are increasing. Hence, the government thinks that the aspiring civil servants should know much about good corporate governance also. That is why the syllabus includes Corporate governance also. Once we know the purpose, our level of understanding improves. This helps us to approach the paper in a better way.
Analysis of the syllabus: Now let us segregate the syllabus according to the above perspectives and angles: The passages below in green are actual syllabus given by UPSC. 1. Philosophical Angle:
- Essence, determinants and consequences of Ethics in human actions -
Dimensions of ethics Human Values – lessons from the lives and teachings of great leaders, reformers and administrators
-
Contributions of moral thinkers and philosophers from India and world
WESTERN ETHICS
INDIAN ETHICS
PHILOSOPHICAL
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2. Sociological Angle – What Social Institutions (Family, School, Society, etc.) can do?, Social Issues and Conflicts.
Role of family, society and institutions in inculcating values
educational
3. Psychological Angle – Attitudes, Behaviour, Persuasion, Emotional Intelligence.
Attitude: content, structure, function Its influence and relation with thought and behavior Moral and political attitudes Social influence and persuasion Emotional intelligence-concepts, and their utilities and application in administration and governance
4. Legal Angle:
Laws, rules, regulations and conscience as sources of ethical guidance Information sharing and transparency in government, Right to Information Codes of Ethics Codes of Conduct
For Laws, Rules and Regulations, it is better to know the salient features of the following Acts and Bills for comprehensive understanding as to what has been done legally to tackle corruption and ethical problems, which will lead to better presentation during the examination: Constitutional provisions, Conduct Rules, CVC Act, Prevention of Corruption Act, Delhi Special Police Establishment Act (CBI Act), Benami 6 V. Vivekanandan
Transactions Prohibition Act, Right to Information Act, CAG Act, All India Service(AIS) Conduct Rules, Central Civil Services(CCS) Conduct Rules, AIS(Discipline and Appeal) Rules, CCA Rules (Disciplinary Proceedings), All India Services Act 1951, Administrative Law, The Sexual Harassment of Women at the Workplace (Prevention, Prohibition and Redressal) Act 2013, Companies Act 2013, Banking Regulation Act, FEMA, SPCA, AntiMoney Laundering Bill, Public Services Bill 2006, Bill for timely delivery of services, Civil Services Bill 2009, Disclosure Bill, Public Procurement Bill 2012, Whistleblower protection Bill, Citizens Right to Grievance Redress Bill 2011, Electronic Service Delivery Bill 2011, Mines and Minerals Bill 2011, Draft CBI Act 2010, Model Real Estate Act, The Land Acquisition, Rehabilitation and Resettlement Bill 2011, The Lokpal and Lokayuktas Bill 2011, etc. including the Institutional framework of Anticorruption machinery and social infrastructure like Citizens Charter and Social Audit.
5. Management Angle – Work culture, Ethical Concerns and Dilemmas in Government and private institutions, Ethical decision making, Conflict management, Problem solving approach, Quality of Service Delivery, Total Quality Management (TQM), Utilisation of Public Funds.
Ethical concerns and dilemmas in government and private institutions Work culture (can be seen from Pub. Ad. Angle also.) Quality of service delivery (can be seen from Pub. Ad.
Angle also.) 6. Public Administration Angle – Concept of Public Service and Governance, Ethical Governance, Characteristics of Ideal Civil Servant: Integrity, Impartiality and non-partisanship, Objectivity, Dedication to public service, Empathy, Tolerance and Compassion towards the weaker sections, Probity, Accountability, Responsiveness, Transparency, eGovernance
Aptitude and foundational values for Civil Service , integrity, impartiality and non-
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partisanship, objectivity, dedication to public service, empathy, tolerance and compassion towards the weaker sections Ethics in private and public relationships Public/Civil service values and Ethics in Public administration: Status and problems Accountability and ethical governance Strengthening of ethical and moral values in governance Probity in Governance: Concept of public service; Philosophical basis of governance and probity Citizen’s Charters Utilization of public funds Challenges of corruption
7. Economics Angle – Corporate Governance, Responsibility – Companies Law – Business Ethics
Corporate
Social
Corporate governance
8. Political Science Angle - International Ethics – Ethical issues in international relations and funding.
Ethical issues in international relations and funding
9. Practical Angle – Applied Ethics - Case Studies.
Remember this analysis of syllabus. It will be useful in seeing and analyzing the questions also in above possible angles and present your answers comprehensively.
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Some important General elements that could be used in giving answers: • While presenting the answers in the exam, show and demonstrate you have enough Ethical Literacy; you are ethically competent to take decisions; and you have ethical point of view and ethical reasoning in all your decision making processes. • Serving the public - Public Service is prime. Putting National Interest above anything else. • Public interest - Civil Servants should be guided by public interest in their official decision making and not by any financial or other consideration either in respect of themselves or their families or friends. • Public trust: The concept of trusteeship • Resources belong to the public: The resources – physical, natural, manpower and financial belong to the public. • Public good: Dedication to public service involves integrating yourself with the idea of public good; integrated single minded relentless pursuit of public good. The goals or objectives are determined in accordance with the needs of the people rather than available resources alone, thus the motive is service rather than profit. • Preamble of the Constitution: The elements of the Preamble will serve as guiding lights in sharpening our thinking in those lines and presenting answers accordingly wherever necessary. Among the elements of Preamble, following Democratic Principles and Justice Approach are more important from this Ethics paper point of view. • Fundamental Rights: This will be useful whenever you analyse a problem from “Rights approach”. Remember Fundamental Rights also have reasonable restrictions.
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• Directive Principles of State Policy: This will be useful whenever you analyse a problem from “Public Welfare approach”. • Fundamental Duties: This may be some use whenever you analyse a problem from “Duty approach”. • Leading by example: Be an example in your organisation for others. • Recognize the fact that “What is right need not be always good”. The concepts of right vs. wrong and good vs bad operate on two different platforms and central to ethical philosophy. Right and wrong speak more about the means and good or bad speak more about the ends of an action. • In general, choose long term benefit for the society instead of short term gains. • Link knowledge from various fields while answering questions. It is for our convenience, we segregate and learn. But in real life, there is no such segregation. Your success remains in analyzing the issues by various knowledge fields-wise and on the appropriate links - synthesis among them you achieve. For example, if a question appears on Intellectual integrity, you have to link Philosophical ideas of cardinal virtues of Aristotle, “Satya” of Jainism, “Truth” of Gandhi, and Public Administration concept of integrity and Psychological concept of Bar-On’s Self Regard. • Remember Gandhiji’s Talisman, which is the ultimate test to be used in certain ethical dilemma cases:
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• Remember the Seven Dangers to Human Virtue, as told by Gandhiji, which would be useful in answering sometimes:
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Remember the following quote of Gandhiji, which would be useful in answering certain Business Ethics cases:
Remember the following quotes of Gandhiji also, which may be useful: “There is sufficiency in the world for man’s need but not for man’s greed.” This will be useful for corruption related questions.
This may be useful in Persuasion related questions. 12 V. Vivekanandan
This may be useful in questions related to the debate of desirability or otherwise of capital punishment.
This may be useful in question related to Animal ethics, clinical studies, and Bioethics related questions. If you salute your duty, you don’t have to salute anybody. But if you pollute your duty, you have to salute everybody. – Kalam. Honesty doesn’t warrant any premium. It is duty.
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From the angle of Philosophy: Philosophy: It consists of two words ‘Philo’ meaning ‘love of’ and ‘sophia’ meaning ‘wisdom’. It is endless enquiry. Four branches of Philosophy: 1. Metaphysics: Theory of Reality, questions pertaining to Nature and even transcendental powers. 2. Epistemology: What is knowledge, means of knowledge, etc. 3. Logic: Principles of Reasoning. 4. Ethics: It is normative and not empirical. The basic concepts with which ethics deal are good&bad, right&wrong, duty&obligation, Justice&injustice, virtue&vice. Ethics: Ethics is science of conduct. It is a science in the sense that it involves a rational inquiry, but ethics is a normative science. It is concerned with norms and standards; it is not about the way world is, but the way the world ought to be. Ethics is more ambitious than descriptive science which is more concerned with empirical facts. Eg.: Scientific Question: What will be the impact of detonating a nuclear weapon in a city? Ethical Question: Should we detonate a nuclear weapon? Ethical consideration begins the moment an individual asks what I ought to do and why? Ethics is concerned with “values”, not “what is” but “what ought to be”.
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Conduct: It can be distinguished from “behavior”. In Social Sciences such as Anthropology, Psychology, and Sociology, attention is given to behavior. Conduct can be understood as moral behavior, a behavior which results from moral choice. The agent voluntarily chooses one of the alternatives in preference to other. Thus, while Social Science studies actual behavior of human, the ethicist seeks to discover how they ought to conduct themselves. Ethics and Morality: The word ‘Ethics’ comes from the word ‘ethos’ and the word ‘Morality’ comes from ‘mores’, both meaning almost the same. Ethics is generally related with theory; deliberation on practice is Ethics. Morality relates to practice. Ethics is also called Moral Philosophy or Theory of Morality. Ethics is understood as theoretical examination of Morality. It is an attempt to understand moral concepts such as right, wrong, good, virtues and to justify Moral principles. Thus, the interest of Ethicist is theoretical, while that of Moralist is practical. Evolution of Morality: “…..we know that as knowledge comes, person grows, morality is evolved, and idea of non-separateness begins. Whether men understand it or not, they are impelled by that power behind to become unselfish. That is the foundation of morality. It is the quintessence of all ethics, preached in any language, or any religion, or by any prophet in the world…” – Vivekananda. Morality is also said to be individual ethics. According to others, Morality is a subset of Ethics. Ethics involves reflecting over the question “how should I live” and Morality is concerned with obligations. According to Habermas, Ethics is concerned with the good life and Morality with right conduct. This distinction is also implicit in John Rawl’s Theory of Justice. Some people believe that Ethics is secular and Morality is related to Religion.
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Some scholars make the distinction by claiming that something can be unethical yet moral. Eg. Robinhood’s stealing to feed the poor was unethical but still moral. Why should we be Moral? Ethics and Morality are integral to human life and one cannot envisage a life bereft of moral values. Socrates’ dictum “unexamined life is not worth living” aptly encapsulates the importance of Ethics in human life. One is happy or unhappy in exact proportion to one’s moral integrity. Morality is important for a meaningful life. The question is how to replace a life of futility with a life of meaning. According to ethicists or moralists, the answer lies in ethics. Ethical deliberation exhorts us to discover purpose, values and ideals like good, right, happiness, justice, equality, liberty, etc., pursuing which we are able to live a life of contentment and significance. Ethics or morality is required for a life of integrity. Ethics and Law: Ethics is closely related to law. Many laws are instituted in order to promote well-being, social harmony and resolve conflict of interest just as morality does, but then ethics may evaluate some laws as immoral without denying that they are valid laws. Eg.: Laws permitting slavery or discrimination on the basis of race like Apartheid law(once upon a time). Law differs from morality in the sense that physical sanction is imposed by law but ethics is essentially sanction of conscience. Religion and Morality: Although there is no uniform concept of religion as well as of morality but both religion and morality formulate laws of conduct for the personal as well as social goods.
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In primitive cultures, religion and morality were not distinguished and religion was the only source and guardian of morality. Ordinarily every recognized religion has moral principles in its fold, however at times, religion seems to transcend morality and moral principles are sacrificed in the name of religion. Ethics and Values: All ethics are values. While Values describe, ethics prescribes. Important characteristics of Ethics: 1. Ethics cannot be shaped and sustained in isolation. A person’s environment interacts with his genotype to influence the behavioural outcomes. 2. A man is not only the “product” but also the “producer” of his culture. A person not only learns from the culture but may also lead to a change in ethical system of the society. It is a two way process. 3. Ethics depends on context in which they are operating. It depends on time, place, etc. 4. Ethics operates at different levels: individual, organizational, sociocultural, political and international level. Eg.: Ethics at international level: Panchsheel. Socio-cultural level: Tolerance, equality and Altruism. 5. Ethics are subjective in nature i.e., they are effected by one’s emotion and perception. 6. Ethics are inter-related to each other. 7. All ethics are values but all values are not ethics. Value “describes” what is desirable and undesirable. Value is descriptive. Ethics “prescribes” what is right and good. Ethics is prescriptive. What Ethics is not? 1. Ethics is not religion. 2. Ethics is not law. – S 144 of CrPC, AFSPA 3. Ethics is not about following cultural norms. (untouchability, caste system) 4. Ethics is not a pure science. (Science is objective; ethics is subjective also.) 5. Ethics is not what we are feeling. (some may feel good even after doing immoral activity.)
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Integrity: Integrity has two features: 1. Internal integrity and 2. External integrity. Internal integrity: It is a state of wholeness or completeness. A person who lacks integrity lacks something that one should have possessed as a self. This type of integrity involves having a sense of “who one ought to be” i.e. it involves a vision of an “ideal self” and a strong conception of how a good life should be lived. Internal integrity is attained when one individual is able to realize one’s ideal self. In this state, the individual is complete within oneself where, “what one does” is not in conflict with “what one thinks one ought to do”. External integrity: It is a state where life is lived in accordance with ethical principles or rules. It necessitates that the principles and character traits that compose the ideal way of living must be the right ones.
Aptitude: Aptitude is defined as a natural or inherent talent to acquire a certain skill or ability in the future through appropriate training. Aptitude can be both mental and physical. Skill refers to things an individual has learned to do in the past. Ability refers to things he can do now. Aptitude refers to things he can learn in the future. Eg.: UPSC ----------------------- Academy --------------------- District Aptitude --------------------- Ability ----------------------- Skill Training Practice Some commonly recognized aptitudes includes general learning capacity, verbal aptitude, numerical aptitude, form perception, reasoning, creativity and visual memory.
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Aptitude and Intelligence: Intelligence is the capacity of the individual to act purposefully with his environment to deal effectively with his environment. Aptitude can also be defined as intelligence or physical capacity in a particular area. Aptitude realization: Realising one’s talent requires two things: 1. Your resolve to pursue your aptitude. 2. Your socio-cultural and economic surroundings. Aptitude identification: Aptitudes are generally tested in the form of an aptitude battery which tests a large number of aptitudes at one time with a series of small tests for each aptitude. Achievement tests: Achievement represents the skills, abilities, and knowledge gained. Achievement test measures the extent to which the person has achieved something, acquired certain information or mastered certain skill, usually as a result of planned instruction or training. Achievement tests are combined with aptitude test in order to understand the present and future qualities of a candidate. Aptitude for civil services: 1. Physical 2. Mental a. General Mental Capacity b. Value System i. End oriented Values ii. Means oriented Values A source of end value is Indian Constitution; source of means values is policies. Political executives are more concerned with end values; Bureaucrats are more concerned with means values.
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Indian Ethics: 6 Schools of Hinduism: i. Nyaya: The School of Logic. ii. Vaisheshika: The Atomist School iii. Samkhya: The Enumeration School iv. Yoga: The School of Patanjali v. Mimamsa or Purva Mimamsa: The Tradition of Vedic Exegesis, with emphasis on Vedic Ritual vi. Vedanta or Uttara Mimamsa: The Upanishadic Tradition, with emphasis on Vedic Philosophy.
Theory of Purusharthas (Human Values): i. Dharma (Virtue / Duties) ii. Artha (Economic Wellbeing) iii. Kama (Sensual Pleasure) iv. Moksha (Salvation / Liberation) Charvak School: Theory of Materialism – The aim of life should be minimum pain and maximum pleasure. Buddhism, Confucianism, Taoism, Jainism are model systems as well as forms of religion without god. Their ethics is grounded in reason and positive human emotions like love and compassion. Theistic religions like Judaism, Islam and Christianity subscribe to the “Divine Command Theory”. Buddhism:
8 Fold Path: Sila (Physical Control): 1. Right Speech, 2. Right Action, 3. Right means of livelihood Chitta (Mental Control): 4. Right Exertion, 5. Right Mindedness, 6. Right Meditation Prajna (Intellectual Development): 7. Right Resolution, 8. Right Point of View. Four Cardinal Virtues: 1. Love, 2. Pity, 3. Joy, 4. Serenity Love: “Just as a mother, as long as she lives, cares for her only child, so should a man feel all embracing love to all living beings. He should 20 V. Vivekanandan
feel boundless love for all the world, above below and across, unrestrained, without enmity. Standing, walking, sitting or lying down…he should be firm in mindfulness of love. For this is what men call the sublime Mood.” Conduct: “…by charity, goodness, restraint and self control man and woman alike can store up a well hidden treasure- a treasure which cannot be given to others, and which robbers cannot steal. A wise man should do good-that is the treasure which will not leave him.” 10 Precepts of Conduct: •Refrain from harming living beings •Refrain from taking what is not given •Refrain from evil behavior in passion •Refrain from false speech •Refrain from sura, majja, which causes carelessness •Refrain from eating from forbidden times •Refrain from dancing, singing, music •Refrain from use of garlands, perfumes, jewelry •Refrain from use of high and broad bed •Refrain from receiving gold and silver
Jainism: Triratna •Right faith (samyag darshan) •Right knowledge (samyag jnana) •Right conduct (samyag charitra) 5 vows •Ahimsa •Satya •Asteya (not to steal) •Brahmacharya •Aparigraha (non-possession)
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Be well-versed with ethical thoughts of Gandhi, Nehru, Tagore, Ambedkar and Vivekananda. Vivekananda: Work is worship; Service is religion. Rajaram Mohan Roy: True way of serving god is to do good to man. Abolition of sati. Gandhian Values: Truth, Non-violence, Self discipline, Self purification. Hate the sin not the sinner: Gandhi. Ambedkar: Advocated Free Social Order, recognizing individual as end in itself –by association between individuals in society founded on liberty, equality and fraternity. Nation is greater than hero, so Bhakti and hero-worship is a sure road to degradation and eventual dictatorship and hence reject heroism. E.V. Ramasamy: Humanism is supreme – Forget god, think man. 5 concepts of Indian ethics*: I. The Guna Dynamics II. Art and Science of Work – Nishkam Karma III. Moral Law of Cause and Effect – Doctrine of Karma IV. The concept of Lower Self and Higher Self V. The Giving Model of Inspiration The above five concepts are explained in the DoPT material on “Values in Administration”. I have given the edited abridged version of these 5 concepts at the end after the list of books under “Recommended Readings”. One must read it* to completely understand Indian Ethics. There cannot be a better material to understand Indian Ethics than this. Don’t miss it.
Almost every system of Indian Philosophy maintains that ignorance about the real nature of self is cause of our bondage and liberation can be attained through the right knowledge of the self.
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Western Ethics:
Meta-ethics: deals with the nature of moral judgement. It looks at the origins and meaning of ethical principles.
Normative ethics is concerned with the content of moral judgements and the criteria for what is right or wrong.
Applied ethics looks at controversial topics like war, animal rights and capital punishment.
Socrates: Founder of Moral Philosophy; What is good? What is right? What is just?; Virtue is knowledge.
Virtue Ethics / Character-based Ethics: Plato (Idealism) and Aristotle (Perfectionism): looks at virtue or moral character, rather than at ethical duties and rules, or the consequences of actions - indeed some philosophers of this school deny that there can be such things as universal ethical rules. Virtue ethics is particularly concerned with the way individuals live their lives, and less concerned in assessing particular actions. It develops the idea of good actions by looking at the way virtuous people express their inner goodness in the things that they do. To put it very simply, virtue ethics teaches that an action is right if and only if it is an action that a virtuous person would do in the same circumstances, and that a virtuous person is someone who has a particularly good character. Traditional cardinal virtues: Prudence, justice, fortitude/bravery, temperance. Modern virtues: Justice, fidelity, self-care, prudence.
Plato: Disciple of Socrates. Platonism – quality of goodness is universal; Justice is universal value (His work: “Republic”).
Aristotle: Disciple of Plato. Father of logic and reason. Nichomachean Ethics (His book on Practical Ethics).
Deontological Ethics or Principle based Approach (Means are important than the ends.) – attributed to Immanuel Kant. It looks into “What is right?” – According to this, one has to do the right thing even if it produces bad result. “Duty” and “Intentions” prima facie matter in deciding the morality of an action. - Kantian Ethics to some extent resembles Gandhian Ethics. “Deonto” means “duty”. Duty-based ethics: It regards duty as the
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fundamental concept of ethics. Duty is to be performed for the sake of duty alone without regard for the consequences. Categorical Imperative of Immanuel Kant: Universal Values. Categorical means universal and unconditional. Imperative means Law or behavior. Categorical Imperative means Universal law of human behavior. It is the standard for any action. If my action does not come under Universal law, will this society survive? Principle of Universalisability: Immanuel Kant. In case of dilemma, ask whether a thing could be universalized? If it cannot be universalized, it cannot be ethical. This principle makes it clear that suicide is wrong because it cannot become a universal law if suicide were committed by all there would be none left. Kantian Ethics: Immanuel Kant. Nothing but the three concepts of Dutybased ethics, Categorical imperative and the Principle of Universalisability discussed above. His fundamental idea is Human Autonomy. His book: Universal Natural History and Theory of Heavens. Teleological Ethics (Ends justify the means.) – attributed to Kierkegaard: Rightness of an act is determined by the goodness of its consequence. “Teleo” means “End”. It looks into “What is good?” Utilitarianism (Jeremy Bentham, James Mill and John Stuart Mill): It is the most famous theory in Teleological Ethics. Consequentialism (Anscombe): It is nothing but part of Teleological Ethics. People should do whatever produces the greatest amount of good consequences.
Hedonism (Epicurus): It is a form of Utilitarianism from the other end! It gives prominence to Sensual pleasure. Summum bonum of life is pleasure. Hedonism posits that the principle ethic is maximizing pleasure and minimizing pain. It resembles “Kama” Purushartha and Charvak School of Indian Philosophy. Ethical Egoism: It is a branch of teleological ethics. It says only those ends are desirable which are in the personal interests of an individual. Stoicism (Zeno of Citium, Epictetus): Greatest good is contentment and serenity based on reason. The followers were known as The Stoics. 24 V. Vivekanandan
Tautology: God wills what God wills. Nihilism: Life is without objective meaning. Moral Nihilism: Dostoevsky Tolstoy: No morality without religion. Humanist Ethics: Bertrand Russell Nietzsche: God is dead (“The Gay Science”) – Ethics of inner strength. Kierkegaard: God is beyond Ethics.
Moral Realism: Moral realism is based on the idea that there are real objective moral facts or truths in the universe. Moral statements provide factual information about those truths.
Subjectivism:
Moral judgments are nothing more than statements of a
person's feelings or attitudes, and that ethical statements do not contain factual truths about goodness or badness.
Moral Absolutism: Some people think there are such universal rules that apply to everyone. This sort of thinking is called moral absolutism.
Moral / Ethical Relativism: Moral relativists say that if you look at different cultures or different periods in history you'll find that they have different moral rules.
Cultural Relativism or Conventionalism: Taking decisions based on prevailing social norms. Emotivism (Stevenson and Ayer): Moral claims are no more than expressions of approval or disapproval. This sounds like subjectivism, but in emotivism a moral statement doesn't provide information about the speaker's feelings about the topic but expresses those feelings.
Prescriptivism: Ethical statements are instructions or recommendations. Intuitionism: There are objective moral truths, and that human beings
can
find them by using their minds in a particular, intuitive way.
Doctrine of Double Effect: When an action will have two consequences (a “double effect”), the ethicality of that action depends on which of the effects was intended. This doctrine says that if doing something morally good has a morally bad side-effect, it's ethically OK to do it providing the bad side-effect wasn't intended. This is true even if you
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foresaw that the bad effect would probably happen. Eg.: War and civilian deaths, Abortion when mother’s life is at danger.
Rousseau: Social Contract Theory Pragmatism(John Dewey): Anything useful and practical is not always true, what most contributes to the most human good in the long coure is true. The practical, useful understanding of life is more important than searching for an impractical abstract truth about life. According to William James, truth could be made, but not sought. To a pragmatist, the meaning of life is discoverable only via experience. Theory of Justice (John Rawls): Each person has an equal right to the most basic liberties comparable with similar liberties for others; Social and economic inequalities are arranged so that they are both: reasonably expected to be to everyone’s advantage and attached to positions and offices open to all.
Situation ethics: It rejects prescriptive rules and argues that individual ethical decisions should be made according to the unique situation. Rather than following rules the decision maker should follow a desire to seek the best for the people involved. There are no moral rules or rights - each case is unique and deserves a unique solution.
John Locke: Father of Liberalism.
Hegel: Developed the ideas of psychiatry based on the concept of Dialectics.
Karl Marx: Outlined a humanist concept of Communism. Order of change: Feudalism Capitalism Socialism.
Machiavelli: End justifies means. His work: “Prince”. Credited for formulating for the first time “modern concept of state”. He was in direct opposition of moralistic theory of politics.
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From the angle of Sociology: Note: According to Sociology, Family is an institution. As an institution, it can shape and inculcate the morals and values of the family members. Similar is the case for Schools and Colleges – Value education
From the angle of Psychology: Attitude: Attitude is an enduring positive or negative feeling about some person, object or issue. (Patty & Cacioppo 1981) “The greatest discovery of our generation is that human beings can alter their lives by altering their attitudes of mind.” – William James. Attitude content: Multicomponent model (Zanna & Rempel 1988; Eagly & Chaiken 1993): Cognitive component (Beliefs, thoughts, and attributes) Affective component (Feelings or Emotions) Behavioural component (Past behaviours or experiences)
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Origins of attitude: Cognitive: Genes, Stimulus generation, stimulus discrimination, knowledge Affective: Values, Mere exposure, Classical conditioning (The case whereby a stimulus that elicits an emotional response is repeatedly experienced along with a neutral stimulus that does not, until the neutral stimulus takes on the emotional properties of the first stimulus.) Behavioural: Bem’s Self Perception Theory, Operant Conditioning (The case whereby behaviors that people freely choose to perform increase or decrease in frequency, depending on whether they are followed by positive reinforcement or punishment.)
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Attitude Functions (Katz & Smith):
-
Object-appraisal Social adjustment
Externalisation Attitude Functions (Gregory Herek 1986, 2000) Evaluative functions Expressive functions Attitude – Behaviour Relationship: Do attitudes determine behaviour? What are the conditions under which attitudes predict behaviour? Are attitude and behavior linked? Attitude is both the source of, and result of behavior! Taken as a whole, the studies suggest that it is considerably more likely that attitudes will be unrelated or only slightly related to overt behaviors then that attitudes will be closely related to actions.
Other Additive Factors Personality traits Ability Motivation
Attitude Habit Needs
Behavior
Social pressure Other attitudes
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Attitudes can predict behavior – when? we minimize social influence on attitudes Reduce social desirable responding [bogus pipeline(An experimental paradigm, A phony lie-detector device that is sometimes used to get respondents to give truthful answers to sensitive questions, Helps control for social desirability), implicit measures] we match the level of specificity of attitudes and behaviours • General attitudes predict behaviours in general • Specific attitudes predict specific behaviours The theory of planned behaviour(Ajzen & Fishbein) attitudes are strong The Attitude-Behaviour link: Do attitudes determine behaviour? Sometimes. Does behaviour determine attitudes? Sometimes. Why and when do behaviors change attitudes? Self-Presentation (not actual attitude change) Self-Justification - Cognitive Dissonance Theory(Tension arises when we are aware of inconsistencies in the self; You realize that your behaviour doesn’t match your attitude; To reduce that tension we often change our attitudes to fit the behaviour) Self-Perception Theory of Daryl Bem (When unsure of our attitudes, we infer them by observing our behaviour. Social Embodiment Theory (Recent theorizing on embodiment suggest there is a close relationship between bodily feedback and higher cognitions. They assume that actions and body movements can directly influence our thoughts and attitudes.) 30 V. Vivekanandan
Attitude-change strategy focusing on cognitions Increased affect (liking) Marketing stimuli (advertisement, package)
Behaviour (purchase)
Overall attitude change
Cognitions (beliefs)
Behaviour (purchase)
Increased affect (liking)
8
Attitude-change Strategy Focusing on Affect Increased positive beliefs Positive marketing stimuli (advertisement, package)
Behaviour (purchase)
Increased affective response (liking) towards product
Overall attitude change
Behaviour (purchase)
Increased positive beliefs
6
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Attitude-change Strategy Focusing on Behaviour Increased affect (liking) Marketing or situational stimuli (free sample, guests)
Increased positive beliefs Overall attitude change
Behaviour (purchase, consumption)
Increased positive beliefs
Increased affect (liking)
7
Influence: When you change another person’s behavior and attitude based on your character. Influence Strategies: Coercive power Reward power Legitimate power Reference power Expert power Informal power Persuasion: When you deliberately try to change another person’s behavior through words, actions, etc. Persuation inherently has attitude change as its goal; Shaping, Reinforcing and Changing the responses of others; Changing the Mind Sets of others; The process by which a message induces change in feelings, attitudes, or behaviours.
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6 Persuasion Principles / Strategies(Robert Cialdini 2001): Liking / Friendship Reciprocity (of favours and concessions) Social proof / Social Validation (actions / attitudes of others) Commitment & Consistency Scarcity Authority Persuasion types: Subliminal persuasion – by cues. Persuasion by Role Playing – All the world is a stage. Dissonance Reduction Avoiding the Rationalization trap Alternative Routes of Self Persuasion: Self-Perception Theory: Self-persuasion through observation of own behavior. Impression Management Theory: What matters is not a motive to be consistent but rather a motive to appear consistent. Self-Affirmation Theory: Dissonance situations create a threat to the self. Persuasion Techniques: Eric Berne’s Transactional Analysis – creating I’m OK; you’re OK situation or win-win situation. Two routes to persuasion: (Elaborate Likelihood Model) Central Route • Person thinks carefully about a message • Influenced by the strength and quality of the message Peripheral Route • Person does not think critically about the contents of a message • Influenced by superficial cues
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Basic factors that influence persuasion WHO
What
To Whom
Communicator Variables
Message Variables
Audience Variables
Examples:
Examples:
Examples:
Credibility
Knowledge
Attractiveness
Single personal example versus factual
Status
Fear appeals One-sided versus two-sided arguments
Personality (e.g., self-esteem) Pre-existing attitudes Gender
Repetition
Message – Primacy / Recency: • Primacy effects: Information presented first has the most influence. • Recency effects: Information presented last has the most influence. Who says what to whom under what circumstance? Audience – What are they thinking? The ability and motivation to counter-argue is the key to whether persuasion works (via the central route) – Forewarned – Distraction – Involvement – Need for Cognition/Need for Closure – Innoculation (presenting people with a weak version of a persuasive argument increases resistance against that argument) – Reactance (If we think someone is trying to persuade us, we will be less likely to be persauded)
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Petty & Cacioppo’s (1986) dual-process model of persuasion
Traditional Persuasion Techniques: • Greater rewards lead to more responses • Greater punishment leads to less responses • Use of "credible" sources (experts, authority figures) • Use of conformity paradigms (e.g., Asch, Sherif) Theory of Cognitive Dissonance (1957, Leon Festinger):
Bem’s alternative to Cognitive Dissonance theory: Bem’s (1972) self-perception theory holds that we can base our attitudes on our acts without experiencing dissonance.
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• To the extent that people’s internal states are weak or difficult to interpret and they believe their behaviour to be unconstrained, then people will infer their attitudes from their behaviour. Why positive feelings activate the peripheral route? • A positive emotional state is cognitively distracting, impairing ability to think critically • When in a good mood, assume all is well and become lazy processors of information • When happy, become motivated not to spoil the mood by thinking critically about new information Ajzen’s (1991) Theory of Planned Behaviour: Postulates an attitude – intention – behavior sequence; acknowledges the potential influence of social expectations on behavior. Compliance Strategies: Promise, Threat, Expertise, Negative stimulation, Debt, Moral, Good Feeling, Bad Feeling, Altercasting, Altruism and Esteem. Emotional Intelligence: • Intelligence is the ability to learn from experience and the ability to adapt to the surrounding environment. • Theory of multiple intelligence: Verbal comprehension, Number, space, Associative memory, Perceptual speed and Reasoning. • IQ predicts school grades relatively well and does not predict success in life. • Individuals with identical IQs may differ very markedly in regard to their effective ability to cope with their environment. It may be due to the factors such as drive, energy, impulsiveness, etc. (Wechsler)
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ď‚— Emotion may also be integral to the processes of reasoning and decision making (Damasio). ď‚— In 1983, Gardner first published his theory, derived from extensive brain research, on Multiple Intelligence including intrapersonal (self awareness/self management) and interpersonal (relationship awareness/management).
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Reuven Bar-On(1988) has placed EI in the context of personality theory, specifically a model of well-being. Peter Salovey and John Mayer first proposed their theory of EI in 1990 and defined it in 1997 as: “EI involves the abilities to perceive, appraise, and express emotion; to access and/or generate feelings when they facilitate thought; to understand emotion and emotional knowledge; and to regulate emotions to promote emotional and intellectual growth.” EI describes an ability or capacity to perceive, assess, and manage the emotions of one’s self, and of others. Goleman (1995-2008) has popularized the concept of EI and formulated EI in terms of a theory of job and work performance. EI is critical for building harmonious relationships with people in our work and social environment. An emotionally intelligent administrator is sensitive to the emotional states of self and others. This sensitivity enables the emotionally intelligent administrator to motivate self and others to perform at an optimum level. On the other hand, lack of EI in an administrator is likely to reduce the morale of the persons working in the organisation. Thus, EI is essential for administrators to build and maintain relationships with the members of their respective organisations at all hierarchical levels. EI enables Administrators to resolve conflicts among the members of their respective organisations. Administrators with high EI make their organisations work with high synergy and efficiency. EI is crucial for people management including self management. It is essential for the administrators to be emotionally intelligent with subordinates and superiors.
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Research on the Effects of Intelligence (EI) on Career Success “IQ”
“EI”
CAREER ADVANCEMENT
LOW “EI”
CAREER DERAILMENT
EI and psychological conditioning: Emotionally intelligent behavior can very well be a result of years of conditioning. Components of EI: Knowing one’s own emotions: Recognise and name emotions you feel; understand why you feel that way; and distinguish between feelings and actions. Motivating oneself: When considering how to productively harness your feelings, practice some emotional self-control and delay gratification Recognizing emotions in others: Be sensitive to other people’s feelings and listen well. Managing emotions: Accept your feelings, but find a balance between over sensitivity or over expression and emotional suppression Handling relationships: Being perceptive, applying conflict management skills instead of ignoring conflict, and being considerate and cooperative.
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o IQ vs EQ: Your EQ has more to do with your success and happiness in life than your IQ and it can be learned. It is very important to understand that EI is not the opposite of intelligence, it is not the triumph of heart over head – it is the unique intersection of both.
o Ability Model of Salovey & Mayer: EI as the pure form of mental ability: Identifying, Using, Understanding and Managing Emotions. o Mixed Model of Bar-On (EQ): EI as the combination of mental ability with personality characteristics: Intrapersonal, Interpersonal, Adaptability, Stress Management, and General Mood. o Mixed Model of Goleman: Self-awareness: Emotional awareness, Accurate self assessment, Self condidence Self-management: Self Control, Trustworthiness, Conscientiousness, Adaptability, Achievement Drive, Initiative Social Awareness: Empathy, Service Orientation, Organizational Awareness Relationship Management: Developing Others, Influence, Communication, Conflict Management, Leadership, Change Catalyst, Building Bonds, Teamwork and Collaboration
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Major components of EQ/EI Self Awareness – Understand own moods and emotions SOCIAL AWARENESS
RELATIONSHIP MANAGEMENT
EI
Self Management – Control over emotions, think before act!
Emotional intelligence
SELFMANAGEMANT
SELFAWARENESS
Social Awareness – Develop a rapport with new people Relationship Management – Understand other’s emotions and treat them as they wish to be treated
o Importance of EI at work: Better manage stress at work Improve your relationships with co-workers Deal more effectively with your superiors. Be more productive. Be a better manager and / or leader. Better manage your priorities. Be a better team player. 41 V. Vivekanandan
o Measuring EI: MSCEI
Mayer, Salovey, Caruso Emotional Intelligence Test
EXPERIENTIAL
STRATEGIC
IDENTIFY
FACILITATE
UNDERSTAND
MANAGE
FACES
SENSATIONS
CHANGES
EMOT. MAN.
PICTURES
FACILITATE
BLENDS
EMOT. RELAT.
Identify Emotions Faces, Pictures Facilitate Thoughts Sensations, Facilitation Understand Emotions Changes, Blends Manage Emotions Emotional Management, Emotional Relationships.
-
Consensus scoring, Expert scoring BarOn EQ-I (to answer the basic question: why do some people with high IQ fail in life, while others with moderate IQ succeed?): 133 brief items answered on a 5-point scale from “Not True of Me” to “True of Me”, includes Total EQ, 5 EQ composite Scales, 15 EQ Content Scales and 4 Validity Scales.
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BarOn/EQ-i Factors Intra-Personal Emotional SelfAwareness Assertiveness Self-Regard Self-Actualization Independence Inter-Personal Interpersonal Relationship Empathy Social Responsibility
Adaptability Problem Solving Flexibility Reality Testing Stress Management Stress Tolerance Impulse Control General Mood Optimism Happiness
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EQ-i Seems Similar to Existing Models EQ-i - Bar-On’s test
NEO PI-R - Costa & McCrae
Intrapersonal Emotional self-awareness, assertiveness, self-regard, selfactualization, independence
Extraversion Warmth, gregariousness, optimism, assertiveness, high-energy
Interpersonal Empathy, interpersonal relationship, social responsibility
Neuroticism Stress tolerance, impulse control, anger, depression, anxiety
Stress Management Problem solving, reality testing, flexibility
Adaptability Stress tolerance, impulse control General Mood happiness, optimism
Bar-On influenced by Wechsler’s search for non-intellective factors; Mayer & Salovey working in an intelligence ability framework; MSCEIT measures fundamental abilities of EI as measured in an objective manner; EQ-i measures the nonintellective factors that impact emotionally-intelligent behavior as reported by the person. Application of Psychology: Some questions: - How attitudes help us understand the behavior? How behavior change can be brought about by attitude change? How can we promote values of integrity and commitment in lower level bureaucracy? - The morale of workforce is down because of the history of persistent failure in counter insurgency movements. How will you improve their morale? o Hints: Reasons for failure: Ability is limited. Unrealistic goal setting. Poor strategy. Inadequate paraphernalia.
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-
-
-
Restructure their beliefs to winning mindset. Regulate their emotions. Once the team start winning, it will further motivate them. There is resistance to change among your office staff. How can it be overcome? o Hints: Change causes disequilibrium – insecurity and anxiety. You can overcome it by managing the anxiety and insecurity. What are the causes of conflict in the office atmosphere? Furnish your views on Management of Conflicts. o Hints: Limited resource, higher demand – success of one leads to failure of others. Conflicts can be interpersonal – goals incompatible. Conflicts can be intergroup – IAS vs, IPS Conflicts can be individual – Ethical dilemma How will you harness emotions of your staff for effective team building and team cohesion? What are the reasons for demotivation? Explain the methods to energise the workforce. What are the techniques to improve leadership and social empowerment among women? Explain about Group Dynamics and behavior change. How could morality and ethics regulate our behavior? How could prejudices and stereotypes bias our behavior and how can they be removed? What are the basic factors that guide behavior and what are its importance in administration? o Hints: 1. Behaviour is matter of individual choice and Normative demands(societal demands).
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2. Appraisal and Attribution: Appraisal is evaluation and Attribution is assigning causes to behavior of others. Objective should be appraisal without bias. 3.Antecedent variables and Consequent variables. Autonomy and responsibility will ensure subordinates giving their best. General behavioural tendencies: o All or none thinking is absolutistic behavior that leads to perfect expectations. o Arbitrary inference should not be made. o Overgeneralisation should be avoided. 4. Drive and Direction: Drive is the arousal of emotion. Direction is strategy. Performance of an individual depends upon his Ability and Motivation. Arousal should be moderate, that means high EQ. High arousal leads to Cognitive narrowness. Strategy means knowledge about my capability to deploy skills to reach goal. 5. Conscious factors and unconscious factors: Subconscious factors are more powerful. 6. Belief (Opinions) and Emotion (feeling): Focus should be on restructuring beliefs and emotion or by modifying the behavior. 7. Nature (Heredity) and Nurture (Environment and influence): Administrators must understand nature (Eg. Limitation of subordinates) and Nurture of others. Thus, he should know what they are not capable of doing. He should understand how providing an appropriate environment can help subordinates achieve their best. 8. Self image: Self image is the product of Social feedback + Personal feedback. When self feedback and social feedback overlap i.e. are in consonance, then the behavior is predictable.
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From the angle of Law: Ethics is grounded in the notion of responsibility and accountability. In democracy, every holder of public office is accountable ultimately to the people. Such accountability is enforced through a system of laws and rules, which the elected representatives of the people enact in their legislatures. Ethics provides the basis for the creation of such laws and rules. It is the moral ideas of people that give rise to and shapes the character of laws and rules. Our legal system emanates from a shared vision of what is good and just. Salient features of Administrative Law: The Principles of Natural Justice applies to administrative proceedings also. No man shall be Judge in his own case, or Nemo judex in causa sua, or the Rule against bias. Justice should not only be done but manifestly and undoubtedly be seen to be done. (Maxim NemoDebet Esse Judex In Proporia Causa) The administrator exercising adjudicatory powers must not have any personal bias, pecuniary bias, subject-matter bias, departmental bias or preconceived notion bias. The administrative or quasi-judicial enquiries should be held in good faith and not arbitrarily or unreasonably. Both sides shall be heard, or Audi alteram partem, or Hear the other party, or the Rule of Fair Hearing, or the Rule that no one should be condemned unheard. The parties to a proceedings must have due notice of when the hearing will proceed. Party to an action is prima facie entitled to be heard in his presence. He has right for legal representation. He is entitled to dispute his opponent’s case, cross examine his opponents, witnesses and entitled to call his own witnesses and give his own evidence.
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The officer must act honestly and impartially and not under the dictation of other persons to whom authority is not given by Law. Parties are entitled to know the reasons for the decisions rendered. The decisions should be conveyed by way of Reasoned or Speaking orders. Any order which does not comply with the principles of natural justice is liable to be quashed by the court: Judicial Review – Doctrine of ultra vires. Principles of Delegated and Sub-delegated Legislation. Discretionary powers should be exercised only after recording the reasons in writing for the discretionary decision taken. Nemo debet bis vexari pro una et eadem causa - It is a rule of law that a man shall not be twice vexed for one and the same. “Fiat juastitia ruat coelum” — Let justice be done, though the heaven should fall. Maxim of good governance: “Be you ever so high, the law is above you.” Salient Features of AIS(All India Services) / CCS (Central Civil Services) Conduct Rules: The aim is to provide for Code of Conduct to government servants. The Rules were framed by the President of India under proviso to Article 309 of the Constitution. Article 309 is as follows: “309. Recruitment and conditions of service of persons serving the Union or a State: Subject to the provisions of this Constitution, Acts of the appropriate Legislature may regulate the recruitment, and conditions of service of persons appointed, to public services and posts in connection with the affairs of the Union or of any State: Provided that it shall be competent for the President or such person as he may direct in the case of services and posts in connection with the affairs of the Union, and for the Governor of a State or such person as he
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may direct in the case of services and posts in connection with the affairs of the State, to make rules regulating the recruitment, and the conditions of service of persons appointed, to such services and posts until provision in that behalf is made by or under an Act of the appropriate Legislature under this article, and any rules so made shall have effect subject to the provisions of any such Act.”
It is to be noted here that no Act has been passed as per this Article, but only Rules have been framed under the proviso to this Article. The main Rule under Conduct Rules is: Every government servant should maintain absolute integrity at all times, maintain devotion to duty and do nothing which is unbecoming of a government servant. The supervisory authority should ensure integrity and devotion to duty of subordinates. Thus, if a subordinate is not maintaining integrity, the supervisory authority could also be held responsible. Government servants should not use his position or influence to secure employment of near relatives. In case, a near relative is going to get a job in a company with which the government servant has official dealings, then the government servant should seek sanction of the government before the near relative is appointed in that company. Government servant should not be a member in a political party or otherwise be associated with party politics. Demonstration and strikes: Government servant should not engage or participate in any demonstration which is prejudicial to the interests of the sovereignty and integrity of India, the security of the State, friendly relations with foreign States, public order, decency or morality, or which involves contempt of Court, or resort to strike with any matter pertaining to his service. Gifts: Government servant should report / obtain prior sanction from government, before receiving gifts, if the value exceeds certain limits prescribed under the Conduct Rules. Dowry: Government servant should not give or take or abet the giving or taking of dowry.
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Private employment: Government should not engage directly or indirectly in any trade / business including that of his family members. Investment, lending and borrowing: Government servant should not speculate in any stock, share or other investment except occasional investments. Even these occasional investments should be reported to government when they exceed certain limits given in the Conduct Rules. He should not borrow from whom he is likely to have official dealings. He should not lend money to any person at interest. Acquisition of movable property exceeding certain limits should be reported to government within one month of such acquisition. Every government servant should file his immovable property return annually to government. He should get prior sanction of government before acquiring or disposing of any immovable property. If a government servant is unable to satisfactorily explain his assets in movable and immovable property, charge of corruption arises automatically under Section 5(3) of Prevention of Corruption Act. He should not bring any political or outside influence in matters of his service. In case a government servant marries a citizen of another country, he should intimate it to the government. Marriage: Government servant should not marry with a person having a spouse living; if having a spouse living, he should not marry another person. Liquor: Government servant should not be under the influence of any intoxicating drink / drug during the course of his duty. He should not appear in a public place in a state of intoxication. The Conduct Rules are quite comprehensive, brings in transparency in the conduct of Government servant putting premium on his personal integrity and discipline. The government is yet to present to Parliament the Civil Services Standards, Performance and Accountability Bill, 2010. The Bill includes features such as civil service values, a civil service code of ethics and conduct, appointments, a performance management system, and the creation of a civil services authority, among others. It envisages giving parliamentary sanction to the civil services (conduct) rules under Article 309 of the Constitution, which governs the conduct of government in relation to civil servants. The Bill has been ready since 2010 but is yet to be tabled.
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Salient features of AIS / CCS Disciplinary Rules: These rules were framed under the proviso to Article 309 of the Constitution, and further to the recommendations of the Committee on Prevention of Corruption headed by late Shri K. Santhanam. The Rules for Appointment/Control/Discipline of Government servants were revised with a view to codify the classification/constitution of Services/Posts in the Central Government and also simplify the procedure for Inquiry on Charges against Central Government employees. It is also appropriate to see Articles 310(1) and 311(1) & (2) of the Constitution: “310. Tenure of office of persons serving the Union or a State: (1) Except as expressly provided by this Constitution, every person who is a member of a defence service or of a civil service of the Union or of an all-India service or holds any post connected with defence or any civil post under the Union holds office during the pleasure of the President, and every person who is a member of a civil service of a State or holds any civil post under a State holds office during the pleasure of the Governor of the State. 311. Dismissal, removal or reduction in rank of persons employed in civil capacities under the Union or a State: (1) No person who is a member of a civil service of the Union or an all-India service or a civil service of a State or holds a civil post under the Union or a State shall be dismissed or removed by an authority subordinate to that by which he was appointed. (2) No such person as aforesaid shall be dismissed or removed or reduced in rank except after an inquiry in which he has been informed of the charges against him and given a reasonable opportunity of being heard in respect of those charges.” These Rules are generally known as CCA Rules – Classification, Control and Appeal Rules. If there is any violation of Conduct Rules, the CCA Rules will be invoked for Disciplinary proceedings against the erring government officials.
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For Group A services, the Appointment Authority as well as Disciplinary Authority is President of India. For other Services, the Disciplinary Authority is specified in the Rules. Suspension: The Disciplinary Authority can suspend a Government servant under the following circumstances: o Where a Disciplinary Proceeding against him is contemplated or is pending or o Where he has engaged himself in activities prejudicial to the interest of the security of the State or o Where a case against him in respect of any criminal offence is under investigation, inquiry or trial. o Where in custody / imprisonment on conviction exceed 48 hours (Deemed Suspension). As per CVC and DoPT circulars, anonymous and pseudonymous petitions on the government officials should not be acted upon in case they do not contain any credible verifiable specific information. In case of verifiable information, investigation is possible on such petitions with the approval of CVC / Specified Authority. CVC has a mechanism (PIDPI – Protection to the Public Interest Disclosure & Protection of Informers’ Resolution 2004) to protect and maintain the confidentiality of whistleblowers, pending Whistleblowers Bill. The Rules provide for elaborate procedure of inquiry proceedings with the appointment of Presenting Officer and Inquiry Officer(IO) to hear the charged official who has been issued charge-sheet. The charged official will be given enough opportunity of being heard. After the Inquiry Proceedings, the IO should send the Inquiry Report (as to whether the charges are proved or not) to the Disciplinary Authority. The Disciplinary Authority will consider the Inquiry Report. Rules provide for imposition of minor or major penalties including dismissal from service by the Disciplinary Authority, if the charges are proved.
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Central Vigilance Commission (CVC) tenders advices to the Disciplinary Authority at initial (before issuing charge sheet) and final stages (before levying penalty) of the Disciplinary Proceedings. Under Article 320(3)(c), it is mandatory on the part of the Disciplinary Authority to consult UPSC before levying penalty. The charged official should be given an opportunity before the Disciplinary Authority passes Penalty Oder, if any. In case of any difference of opinion between the concerned Department and CVC on instituting Disciplinary Proceedings against an official, DoPT (Department of Personnel and Training) is the final arbiter. No Inquiry Proceeding is necessary to levy penalty in the following circumstances: o When the government servant is convicted on criminal charges o Where inquiry is not possible o In the interest of security of the State. The Rules provide for Appeal, Revision and Review on the penalty order passed by the Disciplinary Authority. Disciplinary Proceedings are possible on the retired persons also as per Pension Rules. But such disciplinary proceedings can only be instituted on the retired person only within 4 years from the date of commitment of the misconduct/offence. The 2nd ARC recommended that Articles 310 and 311 to be repealed and that suitable legislation should be passed to provide for all necessary terms and conditions of services as in Article 309. The reasons for such recommendation: No other Constitution has such guarantees; The public servant, an agent of the State, cannot be superior to the State and it is his fundamental duty to serve the State with integrity, devotion, honesty, impartiality, objectivity, transparency and accountability; corrupt officials would tend to get protection under this Article ultimately; arbitrary removal is not possible even in the private sector; with rule of law accepted as an integral part of the basic structure of the Constitution, reasonable protection now attributed to Article 311 will continue to be available to satisfy the requirements of ‘rule of law’. The Hota Committee had also made similar recommendation.
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Salient features of Prevention of Corruption Act (PCA), 1988: It is the law to punish offence of bribery and corruption amongst public servants. Investigation of cases: It is the primary tool for CBI for curbing corruption. CBI is the main agency to conduct investigation under this Act (Section 17). CBI has powers to inspect bankers’ books also. The division of CBI dealing with PCA functions under the superintendence of CVC. For Joint Secretary to GoI and above, CBI can carry out investigation only with the prior approval of the Central Government (Section 6A of DSPE Act). For others, CBI can carry out investigation on its own or at reference by CVC or by Government. Offences by public servants: o Taking gratification (bribe) other than legal remuneration (Sections 7, 8 and 9) [It is to be noted here that in addition to PCA, Illegal gratification or bribery or criminal breach of trust by a public servant are also covered under Sections 161 to 165 of Indian Penal CodeIPC.] o Obtaining valuable thing without/for inadequate consideration(Section 11) o Abetment of the offences – Sections 10 and 12(under this, even public servant’s spouse could be charged!) o Criminal Misconduct (S 13): Habitually taking gratification other than legal remuneration Habitually obtaining valuable thing without/or inadequate consideration Dishonestly or fraudulently misappropriating property entrusted or allowing others to do so. By corrupt or illegal means, obtaining for self or others valuable thing or pecuniary benefit By abusing position, obtaining for self or others valuable thing or pecuniary advantage.
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If he or any person in his behalf is/has been at any time during the period of his office in possession of property disproportionate to his known sources of income.[S 13(1)(e)] Sections 3 & 4 provide for appointment and trial by CBI Special Court Judges. Sections 5 & 6 provide for procedure and powers of Special Judges. Powers are equivalent to District Judge under CrPC. Previous sanction of the government is necessary for prosecution on Group A officers. For others, previous sanction of the Disciplinary Authority is necessary for prosecution. The CBI or other agency should get such sanction before filing prosecution case with CBI Special Court on the official (Section 19). The objective of this provision is to prevent harassment to honest public servants through malicious or vexatious complaints. It has been argued that this clause has sometimes been used by a sanctioning authority to shield dishonest officials. Hence, the Second ARC recommended that Prior sanction should not be made necessary for prosecuting a public servant who has been trapped red-handed or in cases of possessing assets disproportionate to the known sources of income. It further recommended that the sanctioning power should be delegated from the Government to an Empowered Committee comprising the Central Vigilance Commissioner and the Departmental Secretary to Government. It has also recommended 2 months time limit for passing order granting or refusing sanction. These recommendations have not yet been implemented as the PAC has not yet been amended to that effect. Presumption of guilt (Section 20): In the trial, if it is proved that the Public Servant has accepted or agreed to accept any gratification other than legal remuneration or any valuable thing without or for inadequate consideration, guilt on the part of the public servant is presumed. In other words, once the amount or valuable thing is found in the possession of the accused, the burden shifts on him to explain the circumstances to prove his innocence. It is generally applicable to trap cases and disproportionate assets cases.
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Admission by bribe giver: No prosecution for abetment on the bribe giver (Section 24). Special Judge may pardon an involved confessing witness. The Act provides for confiscation of assets of public servants in excess of their known sources of income. Salient features of Delhi Special Police Establishment Act 1946 (roughly the CBI Act, though in reality it is not, as the Draft CBI Act is still pending): Background: The Government of India, in 1943, set up a police staff called the Special Police Establishment (War Department) through an ordinance for the purpose of ‘investigating offences of bribery and corruption connected with the Departments of Central Government’. Another ordinance was promulgated in 1946 for its continuation. The ordinance was replaced with an Act of Parliament, the Delhi Special Police Establishment Act, 1946 on 19th September, 1946. Offences: Section 3 empowers the Central Government to specify the offences or classes of offences which are to be investigated by DSPE. Constitution & Powers of SPE: The Central Government to constitute a special police force to be called the Delhi Special Police Establishment for the investigation in any Union Territory of offences notified under section 3. The officers of DSPE shall have all the powers to investigate and arrest of persons and also exercise any of the powers of the officer in charge of a police station in any Union Territory. Superintendence & administration of SPE: As per Section 4, for investigation of offences under the Prevention of Corruption Act, it has to function under the supervision of CVC. For all other matters, it has to function under the supervision of Central Government (Department of Personnel & Training).
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Appointment of the Director (Section 4A): The Central Government shall appoint the Director of SPE (CBI) on the recommendation of the Committee consisting of Chief Vigilance Commissioner, Vigilance Commissioners, Home Secretary and Secretary of DoPT. The Committee shall consider the views of the outgoing Director and recommend a panel of officer of IPS on the basis of seniority, integrity and experience in the investigation of anti-corruption cases. Terms/conditions of service of Director of CBI (Section 4B): The Director shall hold office for a period of not less than two years from the date on which he assumes office; He shall not be transferred without the previous consent of the Committee. Appointment for posts of SP & above (Section 4C): The Committee shall after consulting the Director, recommend officers for appointment to the posts of level of SP and above and also recommend the extension or curtailment of the tenure of such officers in the DSPE. The Central Government shall, on receipt of the recommendation of the Committee, pass such orders as it thinks it fit to give effect to the said recommendation. Jurisdiction of SPE: As per S 5, the Central Government may by order extend to any area (including Railway areas), a State, the powers & jurisdiction of DSPE for the investigation of any offences or classes specified in notification u/s 3. As per S 6, the DSPE to exercise powers & jurisdiction in any area in a State with the consent of the Government of that State. Approval of Central Government to conduct inquiry or investigation (Section 6A): For Joint Secretary to GoI and above, CBI can carry out investigation only with the prior approval of the Central Government. This is known as ‘Single point directive’. [For others, CBI can carry out investigation on its own or at reference by CVC or by Government.] The objective is that the officers at the level of Joint Secretaries and above have an important role in decision making in the government; 57 V. Vivekanandan
While taking decisions or rendering advice, they should be able to do so without any fear or favour; exposing them to frequent enquiries could have a demoralizing effect on them and encourage them most of the time to ‘save their skin’ and not act in a manner that would best serve the public interest (‘policy paralysis’). However, 2nd ARC recommended that the power of Government in this regard may be delegated to the Committee comprising Central Vigilance Commissioner and Secretary to Government concerned. But, the Act has not yet been amended to effect this recommendation. The DSPE acquired its popular current name, Central Bureau of Investigation (CBI), through a Home Ministry resolution dated 1.4.1963. Initially the offences that were notified by the Central Government related only to corruption by Central Govt. servants. With setting up of a large number of public sector undertakings, the employees of these undertakings were also brought under CBI purview. Similarly, with the nationalisation of the banks in 1969, the Public Sector Banks and their employees also came within the ambit of the CBI. The SPE initially had two Wings. They were the General Offences Wing (GOW) and Economic Offences Wing (EOW). The GOW dealt with cases of bribery and corruption involving the employees of Central Government and Public Sector Undertakings. The EOW dealt with cases of violation of various economic/fiscal laws. Under this set-up, the GOW had at least one Branch in each State and the EOW in the four metropolitan cities, i.e., Delhi, Madras, Bombay and Calcutta. These EOW Branches dealt with offences reported from the Regions, i.e., each Branch had jurisdiction over several States. From 1965 onwards, the CBI has also been entrusted with the investigation of Economic Offences and important conventional crimes such as murders, kidnapping, terrorist crimes, etc., on a selective basis. In 1987 constitute two investigation divisions in the CBI, namely, AntiCorruption Division and Special Crimes Division were constituted; the
58 V. Vivekanandan
latter dealing with cases of conventional crime, besides economic offences. Legal existence of CBI: In a recent decision, Gauhati High Court has ruled that the 1963 executive order under which the CBI was formed is unconstitutional, and that an Act should have been passed for the purpose. The Division Bench vide its judgment dated 6.11.2013 said that the Resolution issued by the Home Secretary on 1.4.1963, constituting the CBI is ultra vires. It ruled: “The CBI is neither an organ nor part of the Delhi Special Police Establishment Act and the CBI can’t be treated as a police force constituted under the DSPE Act, 1946.” Logic of the High Court’s order:
-
The 1963 Resolution is not the decision of the Union Cabinet. It is not the executive instruction assented to by the President. Hence, it cannot be treated as the executive action of the Union within the meaning of Article 73.
-
The 1963 Resolution can at best be regarded as Departmental instruction, which cannot be termed as ‘law’ within the meaning of Article 13(3)(a).
-
The executive instruction in the 1963 Resolution cannot be regarded to fall within the expression “procedure established by law” as envisaged by Article 21 of the Constitution.
-
Leave alone executive instruction, even law cannot be passed by the Parliament on this matter as the subject ‘Police’ falls under State List (List II).
-
A careful reading of the Preamble to the DSPE Act 1946 would make it evident that the DSPE Act 1946 has been made for the ‘Union Territories’. This legislative power
59 V. Vivekanandan
cannot be exercised by the Parliament except under Article 246(4), which enables Parliament to enact laws on subjects covered by List II (State List) in respect of Union Territories.
-
What Entry 8 of List I permits is only making of provisions of ‘extension’ of a valid law governing activities of police of one State to have jurisdiction in any other State with, of course, the consent of the other State concerned.
-
Entry 8 of List I (Union List) merely enables the Parliament to extend the operation of police force of one State to another. However, Entry 8 of List I does not empower the Parliament, far less the Central Government, to enact a law creating a separate police force.
-
The constitutional validity of the CBI was not challenged, discussed and/or answered in any of the reported decisions of the Supreme Court.
The Supreme Court has stayed the order of Gauhati High Court on 9th November, 2013 on the argument that DoPT, being the Department under which CBI functions, had not been the party and was not heard by the Gauhati High Court.
Salient features of CVC Act 2003: Background: Central Vigilance Commission was established by a resolution in 1964 to prevent corruption, by which Chief Vigilance Commissioner was appointed by President by warrant under his hand and seal. Provision for appointment of Central Vigilance Commissioner was amended in 1995. An Independent Review Committee was constituted in 1997 to suggest measures for strengthening. The Supreme Court in the case of Vineet Narain gave directions in December, 1997 that statutory status be conferred upon to CVC. The CVC Ordinance, 1998 was promulgated in August, 1998. Some provisions 60 V. Vivekanandan
were objected by the Supreme Court. The CVC (Amendment) Ordinance, 1998 was promulgated in October, 1998. Bill lapsed with the dissolution of the 12th Lok Sabha. Again, the CVC Ordinance, 1999 was promulgated in January, 1999. This Bill also lapsed in April, 1999. Finally, the CVC Bill, on being passed by Parliament and on getting the President’s nod, became ‘The CVC Act, 2003 w.e.f. 11.09.2003. Constitution of Central Vigilance Commission: A Central Vigilance Commissioner Chairperson Not more than two Vigilance Commissioners
-
Members
Eligibility for appointment of CVC/VC: (a) Amongst persons of All India Service or Civil Service/Civil post of the Union having knowledge and experience in the matters relating to Vigilance, policy making and administration including police administration; or (b) Held or holding office in any Corporation established by the Centre including Government Companies having expertise and experience in finance including insurance and banking, law, vigilance and investigations. Number of persons including CVC shall not exceed 2 persons in respect of category (a) or (b).
Appointment of CVC/VC: By President on recommendation of the committee of:Prime Minister, Leader of Opposition in Lok Sabha and the Minister of Home Affairs.
Tenure & Service Conditions of CVC/VC: - hold office for 4 years or till they attain 65
years
Union
of
age
whichever is earlier.
-
not eligible for reappointment but Vigilance Commissioner is eligible for appointment as CVC
61 V. Vivekanandan
Salary & emoluments equal to Chairman of UPSC / Member of UPSC for CVC and VC respectively.
Removal from Office of CVC/VC: President can remove CVC/VC i) on the ground of proved misbehaviour or incapacity after a report from the Supreme Court on reference; or ii) if a CVC/VC is a. adjudged as solvent b. convicted of an offence involving moral turpitude; c. engaged in any paid employment; d. unfit to continue in office by reason of infirmity of mind or body; e. acquired financial or other interest through his functions as CVC/VC. CVC Functions:
-
Superintendence over CBI on its functions relating to Prevention of Corruption Act.
-
Superintendence over Vigilance Administration in Central Government departments and PSUs.
-
Tender advice to Central Government on vigilance matters.
-
It has powers of Civil Court for inquiry.
In the appointment of Director of CBI, ED and Senior Officers of Departments, consultation with CVC is necessary. Expenses are charged to Consolidated Fund of India.
Salient features of Right to Information Act, 2005:
RTI Act provides for setting up of practical regime to disseminate information under the control of the public authorities to citizens to Promote transparency and accountability in the working of every public authority.
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Background: Campaign for right to information in India began with Mazdoor Kisan Shakti Sangathan (MKSS) spearheading the movement in Rajasthan in early 1990s. MKSS famously used the right to information as tool to draw attention to the underpayment of daily wage earners and farmers on government projects, and more generally, to expose corruption in government expenditure. The Movement forced the Chief Minister of Rajasthan announce on 5.4.1995 in the Legislative Assembly that his Government would be the first in the country to provide access to information to citizens on all local developmental works. Rajasthan Right to Information Act 2000 was eventually passed on 11 May 2000, but only came into force on 26 January 2001 - after the rules were framed. In 1993, a draft RTI law for the country was proposed by the Consumer Education and Research Council, Ahmedabad (CERC). In 1996, a Draft model law on RTI presented by the Press Council of India headed by Justice P.B. Sawant. In 1997, this draft was updated and renamed as PCI-NIRD Freedom of Information Bill, 1997. In 2002, The National Freedom of Information Bill, 2000 was introduced in Parliament. Passed in December, 2002 and got assent of the President on January, 2003 as the Freedom of Information Act, 2002. But,… the date of enforcement never notified and the Act never came into operation! India is party to the International Covenant on Civil and Political Rights (ICCPR) under International obligation to Guarantee Right to Information As per Article 19 of the ICCPR. UPA Government’s Common Minimum Programme promised:
-
Progressive Participatory &
Meaningful - legislation of the Right To Information Act The RTI bill, 2004 was tabled on 23.12.2004. It was based on the NCPRI’s (National Campaign for People’s Right to Information)
63 V. Vivekanandan
original draft bill. Bill referred To Standing Committee on Personnel, Public Grievances, Law & Justice for Consideration. On 10.5.2005, The RTI Amendment Bill, 2005 was tabled in the Lok Sabha, taking into account the recommendations of the Standing Committee. The bill passed by the Lok Sabha & Rajya Sabha respectively on 11.5.2005 & 12.5.2005. President APJ Abdul Kalam gave assent on 15.6.2005 to the Right to Information Act, 2005. Act came into force on 12th October, 2005. The Second Administrative Reforms Commission in its first report on implementation of RTI Act set out key recommendations to improve the functioning of the Act – including repealing the Official Secrets Act, 1923 and amending of the National Security Act. Composition of Central Information Commission: One Chief Information Commissioner and not more than ten Information Commissioners. Appointment: By President on recommendation of the committee of:Prime Minister, Leader of Opposition in Lok Sabha and a Union Minister nominated by the PM Qualifications for Information Commissioners & CIC: persons of eminence in public life with wide knowledge and experience in law, science and technology, social service, management, journalism, mass media or administration or governance. They should not be an MP or an MLA They should not hold any office of profit or connected with any political party They should not carry any business/profession. Tenure and Service conditions: o hold office for 5 years or till they attain 65 years of age whichever is earlier. o not eligible for reappointment but Information Commissioner is eligible for appointment as CIC o Salary & emoluments equal to Chief Election Commissioner / Election Commissioner, as the case may be.
64 V. Vivekanandan
Removal from Office of CIC/IC: President can remove CIC/IC i)
on the ground of proved misbehaviour or incapacity after a report from the Supreme Court on reference; or
ii)
if a CIC/IC is a. adjudged as solvent b. convicted of an offence involving moral turpitude; c. engaged in any paid employment; d. unfit to continue in office by reason of infirmity of mind or body; e. acquired financial or other interest through his functions as CIC/IC. Powers and Functions of CIC: o To receive & inquire into a complaint from any person o Can order suo-moto inquiry into any matter if there are reasonable grounds o Has powers of a Civil Court in issue of summons, enforcing attendance, discovery & inspection of documents & public record, etc. o Seek any public record for examination in Inquiry of Compliant o Secure compliance of its decisions by Public Authority o Annual Report by CIC to Government placed before Parliament. Section 4 speaks about obligations of Public Authorities to maintain records, publish as much details about the organisation as possible suo motu in the website and to furnish names and designation of Public Information Officers. Section 6: Request for information: o A person desiring to obtain information may file a request in writing to the CPIO/SPIO or CAPIO/SAPIO in writing accompanying prescribed fee (Rs.10 through Postal order, etc)
65 V. Vivekanandan
o No reason need to be given; no personal information other than for contacting him need to be given; o If information sought is held by or closely connected to another Public Authority, then the Public Authority to whom the application is made shall transfer the application within 5 days.  Section 7: Disposal of request: o The CPIO/SPIO shall provide information on payment of prescribed fee or reject the request for any of the reasons specified in Sections 8 & 9 within 30 days. o If it concerns life or liberty of a person, the information shall be provided within 48 hours. Time limit for giving information Time limit for giving information
30 days
If information concerns life and liberty of a person
must be given within 48 hrs
If information is given by third party then invite objections if any
add 10 extra days
No action on application for 30 days
deemed refusal – involve levy of personal cost
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 Section 8: Exemption from disclosure of information: Exemptions in nutshell: s.8(1)(a)
prejudicially affect the sovereignty and integrity of India
8(1)(b)
expressly forbidden to be published by any court of law
8(1)(c)
would cause a breach of privilege of Parliament or the State Legislature
8(1)(d)
commercial confidence, trade secrets or intellectual property unless larger public interest warrants the disclosure.
8(1)(e)
fiduciary relationship, unless larger public interest warrants the disclosure.
8(1)(f)
foreign Government
8(1)(g)
endanger the life or physical safety
8(1)(h)
impede the process of investigation or apprehension or prosecution of
67 V. Vivekanandan
offenders; 8(1)(i)
cabinet papers
8(1)(j)
personal information the disclosure of which has no relationship to any public activity or interest, or which would cause unwarranted invasion of the privacy.
Section 10: Severability: A part of information which is not covered under exemptions could be separated and given access to. Section 11: Third Party Information: o In case of information relating to a Third Party which has been treated as confidential by that Third Party, CPIO/SPIO has to issue notice to the Third Party within 5 days about intention to disclose information. o Third Party has to be given time of ten days the opportunity to make representation against the proposed disclosure. o CPIO/SPIO has to take into account the submissions of the Third Party. o The Third Party entitled to prefer an appeal u/s 19 against the decision. o The disclosure shall be made only after the expiry of the appeal period or the disposal of the appeal whichever is later. Section 19: Appeal: o An appeal against the decision of the CPIO/SPIO lies with the next senior in rank to CPIO/SPIO. o Appeal can also be filed if there is no disposal of application within the statutory period. o The appeal has to be filed within 30 days. The appellate authority can admit the appeal beyond time if there is sufficient cause for the delay. o The appeal has to be disposed of within 30 days or within 45 days for reasons to be recorded in writing. (sub-section 6) 68 V. Vivekanandan
o The Third Party aggrieved with the orders of CPIO/SPIO can also file appeal within 30 days. o Second appeal against the decision of the appellate authority lies with the Central / State Information Commission. o Appeal to be filed within 90 days. The CIC/SIC can admit the appeal beyond time if there is sufficient cause for the delay. o If it relates to Third Party, then CIC/SIC to give reasonable opportunity to the Third Party. o The onus of Justification for denial of information lies with CPIO/SPIO. o Decision of the CIC/SIC is binding o Appeal against the order of the CIC/SIC is available before the High Court / Supreme Court under Writ/SLP. Section 20: Penalty: o Penalty of Rs.250 per day can be imposed by the CIC/SIC on the CPIO/SPIO for non-submission of information or malafidely denied the request. The total penalty cannot exceed Rs.25,000. o CIC/SIC can also recommend initiation of disciplinary proceedings against CPIO/SPIO. Section 24: The Act does not apply to certain organizations - IB, RAW, Directorate of Revenue Intelligence, Central Economic Intelligence Bureau, Directorate of Enforcement, Narcotics Control Bureau, Aviation Research Centre, Special Frontier Force, BSF, CRPF, ITBP, CISF, National Security Guards, Assam Rifles, Sashastra Seema Bal, Directorate of Income tax(Investigation), National Technical Research Organisation, FIU, SPG, DRDO and BRDB. Recently, CIC has decided that the information of Political Parties has to be disclosed. The Government was also tried to bring amendment to the Act to exclude Political Parties from the ambit of the Act. But the hue and cry from the Public and RTI Activists has prevented the Government from doing so. The stalemate continues……..
69 V. Vivekanandan
From the angle of Public Administration: Concept of Public Service: Public service refers to the class and or task of officials to serve as delegates of the elected officials. The elected representatives embody the legitimacy to define public interest, while the Public servants ensure that public interest is met and public trust promoted. Public Servants serve the public, the government, its institutions and law of the land. In 1996, UN adopted an International Code of Conduct for public officials which laid 3 tenets for Public Servants: – Trust: A Public office is an office of trust implying a duty to act n public interest. The ultimate loyalty of public servant shall be to the public interest of the country as expressed through the democratic institutions of the government. – Equity: Public officials shall be fair and impartial in performance of their functions. They shall not afford any preferential treatment to any group or improperly discriminate against any group. – Economy: Public officials shall strive to perform the duty in accordance with law and ensure that public resources are administered in most economic manner. How the concept of Public service is ensured?
-
To ensure that the tenets are adhered to, each public service is guided by rules that regulate issues such as impartiality, obedience to the law, incorruptibility, etc.
-
Also to provide an environment where such tenets are promoted, members of public service are granted security of tenure, a merit based career path and post-service remunerations.
-
However, public service faces not only economic and socio-political constraints but more importantly encounter certain problems in soft areas in its organisational environment; such domains have no clear or even correct answer and yet they demand an optimal resolution
70 V. Vivekanandan
such that public welfare is delivered. Some such challenges (Soft problems) include: • Absence of precedent • Conflict of values / interest • Debate between means and ends • Issue of Misfeasance (following law in letter not in spirit) In addition, the operational environment of public service is itself subject to frequent structural and functional changes. This makes it difficult to maintain focus on focus on core objectives and necessitates a mechanism for the same. The mechanism that helps retain focus on core objectives is public service values which act as a compass for guiding activities. Philosophical Basis of Governance: The fundamental principle in a democracy is that all persons holding authority derive it from the people; in other words, all public functionaries are trustees of the people. With the expansion of the role of governance, public functionaries exercise considerable influence over the lives of people. The trusteeship relationship between the public and the officials requires that the authority entrusted to the officials be exercised in the best interests of the people or in ‘public interest’. What is Administration?
-
A group effort A common pre-determined objective A Pre-defined set of relationships. Resources belong to the public
Administration refers to the direction, coordination and control of many persons to achieve a purpose or an objective. Public Administration:
-
Public Administration involves administration, but in a Public Setting. Here, public setting implies:
•
The goals or objectives are determined in accordance with the needs of the people rather than available resources alone, thus the motive is service rather than profit.
71 V. Vivekanandan
•
The resources – physical, natural, manpower and financial belong to the public.
Features of Public Administration:
-
1. Operates within specific political setting: Public administration serves the public. It must be responsive to the existing political mandate. The once fundamental principle of Politics-Administration Dichotomy has now been conclusively rejected, thus making Public Administration a vital part of policy formulation as well as execution. As Paul Appleby states “All government organisations are not merely administrative entities, they are and must be political organisms.”
-
2. Concept of Neutrality: The political executive is elected. On the basis of congruence of their ideology, the existing public administration is required to be value neutral. Such non-partisan conduct ensures there is least resistance to the party in power.
-
3. Condition of Anonymity: The logical corollary of the concept of neutrality is Bureaucratic anonymity. Though the bureaucrat delivers in accordance with directives issued by the political executives, he functions anonymously. The responsibility of action vests with the elected minister in view of the Principle of Collective Responsibility u/A 75(3).
-
4. Public Accountability and Responsibility: Public Administration is not only accountable to the political leadership but also responsible to the stakeholders that form its operating environment. Eg. The people, political parties, media, etc.
-
5. External Financial Control: Finances of Public Administration are regulated by the Legislature.
-
6. Consistency of Treatment: The functioning of Public Administration is governed by specific laws, rules and regulations to ensure that it is uniform and consistent in the delivery of its functions.
-
7. Comprehensive Range of Functions: Those functions delivered by Public Administration are not only vital for the very existence of society but at times are also monopolistic in nature.
72 V. Vivekanandan
Ethics in Public Administration: Emergence of Administrative Ethics:
-
Despite growing concern about erosion of ethics, there is still no uniform approach towards developing a strong ethical base and value foundation for Public Service.
-
The emphasis is largely on enabling administration to “do things right” rather than on preparing it to “do the right thing”. This tendency derives from the evolution of ethics as a field of study within Public Administration. 3 Phases of Evolution of Administrative Ethics:
-
Phase I: 1887-1930’s: The early years of Public Administration:
•
•
This phase corresponds with the first two eras of evolution of Public Administration itself as a discipline – The era of Politics Administration Dichotomy and the Era of Principles. As such, the focus was on the science of administration with efficiency as the prime criteria for judging its merit. 3 Thinkers of this phase: o W. Wilson: Believed that establishment of merit based Civil Service would ensure ethical conduct. o Goodnow: Believed Centralisation of authority would make govt. responsible. o Willoughby: 1. Viewed the Civil Service merit system as a moral structure that would lead to ethical administration. 2. Ethics was treated not as an individual quality but the product of procedures and rules.
•
Phase II: 1930’s to 1960’s: Foundation of ethics as a field of study:
This phase corresponds with the emergence of Human Relations and Behavioural Schools. As Public Administration started to focus on the human element, ethical interest shifted towards the discretion of individual administration.
73 V. Vivekanandan
•
-
4 Thinkers of this phase: o M. Dimock: 1. The discretionary powers of administrators was growing rapidly. 2. Need for a broader administrative philosophy that would include values like loyalty, honesty, etc. o John Gaus: Introduced the term “inner check” in reference to obligation acknowledged by individual administrators. o P. Appleby: 1. Obligation to support democratic values. 2. Duty to be responsive to citizen. 3. Focus on Public interest. o L.D. White: 1. External controls such as Codes though essential were not adequate. 2. Organisational context often demanded an understanding of normative concerns.
Phase III: 1970 onwards: Emergence of Ethics as a field of study:
• •
• •
Although this phase has seen an increasing flow of literature on administrative ethics, most thoughts derive not from individual thinkers but the collective reflections of institutions. The dominant themes that have emerged are: o Public interest o Social equity o Effectiveness rather than only morality This phase recognises that why ethical conduct is imperative on the part of administration; its potency is significantly diluted unless accompanied by an appropriate organisational ethos. To this end, the field of Public Administration has striven to create institutional mechanism that promotes public trust by inculcating a vibrant democratic character.
74 V. Vivekanandan
Relationship between the political executive and the permanent civil service in India: In terms of Article 53 and 154, the executive power of the Union and the States vests in the President or Governor directly or through officers subordinate to him. These officers constitute the permanent civil service and are governed by Part XIV of the Constitution. The other part of the executive is the ‘political’. The President or Governor is required to act according to the aid and advice of his Council of Ministers, appointed under Articles 73 and 163 of the Constitution. Because the advice is normally binding, such advice for the officers becomes an order which they must obey under Articles 77 and 166 respectively. The President and Governor frame rules for the conduct of business in the government. Work is allocated among Ministers as per the Government of India (Allocation of Business) Rules and the manner in which the officers are required to help the President or Governor to exercise his executive functions is governed by the Government of India (Transaction of Business) Rules. What this means is that though officers are subordinate to the President or Governor, they carry out the orders of the Council of Ministers in accordance with the rule framed in this behalf. The Rules of Business of Government do provide for the Secretary to the Government to advise his Minister about the course of action proposed in a particular matter and to submit to him a note which tells him about the propriety or legality of his orders and suggest that either such orders not be given or that they be suitably modified. The relationship between the Secretary and the Ministers is organic. The Minister has the mandate of the people to govern, but the Secretary has an equivalent constitutional mandate to advise the Minister. Once his advice has been suitably considered, unless the Minister passes an illegal order, the Secretary is about to implement it. The Minister, on his part, is required to support the Secretary who is implementing his order. Once a law is framed or rules and regulations are approved, they apply to everyone, whether a member of the political executive or of the permanent civil service. A civil servant is required to implement the orders of government without bias, with honesty and without fear or
75 V. Vivekanandan
favour. It is precisely in this area that a degree of a difference of opinion begins to emerge between the political executive and the civil servants. The Supreme Court on 31.10.2013 issued a series of path-breaking directions to insulate civil servants from political influence. The court stated that officers should have a minimum fixed tenure, they should not act on verbal orders from politicians, and civil service boards should be set up at central and state levels within three months to regulate postings, transfers and disciplinary actions. It also asked the government to pass a comprehensive law on the subject. The judges observed in the judgment that frequent transfers should be avoided so that benefits of the implementation of government policies and programmes could reach the poor. They noted that fixed tenures would promote efficiency and good governance. The judgment said much of the deterioration in the functioning of the bureaucracy was due to political interference. The issue of "verbal orders" was first cited in the Santhanam committee report in 1964, which had asked civil servants to only act on written orders. That was reiterated by the Shah commission which found examples of oral orders being misused by civil servants during the Emergency in 1975. The Draft Public Services Bill, 2006 also moots the idea of constituting a Central Public Services Authority for good governance. The Second Administrative Reforms Commission in 2008 suggested the government constitute a Civil Service Authority.
10 Core Human Values (Barry 1979, Solomon&Hanson 1985): Caring Honesty Accountability Promise Keeping Pursuit of Excellence Loyalty Fairness Integrity Respect for others Responsible citizenship
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 Foundational Values for Civil Service:  Nolan Committee - seven principles of public life: 1. Selflessness: Holders of public office should take decisions solely in terms of public interest. They should not do so in order to gain financial or other material benefits for themselves, their family or their friends. 2. Integrity: Holders of public office should not place themselves under any financial or other obligation to outside individuals or organizations that might influence them in the performance of their official duties. 3. Objectivity: In carrying out public business, including making public appointments, awarding contracts or recommending individuals for rewards and benefits, holders of public office should make choices on merit. 4. Accountability: Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office. 5. Openness: Holders of public office should be as open as possible about all the decisions and actions they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands. 6. Honesty: Holders of public office have a duty to declare private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest. 7. Leadership: Holders of public office should promote and support these principles by leadership and example.
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Public Civil Service Values: 4 Domains of Public Service Values: Ethical Values Democratic Values Professional
People
Values
Integrity
Rule of law
Values
Effectiveness(What Caring the
system
is
capable of doing) Fairness
Neutrality
Efficiency(What it Fairness actually does)
Accountability Accountability
Service
Tolerance
Loyalty
Loyalty
Leadership
Decency
Excellence
Openness
Excellence
Compassion
Respect
Responsiveness
Innovation
Courage
Honesty
Representativeness Quality
Benevolence
Probity
Legality
Humanity
Creativity
The most fundamental Public Service value is Service to Democracy. India’s form of Democracy is Parliamentary govt. based on collective responsibility of Council of Ministers to the elected members of Parliament. The framework of Public Service goals and values operates within this context and is also shaped by the ideals enshrined in our Constitution most notably the Preamble, Fundamental Rights and Directive Principles of State Policy.
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A draft “Public Service Bill 2006” under consideration of the Ministry of Personnel, Public Grievances and Pensions for quite a long time seeks to lay down a number of generic expectations from civil servants, which are referred to as “Values”. The salient ‘values’ envisaged in the Bill are:
-
Allegiance to the various ideals enshrined in the preamble to the Constitution.
-
Apolitical functioning
-
Duty to act objectively and impartially
-
Ensuring economy and avoidance of wastage in expenditure
Good governance for the betterment of the people to be the primary goal of civil service Accountability and transparency in decision-making Maintenance of highest ethical standards Merit to be the criteria in selection of civil servants consistent, however, with the cultural, ethnic and other diversities of the nation Provision of healthy and congenial work environment Communication, consultation and cooperation in performance of functions i.e. participation of all levels of personnel in management.
Integrity: What is Integrity?
-
Integrity means to be honest and consistent in thought, speech and action.
-
Body, mind and speech should be in consonance with each other.
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A man of integrity is never influenced by temptations and pressures from outside as he would only respond to one’s conscience.
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Integrity is non-negotiable and non-selective.
Integrity is integrating of ideals, convictions, standards, beliefs and behaviour.
• •
Non-negotiable: You can’t compromise it at any cost. Non-selective: You can’t compromise it in any situation.
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Integrity also implies indifference to victory or loss.
Sources of integrity:
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Integrity is the value which cannot be enforced through external controls.
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The source of integrity is moral reasoning and not profit/loss reasoning.
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In decision making, one should go for moral reasoning i.e. judging things on the basis of right and wrong rather than judging them on the basis of profit/loss.
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Integrity is morality in action.
Dimensions of integrity
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Intellectual Integrity: Means to be consistent and true to one’s thinking and to hold oneself to the same standards one expects others to meet. It means to practice what one advocate for others.
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Moral Integrity: Consistency and honesty in the standards used for judging others as well as yourself as right and wrong.
Perspectives of integrity:
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Integrity in Social perspective: Integrity in social context describes a person who willingly and consistently acts in accordance with social standards and values of society.
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Professional Integrity:
• •
Integrity is not being perfect – admitting to discrepancy – honesty Every profession deals with integrity in its own context. A person in a profession shows his integrity by acting in agreement with the relevant standards and values of that profession.
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Professional integrity thus defines professional who consistently and willingly practices within the guidelines of a chosen profession under obligation of code of ethics. Integrity in Civil Services:
-
Putting National Interest above anything else.
-
Civil servant must:
Public Service is prime. Civil Servants should be guided by public interest in their official decision making and not by any financial or other consideration either in respect of themselves or their families or friends. (Definition of Integrity given in 2nd ARC Report)
• • • • • •
Fulfil his duties and obligations responsibly. Always act in a way that is professional and that deserves and retains the confidence of all those with whom he has dealings. Make sure public money and other resources are used properly and efficiently. Deal with the public and their affairs fairly, efficiently, promptly, effectively, sensitively to the best of his ability. Handle information as openly as possible within the legal framework. Comply with law and uphold the administration of justice.
Integrity and efficiency:
-
If integrity is not there, corruption will be there. Moral reasoning is required for integrity. Efficiency and corruption cannot be there at the same time. Efficiency in private organisations is Value. Efficiency in govt. organisations is Ethics.
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Efficiency implies doing one’s best in one’s job with a concern for maximum possible utilisation of human, material and financial resources in the given time to achieve the prescribed and desired objectives.
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Efficiency in govt. organisations also means that public officials have regard for higher goals of governance including public welfare and dedication to public service.
Integrity and corruption:
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In today’s world, the aggravation of material greed has a reaction set ablaze the fire of corruption at all levels.
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Everybody has the urge to reap the maximum benefits with minimum efforts; such tendency has led people to compromise their morality as well as ethical conduct of the organisation in which they operate.
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In India, people cherish ethics but never internalise them. Biggest cause of corruption is loss of integrity. Integrity is integral to a healthy society. – Gandhi.
Impartiality: What is Impartiality?
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It is a principle of justice holding that decisions should be based on objective criteria rather than on the basis of bias and prejudice.
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In Civil services, impartiality works at 2 levels: 1. Political impartiality and 2. Public impartiality Political impartiality:
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It holds that a civil servant will serve the govt. to the best of his ability, no matter what his own political beliefs are. He will act in a way which deserves and retains the confidence of ministers.
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He must concentrate on the policy, process and result and not on the person.
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He cannot disclose the advice that he has given to ministers but on the other hand he must explain and implement policies with objectivity, no matter what his personal views are. (He cannot defend the decisions and views of the Minister. Note the difference between explaining and defending.)  Public Impartiality:
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A civil servant must carry out his responsibilities in a way that is fair, just and equitable and reflects his commitment to equality and diversity.
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He must not act in a way that unjustifiably favours or discriminates against particular individuals or interests.
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Principles of public impartiality can be derived from the values of equality and merit which are enshrined in the Constitution.
 Importance of Impartiality in Civil service:
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It brings credibility and trust in the relationship between the public and the govt.
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It enables the civil servant to ask appropriate questions, however grand the person or organisation with which he is dealing.
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It’s a defence against senior or public figure who might otherwise expect civil servant to give them priority or special treatment.
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It helps the public servant to maintain the queue i.e. treating people on first come first served basis.
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Nonpartisanship: What is Nonpartisanship?
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It implies that civil servant should remain non-political in nature.
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It means a civil servant should distance himself from any political activity.
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There might be changes in political leadership but civil servant should be unfavouringly provide technical advice to political master keeping himself aloof from the politics of the day. This principle leads to:
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Public confidence in non-political character of civil servants.
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High morale of civil servants, as promotions, transfers and other service conditions are based on merit and not on political considerations.
Confidence of Minister belonging to any political party in the loyalty of their permanent civil servants.
Breach of Political impartiality and non-partisanship: Bureaucratic lobbies based on caste with Minister’s caste, etc. Unfortunately, in the last few decades, India has seen the corrosion of these two values of civil services. This has led to the emergence of personal affiliation between the minister and the civil servant leading to “politicisation of civil services”. This has further led to corruption and absence of public service which is centre to any administrative system. It has led to frequent use of transfers, suspensions and disciplinary powers by ministers against civil servants who do not act in their favour. It has also resulted in factionalism, group rivalry, casteism among the ministers and civil servants. Absence of mutual confidence led to loss of effectiveness and frequent delays. Loss of public confidence in politics and bureaucracy.
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Neutrality: Neutrality means that a civil servant will remain politically impartial and non-partisan throughout his career. It means a kind of political sterilisation, i.e. the bureaucracy remaining unaffected by the changes in the flow of politics.
Debate between Neutral and Committed Bureaucracy: The concept of neutrality has been discarded by many in the administrative discourse especially in developing countries like India. 3 important preconditions of neutrality are:
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Cultural or class congruence between the ruling party and administrative elite.
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Absence of any fundamental disagreement over social core values.
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Presence of a shared belief system. These 3 conditions are fulfilled by most democracies in West, but developing countries sharply differ on all the 3 conditions.
In India, Bureaucracy has powers of delegated legislation and they make policies. Hence, Politics – Administration dichotomy is not feasible in India. Sometimes, neutrality may lead to status quo. Eg. FDI. Neutrality under such circumstances can be other name for status quo maintenance. Neutrality can exist only where there is consensus. But, transitional society, where situations of dissent and conflict exist, it is too much to expect anyone to be neutral. There will be no ground for criticising. Eg. German official serving Hitler. Thus, Neutrality is a highly idealised notion and can exist only in highly ideal conditions, not found in real situations. 85 V. Vivekanandan
Concept of Committed Bureaucracy in India was born out of the debate over unsatisfactory bureaucratic performance in postindependent era. The colonial administrative system was allowed to continue even after the independence, but the traditional outlook of bureaucracy led to underperformance. Fossilised mental outlook of Bureaucracy! “Far from being a neutralist, the public servant of the day and still more of tomorrow should be one rich in human sympathy and with a fully awakened social concience.”- N. R. Pillai (First Cabinet Secretary) Committed Bureaucracy implies that civil servants should be committed to the objective of the state and should have faith in the programmes they are to execute. A committed civil servant need not to be partisan but he must have empathy to understand the mind of a politician who is seriously trying to find a way out of under dent and exploitation. A civil servant should be politically responsive, i.e., he must try to understand the values and social philosophy of the political executive and to offer professional advice fearlessly and frankly in the light of governing philosophy. Right Wing: Status quo; Centre: Gradual consensual changes. Politicised Bureaucracy: In Politicised Bureaucracy, the ruling party penetrates, controls and dominates the Bureaucracy, so much so that the two are almost indistinguishable. A politicised civil servant covertly serves the interest of political party; his style is marked by undue secrecy and breach of established rules and procedures and the objectives he serves tend to be narrow put interest.
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Objectivity: Bureaucracy’s claim to legitimacy is placed on its legal structure and rational behavior. It is rational because means are expressly designed to achieve certain ends. It is legal because authority is exercised by means of system of procedures.
Conditions for checking objectivity:
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Fairness: Equal treatment Disclosure
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Absence of Bias: Bias is a preference or inclination towards someone at the cost of others; something which inhibits impartial judgment.
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Free from external influence
Objectivity is based on real facts and logic and is not influenced by personal beliefs or feelings; it is rational and most of the times, empirical in nature. A public servant should not ignore facts or relevant considerations when he is making decisions. Even those facts which go against personal beliefs of official must be put in the highlights before him to arrive at objective decision. Objectivity refers to the ability to judge without bias or external influence.
Whenever decision is taken, some kind of subjectivity cannot be altogether avoided. However, we should try to achieve objectivity. We should at best try to achieve fairness. Subjectivity can be justified on the basis of fairness.
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Dedication to Public Service: Dedication = Commitment + Compassion. It is the quality of being able to give or apply one’s time, attention or self entirely to a particular activity, cause or person. Dedication is commitment with passion and love; it is a personal urge to achieve certain objective or devote oneself to a particular cause or action. Commitment sometimes suggests that one is bound or obligated because he has made a promise through a formal agreement. However, in the case of dedication, a person is inspired by the sense of duty towards the ideals of state or society. Dedication always suggests that one is devoted even if there is no formal commitment. Dedication holds more association to honour a long lasting value than commitment. It makes a difference in an individual’s motivation in achieving his goals and the length of measure he will take just to achieve it. Dedication to public service involves integrating yourself with the idea of public good; integrated single minded relentless pursuit of public good. If a civil servant is dedicated, his sense of duty is integrated with responsibility given to him. A dedicated person remains motivated even if the task given to him is boring, unexciting or unwanted. Dedication to duty becomes an end in itself. It provides strength to public servant to work in hostile conditions; a dedicated public servant is happy just by doing the task; he enjoys the journey and the work itself motivates him.
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Empathy: Empathy Definition:
Sympathy
Understanding others
are
because
you
what Acknowledging
another
person’s
feeling emotional hardships and providing have comfort and assurance.
experience it yourself or can put yourself in their shoes. Nursing:
Relating
with
patient
because
your Comforting your patient of their you family
have been in a similar situation or experience Scope:
Personal, it can be one to From either one to another person or many
in
some one to many (or one to a group)
circumstance Relationship:
Personal
Friends, family and community (the experience of others)
Example:
I know it’s not easy to When people try to make changes lose
some
weight like this (e.g. lose some weight) at
because I have faced the first it seems difficult same problems myself.
Apathy:
-
Apathy is a state of indifference or a state in which no emotion like concern, motivation or passion shown.
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Sympathy:
Sympathy is instinctive and temporary. It is only at mind level and not put into practical use. It won’t solve the problem. Empathy:
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Empathy involves putting yourself in another person’s place to understand his pain. Understanding of the nature and intensity of the problem are the ingredients of empathy.
-
Empathy is more sustainable than sympathy.
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Empathetic person understands nature of problem, its causes and consequences.
Empathy involves deeper relation and realization than being sympathetic.
Compassion: Compassion is not only understanding the problem but also a desire to help alleviate the suffering of other person. The emphasis here is on action. Having compassion for others requires one to put the other person first and imagine what the other person is going through and consider ways which can help him feel better. To understand problems of others becomes more enduring if we have empathy towards them. In developing countries, there is always a chance of disconnect between bureaucracy and people as the bureaucrats are vulnerable to getting trapped in distancing confines of the power elites. The persisting disconnect exists between the bureaucrats who is the policy maker and people who bear the brunt of policies. This disconnect can be removed only through values of empathy and compassion. Armchair Bureaucracy – sitting away from ground – helicopter approach is not good. The idea is that an armchair bureaucrat cannot understand the real pain and suffering of a common man unless he puts himself in a common man’s place. This can only be done if he has value of empathy.
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These lines also underline the argument that affinity with the soil of the land give you bigger ears to the ground. Even after candidates from lower strata entered bureaucracy, it has not changed much. The interesting thing to observe is that except few highly motivated and dedicated bureaucrats who have become a minority in civil service, most entrants with humble background have not changed the narrative of disconnect between young bureaucrats and people. In fact, any such expectation about transformation would be too naïve an assumption. The old story of becoming the part of powerful elite after making it to the final list of civil service examination keeps recycling itself. Understanding and internalizing the problems is one part and then working with unconditional regard is another. This comes from the value of compassion. Formulating the policies based on ground realities and then implementing them with diligence is the feature of empathetic and compassionate civil servant. Tolerance: Tolerance is the act of enduring diversity in our environment. Tolerance refers to fair, objective and permissive attitude towards those whose opinions, practices, race, religion, nationality, etc. differs from one’s own. It is an act or capacity of enduring the diversity of values and practices in your environment. Tolerance upholds the human rights of dignified life and Rule of law; it lead to harmony and peace in a pluralistic society, in which diversity exists in many contexts. The values of impartiality and objectivity also require tolerance towards society as precondition. Taking a larger view than any kind of injustice inflicted is an example of intolerance. Intolerance is antagonistic to free thinking and promotes violence and injustice. It is reflection of narrow mindedness and is against civilized living. It is detrimental to social progress and welfare.
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Accountability: Accountability concerns the processes by which those who exercise power whether as governments, as elected representatives or as appointed officials, must be able to show that they have exercised their powers and discharged their duties properly. Accountability is the responsibility of government and its agents towards the public to achieve previously set objectives and to account for them in public. It is regarded as a commitment required from public officials individually and collectively to accept public responsibility for their own action and inaction. The burden of accountability rests on each public functionary to act in the public interest and according to his/her conscience, with solutions for every matter based on professionalism and participation. Accountability is answerability, blameworthiness, liability, and the expectation of account-giving. Accountability is the acknowledgment and assumption of responsibility for actions, products, decisions, and policies including the administration, governance, and implementation within the scope of the role or employment position and encompassing the obligation to report, explain and be answerable for resulting consequences. Public functionaries have to give a satisfactory explanation over the exercise of power, authority and resources entrusted in them on behalf of the public. Accountability is the obligation to carry out assigned activities in a responsible and responsive manner, and being held answerable for success or failure. Internal accountability means that at each level in the hierarchical organization, public officials are accountable to those who supervise and control their work. External accountability means answerability for action carried out and performance achieved to other relevant and concerned authorities outside his / her department or organization. Political accountability is the accountability of the government, civil servants and politicians to the public and to legislative bodies.
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Ethical accountability: Within an organization, the principles and practices of ethical accountability aim to improve both the internal standard of individual and group conduct as well as external factors, such as sustainable economic and ecologic strategies. Administrative accountability: Internal rules and norms as well as some independent commission are mechanisms to hold civil servant within the administration of government accountable. Within department or ministry, first, behavior is bound by rules and regulations; secondly, civil servants are subordinates in a hierarchy and accountable to superiors. Nonetheless, there are independent ‘watchdog’ units to scrutinize and hold departments accountable. Individual accountability: Because many different individuals in large organizations contribute in many ways to the decisions and policies, it is difficult even in principle to identify who should be accountable for the results. This is what is known, following Thompson, as the problem of many hands. Conduct of business rules deliberates on the roles to be performed by each functionary. Similarly, roles of officials can be assigned by way of office orders by superiors. Once roles are assigned to individual functionaries, accountability can be fixed.
Probity: Probity is the quality or condition of having strong moral principles; integrity, good character, honesty and decency. Hence, probity is the act of adhering to the highest principles and ideals rather than simply avoiding corrupt or dishonest conduct. In a way, Probity has been described as a risk management approach ensuring procedural integrity. It is concerned with procedures, processes and systems rather than outcomes. Probity Principles (according to the Council of Social Service of New South Wales, USA):
-
Accountability Transparency Impartiality
Confidentiality Probity and its relationship to corruption:
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Probity is usually regarded as being incorruptible.
-
Probity is a societal expectation which citizens demand from decision makers.
In a democracy, probity goes even further to espouse the principles of equality before law and a respect for the rights and duties.
Ethical governance: Governance simply means the process of decision making and the process by which decisions are implement. It is the exercise of power or authority – political, economic, administration or otherwise – to manage a country’s resources and affairs. Ethics in governance is of the paramount importance since it goes to the root of other issues. The theme of ethical governance is closely connected with the menace of corruption in public life. There cannot be corruption and also ethical governance at the same time. Both are incompatible. Key attribute of good governance include transparency, responsibility, accountability, participation and responsiveness to the needs of the people. Good governance has no place for corruption of any kind since dishonesty is anathema to economic well-being as it transmits public money allocated for development unjustly into private coffers depriving the citizenry of its use for their welfare. This is the prime reason why the World Bank views good governance and anticorruption measures as central to its poverty alleviation mission. Good governance has 8 major characteristics: It is participatory, consensus oriented, accountable, transparent, responsive, effective and efficient, equitable and inclusive and follows the rule of law. It assures that corruption is minimized, the views of minorities are taken into account and that the voices of the most vulnerable in society are heard in decision-making. It is also responsive to the present and
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future needs of society. The attribute of “responsiveness” necessitates that all public institutions and their processes strive “to serve all stakeholders within a reasonable timeframe.” ‘Ethics in Governance’ essentially refers to customary values and rules in public administration. Selflessness, integrity, objectivity, accountability, openness, honesty, leadership were the seven principles of public life identified by Nolan Committee. Openness and accountability are essentially procedural in nature and procedures can be devised to ensure openness and accountability. Objectivity and leadership are performance related. The biggest challenge, however, is to make our public servants act with integrity, honesty and selflessness. These are the attribute solely ethical in nature and therefore pose difficulty in setting measurable standards for them. Maxims of Ethical Governance: o Maxim of National Interest o Maxim of Justice o Maxim of Transparency o Maxim of Integrity
Strengthening of ethical and moral values in governance: Ethical and Moral Standards for public service should be clear. Ethical and Moral Standards should be reflected in the legal framework. Ethical and Moral guidance should be available to public servants. Public servants should know their rights and obligations when exposing wrongdoing. Political commitment to ethics should reinforce the ethical conduct of public servants. The decision-making process should be transparent and open to scrutiny. There should be clear guidelines for interaction between the public and private sectors. Public service conditions and management of human resources should promote ethical conduct. Appropriate procedures and sanctions should exist to deal with misconduct.
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Utilization of Public Funds: All organizations receiving public funding are accountable and subject to audit and scrutiny. The accounts of the Government are kept in 3 parts: 1. Consolidated Fund of India, 2. Contingency Fund of India and 3. Public Account. Consolidated Fund of India – Article 266(1) – Generally all tax and nontax revenue and other capital receipts are credited into this account. All expenditure of the government is incurred from this fund and no amount can be withdrawn from the Fund without authorization from the Parliament. However, the situation like the Government Shutdown as happened in USA cannot generally happen in India due to its Parliamentary form of government, as the party (or parties in the case of coalition government) in majority forms the government. Contingency Fund of India – Article 267 – The corpus of this fund is Rs. 50 crores. Advances from the fund are made for the purposes of meeting unforeseen expenditure which are resumed to the Fund to the full extent as soon as Parliament authorizes additional expenditure. This fund is held on behalf of President by the Secretary to the Government of India, Ministry of Finance. Public Account – Article 266(2) – The transactions relate to debt other than those included in the Consolidated Fund of India. The transactions under Debt, Deposits and Advances in this part are those in respect of which Government incurs a liability to repay the money received or has a claim to recover the amount. The receipts under Public Account do not constitute normal receipts of Government. Parliamentary authorization for payments from the Public Account is therefore not required. Current scheme of Public Fund Utilisation Classification:
-
The expenditure of the government is classified into functional heads.
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-
The functional classification signifies broadly the function of government for which the expenditure has been incurred and the activity on which the expenditure has been incurred.
-
The functional classification being followed as of now is a six tier structure with a hierarchy of major, sub-major, minor, sub-head, detailed heads and object head. The first tier of the functional classification, called the major head denotes the functions of the government that are discharged through the expenditure.
-
The second tier of functional classification provides the description of sub-functions. The third tier denoted by the minor head indicates the objective of the government being achieved through that particular expenditure.
-
Below the minor head are the two tiers of sub-heads (fourth tier) and detailed heads (fifth head). The Sub-head indicates specific schemes or activities of the government under which the expenditure has been incurred and the detailed head indicates various components of the schemes or sub-schemes. The sixth tier of object head provides details about the object of expenditure.
-
Thus, this forms a two dimensional classification where the expenditure is classified into object heads for each functional head. The division provided by Plan/ Non-Plan classification is laid over the functional and object classification.  The FRBM (Fiscal Responsibility and Budget Management Act, 2003) aims to ensure inter-generational equity in fiscal management and long-term macro-economic stability by achieving sufficient revenue surplus. It also seems to conform to the classical view about use of borrowed funds and implicitly aims at balancing the current and capital sides of the budget in its application to the Union Government as a distinct budgeting and accounting entity.
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The personnel of Indian Civil Accounts Service involve in accounting part and the personnel of Indian Audit and Accounts Service involve in auditing the accounts to have checks and balances in spending government money. The Fundamental Rules and Financial Rules govern the expenditure at office level. Tendering and e-tendering procedures take care of proper revenue and expenditure mechanisms. Purchase committees at office level decide on the purchase expenditures.
Public Procurement: Weaknesses in Procurement Regime: o Absence of a dedicated policy making department / agency. o Absence of a Central law. o Absence of a credible complaint/challenge/grievance procedure. o Absence of standard tender documents o Preferential treatment in procurement o Negotiations o Delay in tender processing and award decision o Antiquated procedures for work contracts o Over-dependence on traditional recordkeeping. Contracts are sometimes manipulated by the procurement agency through tailor-made specifications intended to favour particular parties, selective information about contracting opportunities, invocation of urgency to avoid or limit competition, breaching the confidentiality of parties to favour somebody, unfair prequalification requirements giving inadequate response trust, recording false measurements, acceptance of bribes to manipulate decisions etc. On the supply side, the intending parties could collude to fix bid prices, take recourse to discriminatory technical standards, interface in the 98 V. Vivekanandan
evaluation of the tenders through political or other influence and directly offer bribes. The institutional and legal framework for procurement derives from the Constitution of India. Article 298 authorizes the Union and State governments to contract for goods and services and requires the executive to protect the fundamental rights of all citizens to be treated equally. Article 299 of the Constitution deals with contracts on behalf of the Union and State Governments and Article 300 with suits and proceedings thereon. The broad framework for contracts is regulated by the Contract Act, the Sale of Goods Act, the Arbitration Act, the Limitation Acts and the RTI Act. There is no Union law governing procurement in India. The policies, procedures, guidelines and delegation of authority relating to procurement are issued by the GoI primarily through the finance ministry, supplemented by orders of each Ministry/Department. ‘Stores Purchase Departments’ at the State level, helped the governments in procuring goods a process of ‘rate contracts’ wherein rates for different items to be purchased as well as the suppliers are fixed periodically and then all government departments and agencies can place orders on such supplies directly. The GFR (General Financial Rules) provides to be followed for purchase of goods and services by the government departments. The State governments/Central Public Sector Units (CPSUs) have their own general financial rules based on the broad principles outlined in the GFR. The CAG and the Local Fund Audit Departments of State governments are the primary oversight agencies to ensure accountability. The Central Public Accounts Committee and the State Public Accounts Committees examine the reports of the CAG. The Central Vigilance Commission, a statutory authority also issues guidelines in regard to procurement and has powers of oversight in the case of criminal misconduct and corruption on the part of public servants involved in public contracts. The Civil Courts and the High Courts and the Supreme Court provide judicial remedy in matters involving irregularities in procurement. The civil society organizations
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and the media also play a part in bringing corruption in public procurement to light.  Several measures have been taken by the Union and State Governments to reduce the scope of corruption in procurement. A beginning has been made by the Governments of Tamil Nadu and Karnataka to provide a formal legal framework to regulate public procurement for the first time in the country in the late 1990s, the pioneering effort in this context being by the Tamil Nadu Government when it enacted the Tamil Nadu Transparency in Tenders Act, 1998. This was followed by the Karnataka Transparency in Public Procurement Act, 1999.  The Central Vigilance Commission has issued guidelines for procurement of goods and services.  The generic measures or integrity pillars to prevent and to control corruption in procurement are: o An effective criminal justice system which punishes the wrong doers. o Effective administrative supervision and management control systems inherent in the system of governance. o An efficient civil service system with well laid down code of integrity and conduct o Right to access to information o Effective audit to ensure value for money by an independent audit authority. o Anti-corruption commission and investigative agencies to ensure effective enforcement o Independent ombudsman to investigate high level corruption and o Strong laws relating to corruption, whistleblower and witness protection and civil remedies to secure compensation for loss sustained.
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The generic measures need to be supplemented by specific remedial measures for misconduct in relation to procurement. Some of the specific measures are: o All procurements should be after competition between suppliers. The specifications should be so designed that there are always a few suppliers who could meet requirement. o All States and the Union should have a ‘Transparency in Procurement Act’. This law should stipulate the methodology for procurement, lay down the authorities for procurement decisions, stipulate an appellate mechanism to look into irregularities, etc. o The terms and conditions governing the procurement process should be clearly spelt out without any ambiguity; It should be ensured that all bidders are informed about these terms and conditions, and their doubts if any should be clarified before the bidding begins. o Information about decisions made and the reasons thereof should be placed in the public domain. o The criteria for evaluation of the bids should be laid down before the bidding begins and it should be made known to all bidders. Under no circumstances should the criteria be changed midway. o Evaluation of bids involving large amounts should be carried out by committees. o Procurement wings of departments should carry out market research to arrive at reasonableness or otherwise of the bids. o Increasingly recourse should be made to Information Technology in order to make the procurement process transparent and efficient. o Only officials with proven integrity should be involved in the procurement process. o Payments to the suppliers should be settled promptly. o Integrity pacts should be made use of in purchase of high value. o The tender contracts should include a condition making it possible for the government to forfeit payments if bribery is detected.
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Ethics in private relationships: “A” shares a private relation with “B” if “A” shares a bond with “B”, premised on the existence of “A” and “B” as individual entities without “A” and “B” locating themselves within a particular context. Private relationship involves relationship between family, friends, etc. They are informal as no formal procedure is there to regulate such relations. These are one to one relationships based on emotional bond and in most cases expression of individual personality manifests. There is internal control on ethical behavior rather than external control in the form of laws and rules. Ethics in private relationship can vary from person to person and are demonstrated everyday in a way a person interact with other person with whom he shares a personal bond. Ethics shown in private relationship are often influenced by morality emotional state and “personal interest” of persons involved in such relationships. Ethics shown in private relationship often forms a major part of individual ethics or morality. In any society, morality forms the basis for ethical behavior in public relationship.
Ethics in public relationships: Public relationships involve relations between individuals in public sphere where individuals perceive themselves as part of a context and not as separate entities. These relationships are predictable and formal in nature, and there are legal and social obligations. Under such condition, persons follow ethical behavior in context of external rules and regulations. Ethics shown in public relationships are often influenced by norms, values, and behavior prevailing in a particular society. Relationship between Ethics in Private and Public Relations: Distinguishing between ethics in public and private relations is vague, ambiguous and difficult. Both of them cannot be divided in watertight compartments. They consistently interact and affect each other. Ethics in private relationships helps in humanizing public
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relationships and plays an important role in forming the moral system of persons.  Conflict between Ethics in private and public relationships may lead to unrest, guilt, dissonance and confusion in the minds of concerned persons. However, too much congruence of ethics in private and public relationships may lead to stagnation of ideas.
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ď‚— Ethical concerns in government and private institutions: Ethics play many functions in an organization like: 1. Satisfying basic human needs: Being fair, honest and ethical are some of the basic human needs. According to humanistic approach towards organization, every employee desires to be fair and ethical in his approach towards himself and his organization. Every human is basically good and wants to be good provided he gets just environment. 2. Creating credibility: An organization believed to be driven by moral values is represented by the society even by those who may have no information about the working and business or the organization. 3. Uniting people and leadership: An organization driven by values is revered by its employees also. They are the common thread that brings the employees and decision makers on a common platform. 4. Securing the Society: Often Ethics succeeds law in safeguarding the society. The law machinery is often found acting as a mute spectator unable to save the society and the environment. Before a law comes to regulate a technology, new technology comes. Under conditions, ethical grounds can be used even to criticize law. Eg.: Criticizing US snooping law. 5. Ethics helps to arrive at decisions more quickly as it assists making choices. 6. For administration, it helps in making more reflective judgments that can be defended in public. 7. Finally, there should be ethics in citizens behavior because such behavior impinges directly on government and administration.
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Ethical concerns in government organizations: The essence of ethics in public organizations is that the public administrators are the guardians of the State; they are expected to honour public trust and not violate it. These organizations are characterized by service motive, purpose is to serve the public and promote public welfare. Its functions are comprehensive, vital and urgent for very existence of society. Administrative systems are not only confined to act ethically in their conduct but also have the responsibility to promote an ethical order in larger society. Ethical concerns are enumerated below: 1. Legality and Rationality: Government organizations have to function with the rules and regulations. Decisions should be based on reason and logic rather than personal belief. 2. Responsibility and Accountability: Responsibility refers to the public servant’s responsiveness to public will. Accountability denotes specific methods and procedures to enforce the public servant’s responsibility. Responsibility is subjective and works from within. Accountability is objective and works from outside. The basis of enforcing responsibility from outside is known as accountability. 3. Work Dedication: An administrator should be dedicated to his duties and should perform his work with involvement, intelligence and dexterity. This also entails respect for time and fulfillment of promises made. Work is considered not as burden but as an opportunity to serve and constructively contribute to society.
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4. Excellence: An excellent administrator ensures the highest standards of quality in administrative decisions and actions and does not compromise because of convenience or ease. Excellence comes from the integration of efficiency, economy and effectiveness. 5. Fusion: A public official is expected to bring about fusion of individual, organization and social goals and should be committed to such fusion. 6. Responsiveness: A public official should respond effectively to the demands and challenges from the external as well as with the organization. He should be adaptive to environmental transformation yet sustain ethical norms of conduct. 7. Utilitarianism: By making and implementing policies and decisions, a civil servant should ensure that they lead to the greatest good of the greatest number. 8. Compassion: A civil servant without violating prescribed laws should demonstrate compassion towards weaker sections. 9. National Interest: Though universalistic in orientation and liberal in outlook, a civil servant while performing his duties should keep in view the impact of his actions on his nation’s strength and prestige. (Eg.: Snowden’s act) 10.Justice: Basic source of ethics is justice. Giving people what they deserve is justice. 11.Transparency: Transparency implies openness, communication and accountability. Transparency is operating in such a way that it’s easy for others to see what actions are performed.
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12.Integrity: Administrative action should be based on honesty. Power, position and discretion should not be used for personal interest. 13.Uniformity: Government organizations have to be consistent and fair in their treatment to public.
Ethical concerns in private institutions: Ethics in private institutions refer to moral principles which should govern business activities. Business Ethics provides a Code of Conduct for Managers. The purpose of ethics is to guide the Managers and employees in performing their jobs. Eg.: Pay tax, CSR, Not involving in Insider trading, Consumer Rights, Not paying bribe to government employees, etc. Ethical behavior is also important for private organizations as it influences its internal as well as external relationships. The difference between government and private lies in the goals and priorities in decision making. In public organizations, an official needs to be ethical so that citizens can be served in a better way. In private organizations, Manager needs to be ethical so that business can become better. Today, a businessman is pressurized by various factors to follow a business practice which is ethical from society’s point of view. Such pressures are: 1. Environmental pressures: Since business activities are carried on within boundary of society, it is argued that business should be guided by ethics established by society. 2. Enlightened self interest: Today, business enterprises firmly believe that business ethics are in their own self interest i.e., if a business firm follows business ethics, it will lead to more profits and prosperity in long run. 3. Moral consciousness: It would not be an exaggeration to say that most business people behave ethically because of their moral consciousness. Like other members of society, they also
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believe that ethical business conduct is good business as well as good for the society. 4. Legal requirements: Companies Act, 2013, SEBI Act, Tax laws, etc. Ethical concerns in private organizations are enumerated below: 1. Responsibility and Accountability towards stakeholders: Stakeholders include customers, employees, managers, shareholders and society. 2. Transparency and Disclosure: They are important as all stakeholders have the right to know the decisions taken and how they are implemented. 3. Integrity, loyalty and honesty. 4. Commitment: Commitment towards goals of organization and towards the benefit of all stakeholders. 5. Statutory and legal obedience: It leads to trust and better relations with government and public. 6. Responsiveness 7. Quality products and services 8. Excellence Distinction between Public and Private Sector: It is greatly influenced by the political philosophy of each nation. In developed countries like US, public sector in many ways depends on private sector for supply of goods and services. Hence, the tendency in that country is towards blurring of lines of the distinct nature. In India, earlier, there was a clear distinction, as public sector had been the dominant sector. However, in the last two decades, the LPG (Liberalisation, Privatisation and Globalisation) regime has bridged the gap between the functioning of public and private sector undertakings. The current advocacy of privatization and PPP (Public Private Partnership) is indicative of this trend. Government is now being called upon to play more enabling role than the traditional doing role. Thus, consideration for general welfare as well as better business has become a common concern for both public and private institutions. Moral dimensions and criteria can be applied to all kinds of organizations, as public and private sectors are sharing some basic values and norms.
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Citizen’s Charter: The Citizen’s Charter was a British political initiative launched by the then PM, John Major in 1991. It aims to improve public services by:
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Making administration accountable and citizen friendly. Ensuring transparency and the right to information. Taking measures to cleanse and motivate civil service. Adopting a stakeholder approach.
Saving time of both executants and the clientele. Citizen Charters aim at addressing some of the problems of interface between the Government and its citizens’ and also continuously improving the quality of public services for the people at large to make them responsive to their needs and wishes. The basic objective of the citizens’ charter is to empower the citizens in relation to public service delivery in areas like improvement of quality and provision of standard services with the taxpayers’ money. This should lead to accountability of organizations and their staff with total transparency about the rules, regulations and the processes and procedures. It also aims at providing a mechanism for redressal of citizens’ grievances. These charters are required to spell out the standards of services and time limits within which the public can reasonably expect the disposal of the requests made by them to the government. Six principles of the Citizens’ Charter movement: o Quality o Choice o Standards o Value o Accountability o Transparency
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Nine Principles of Service Delivery: o Set standards of service o Be open and provide full information o Consult and involve o Encourage access and the promotion of choice o Treat all fairly o Put things right when they go wrong o Use resources effectively o Innovate and improve o Work with other providers. Department of Administrative Reforms and Public Grievances in Government of India (DARPG) initiated the task of coordinating, formulating and operationalising Citizens’ Charters. Guidelines for formulating the Charters as well as a list of do’s and don’ts were communicated to various government departments / organizations to enable them to bring out focused and effective charters. Indian Charters incorporate the following elements: o Vision and Mission Statement o Details of business transacted by the organization o Details of clients o Details of services provided to each client group o Details of grievance redress mechanism and how to access it o Expectations from the clients. Comprehensive website on Citizens’ Charters: www.goicharters.nic.in implemented from 2002, has the Citizens’ Charters brought out by various departments in India. Implementing the Charters: o Introduction of a new concept is always difficult in any organization. Introduction and implementation of the concept of Citizens’ Charter in the GoI was much more difficult due to the old bureaucratic set up / procedures and the rigid attitudes of the workforce. o The major obstacles encountered in this initiative were the consultation process was minimal or largely absent. It thus became one of the routine activities of the organization and had no focus. o In many cases, the concerned staff were not adequately trained and sensitized.
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Work Culture: Work culture refers to the mentality of the employees which further decides the ambience of the organization. It is the work culture which decides the way employees interact with each other and how an organization functions. Work culture is a product of the values, beliefs and expectations that guide employee behavior. A strong and carefully developed culture can help an organization operate smoothly and efficiently while poorly designed cultures can create toxic work environments and potentially be very costly. Employees working for organisations with likeminded values and beliefs enjoy more work satisfaction, productivity, and have a higher retention. Key values of work culture include: Accountability, Adaptability, Collaboration, Collegiality, Commitment, and Continuous Quality Service. Characteristics of a Healthy Work Culture: o A healthy work culture leads to satisfied employees and an increased productivity. o Employees must be cordial with each other. o Each employee should be treated as one. o Appreciating the top performers is important. o Encourage discussions at the workplace. o Organisation must have employee friendly policies and practical guidelines. o The “Hitler approach” does not fit in the current scenario. o Promote team building activities to bind the employees together. Differences between Indian and US work culture: o In all the Western countries, especially USA, people strictly adhere to the time. They work in the office for eight hours a day. They attend the meetings sharply in scheduled timings. They take lunch break for half an hour. On the contrary, in
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India, people do not adhere to the timings. No doubt, they work for long hours approximately for 10-12 hours a day and sometimes even on weekends, but take long tea breaks and lunch breaks. o In India, they are not very imperative on deadlines and keep negotiating for extension of timeline. Sometimes scheduled meetings are cancelled, due to absence of some key persons. o One more major difference is the work-life balance. In Western work culture, they give more value to the time spent for their personal life. They do not carry workplace pressures or stress to home. Eventually work is a part of their life, but not the life itself. Administrative work culture: o The seeds of the term “Administrative Culture” were sown in 1963 when Gabriel Almond and Sydney Verba published their path-breaking work “The Civic Culture”. o As culture refers to norms, attitudes, values, perceptions, interpretation and behavior of an individual, Administrative culture comprises values, beliefs, attitudes, etc., concerning administrative action and behavior. o It connotes the mode and style of functioning of officials. Administrative and political Environment: o Administration is most immediately influenced by the political system. The nature of political system determines the nature of administrative system. For example, during British regime, Indian political system was centralized, exploitative, repressive and authoritarian. Therefore, administration too, was of that kind. But after independence, political system became decentralized, democratic, developmental, and welfare-oriented. Therefore, administration also became like that. Thus, political system impacts administrative system. o Similarly, administration also impacts political system. It helps formulate governmental programmes and policies. The administrators provide different types of data, information, expertise, suggestions, feedback, etc. to the ministers on the basis of which realistic programmes and policies are formulated by them. Thus, administration and political system impact each other.
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Quality of Service Delivery: Service quality is comparison of expectations with performance. It can be achieved by understanding and improving operational processes; identifying problems quickly and systematically; establishing valid and reliable service performance measures and measuring customer satisfaction and other performance outcomes. Service delivery standards are the minimum level of expected services in terms of quality, process, time and cost. Ten determinants that may influence the appearance of gap between the expected service and the perceived service were described by Parasuraman, Zeithaml and Berry: o Competence o Courtesy o Credibility o Security o Access o Communication o Knowing the customer o Tangibles o Reliability o Responsiveness Public service delivery is one of the most significant and critical aspects of good governance because it affects the lives of millions of people. The government should ensure that the public services are available uninterrupted all the time and at the cost within the reach of all. It means that services must reach the citizens. Indian is a developing country and it is through better public service delivery that inclusive and sustainable socio-economic development can be achieved. Government department through which most of the public services are delivered are organized according to bureaucratic model. They are hierarchical in structure with superior subordinate relationships, reliance on control through inspection; rigid rules and procedures; preference for precedence, top down planning and communication and bottom up reporting; merit cum seniority based promotions and security of services. Sevottam Model: The Sevottam model has been developed with the overarching objective of improving the quality of public service delivery in the country. The model has three components: o Effective Charter implementation o Public Grievance Redress o Excellence in service delivery.
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Challenges in curbing Corruption: Present Education System which gives emphasis on rat race on material achievements devoid of value based education. Funding to elections – Party funds – inexhaustible appetite for illegitimate funds in politics The non-mandatory nature of disclosure of source of donations received by political parties below Rs. 20000. As a result, the political parties could show receipt of funds below this amount each from several persons. Criminalization of politics Society which worships power Society tolerating corruption Collusive corruption: Collusion between the bribe giver and corrupt public servant, both parties benefitting at the immense cost to society. Colonial legacy of unchallenged authority and propensity to exercise power arbitrarily. Politics-Business-Bureaucracy nexus Malpractices in Real estate transactions Benami transactions – The currently available Benami Transactions (Prohibition) Act, 1988 is not strictly implemented as it has several lacunae. Black money generation Money laundering Tax Havens Treaty shopping Administrative discretions exercised without any reasoning. Monopoly + Discretion – Accountability = Corruption. Policy dilemmas
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Crony Capitalism Nepotism Inordinate Delays in judicial system – cumbersome legal procedure Addressing the perceived trust deficit Absence of proper CBI Act Difficulties in establishing Lok Pal and Lok Ayukta. CVC has only advisory role. The advice of CVC is not binding on the Disciplinary authorities as per the present CVC Act. CAG has power only to raise objections and place his report to Parliament. If remedial measures are not taken, CAG cannot do anything on his own. The scrutiny of CAG reports by the Public Accounts Committee (PAC) is to be strengthened in terms of fixing responsibility. Several important Acts to be passed are still pending as Bills for a long time. Example: Public Service Bill, Anti-Money Laundering Bill, Judicial Accountability Bill, The Judges (Inquiry) Bill, Benami Transactions Prohibition Bill, Draft CBI Act, Bill for Timely Delivery of Services, Public Procurement Bill, Whistleblower Protection Bill, Lokpal Bill, The Corrupt Public Servants (Forfeiture of Properties) Bill and Citizens Right to Grievance Redressal Bill. Gross perversion of the Constitution and democratic institutions amounting to willful violation of oath of office, Abuse of authority unduly favouring or harming someone, Obstruction of justice and Squandering public money including ostentatious official life-styles have not been made as offences specifically under Prevention of Corruption Act. While corrupt acts of a public servant are liable for punishment under the Prevention of Corruption Act, there is no civil liability for 115 V. Vivekanandan
the wrong doer to pay damages caused to the exchequer to the government nor is there a provision for compensation to the person/organization which has been wronged or has suffered damage because of the misconduct of the public servant. The Prevention of Corruption Act provides for confiscation of assets of public servants in excess of their known sources of income. However, the provision has proved inadequate because such forfeiture is possible only on conviction for the relevant offences. At present, for attachment and forfeiture of illegally acquired property of public servants the provisions of the Criminal Law Amendment Ordinance, 1944 are invoked. Further the government has to authorize the filing of a request seeking attachment before Special Judge. Another shortcoming in the existing provisions is that the procedure for attachment can start only after the court has taken cognizance of the offence. In actual situation, this may be too late as the accused may get enough time to hide or adjust his ill-gotten wealth. Absence of legislation on the lines of the US False Claims Act. (Under US False Claims Act, any person who has knowledge about a fraud committed by another person or entity, may file a law suit on behalf of the Federal government. And if the fraud is established in a court of law, the person committing the fraud is penalized and the plaintiff is rewarded with a percentage of recovery. US felt that government alone cannot win the war against frauds and sought to create incentives for private citizens to come forward and supplement government’s efforts.) Absence of credible Social Audit through client or beneficiary groups or civil society groups.
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Slow progress in technological advancements and computerization in governance, rendering more human interference. Preparation of List of Officers of Doubtful Integrity and Agreed List of Suspect Officers. Weaknesses in Procurement Regime, more so in military equipments. Pending reforms in Land Administration. Pending reforms in Labour Laws We continue to be governed by Police Act that was given to us by the aliens in 1861, in the initial years of British Rule in India. Police Reforms are yet to be carried out. In 1996, Supreme Court pointed out the inadequacy of the anticorruption measures in the case of Delhi Development Authority vs. Skipper Constructions Co. (P) Ltd. The Court recommended enactment of a SAFEMA like law that “should place the burden of proving that the attached properties were not acquired with the aid of monies / properties received in the course of corrupt deals upon the holder of that property”. The Law Commission of India took the above suggestion of the Supreme Court seriously and suggested in its 166th report the enactment of a special law, also taking pains of drafting its Bill called the “Corrupt Public Servants (Forfeiture of Property) Bill” which was sent to the GoI in February 1999. We still await the outcome of the said proposal. Judicial Reforms and Legal Reforms are yet to be carried out. Investigating and prosecuting agencies are not independent of the executive government. There is no mechanism to monitor the investigation process like the Director of Prosecutions in the UK.
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From the angle of Management: Quality of Service Delivery:
TQM (Total Quality Management) techniques Kaizen – Continuous small improvements SCM (Supply Chain Management) CRM (Customer Relations Management) Channel Strategy BPR (Business Process Reengineering) – Question every process of administration and take steps to constantly improve them. Six sigma concept: Define the process Measure it to obtain a performance baseline Analyze the data to determine where errors are occurring Control it to ensure the errors do not recur Improve the process. Know the salient features of Bill for timely delivery of services. Know the salient features of Electronic Service Delivery Bill 2011. Efforts to improve customer satisfaction, customer delight and customer ecstasy from public service space. Work culture: Making your Office Ethically sound
Improving Ethical Climate Ethics Programs & Officers
Realistic Objectives
Effective Communication
Top Management Leadership
Ethics Audit
Ethics Training
Ethical Decisionmaking Processes
Codes of Conduct
Discipline of Violators
Whistle-blowing Mechanisms (“Hotlines”)
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From the angle of Economics: Insider Trading – Rajat Gupta episode Class Action Suits: According to the new Companies Act 2013, if investors or depositors are of the view that the management or the company is conducting affairs that go against the interest of shareholders and depositors, they can collectively file an application before a tribunal. As per the Act, a National Company Law Tribunal and Appellate Tribunal will be set up to deal with such cases. The law also provides an option for shareholders and depositors to file an application and seek orders to restrain a company from moves such as acting against the memorandum of the company and to restrain it from acting against the resolutions passed by shareholders. Shareholders will be able to seek damages and compensation from the company and its directors for wrongdoing and unlawful acts. Compensation can also be claimed from the auditors and the audit firm in case of mis-statement of facts or unlawful acts. A suit can be filed against a company only if the group constitutes at least 100 shareholders or holds a certain percentage of the company’s paid-up capital. Also, not more than one application will be admitted for the same cause. If a company fails to obey the orders of the tribunal, a penalty would be imposed and the defaulting officer may also face imprisonment. Interestingly, the Bill also states that if the complaint is found to be “frivolous or vexatious”, the applicant will be liable to pay the other party. The idea is to ensure that only genuine applications are filed. The provision of class action is being seen as a major positive. This will help investors by making companies and its officials more accountable.
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Corporate governance: The first documented use of the word “corporate governance” is by Richard Eells in 1960 to denote “the structure and functioning of the corporate polity”. As the Companies Act, 2013 has been recently passed, refrain writing from old notes purchased in the market. It is in tandem with the change from the State playing major role in the economy to Private Sector prominence. Prior to this, corporate governance was stipulated only for listed companies. Company Secretaries would henceforth be Governance Professionals. The salient features of the new Act on Corporate Governance are listed below. Concept of Stakeholders prominence instead of Shareholders prominence alone. Board Diversity: Appointment of one woman director for listed and public companies with Rs. 100-plus core in paid-up capital or Rs. 300-plus crore turnover made mandatory. Independent Directors: Public companies with paid-up capital of Rs. 100-plus crore, or borrowings or deposits of Rs. 200-plus crore, or turnover of Rs. 300-plus crore should now ensure that at least one-third of their Board is made up of independent directors. The new Act introduced the concept of independent directors for certain unlisted companies also. The new Act considers even private subsidiaries of public companies as public. Measures to improve Effectiveness of Independent Directors: Restricted tenure of 10 years and directorship of not more than 10 public companies for independent directors provided. Responsibilities of Independent Directors: The responsibilities of independent directors are more explicitly set out. Schedule IV of the new Act specifies the responsibilities of independent directors as overseeing the effectiveness of financial controls
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and risk management; bringing independent judgment on strategic, performance, and risk management issues; bringing independence to board evaluations; and so on. Remuneration to Independent Directors: Companies that have to appoint independent directors have to establish a Nominations and Remuneration Committee, comprising nonexecutive directors (50% independent directors). The new Act prohibits the issue of stock options as remuneration for independent directors, making it more stringent than the UK Corporate Governance Code. Protection of Minority Shareholders: The new Act introduces Class Action Suits. The power of this mechanism can be witnessed in the Satyam case – a strong class-action framework enabled US shareholders to secure a compensation of $125 million, while Indian shareholders are yet to be compensated. Corporate fraud detection and investigation:
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The term “fraud” has been defined in an inclusive and wider manner for the first time in the new Act. Fraud includes any act, omission, concealment of fact, or abuse of position committed by any person or by any other person with connivance in any manner.
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At the time of incorporation, subscribers and the first directors of the company should disclose to the Registrar of Companies their involvement in any fraud or misfeasance.
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As part of the Directors Responsibility Statement, directors should confirm measures taken for the prevention and detection of fraud.
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The Auditor should report to the Government and the Audit Committee / Board any offence involving fraud.
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Companies, as specified, should establish a vigil mechanism for directors and employees to report genuine concerns, even directly to the Chairperson of the Audit Committee, thereby mandated a Whistleblower programme. (The 2002 Sarbanes-Oxley Act of USA: Companies are required to protect whistle-blowers without fear of retaliation; It is a crime to alter, destroy, conceal, cover up or falsify documents to prevent its use in a government lawsuit. In India, a separate Whistleblower Protection Bill is pending in Parliament. However, mechanism for protection has been provided by CVC currently.)
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The new Act tightens governance provisions and, under prescribed conditions, provides for an investigation into the company’s affairs by Government-appointed Inspectors or the Serious Fraud Investigation Office (SFIO).
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The new Act accords SFIO a statutory status. SFIO comprises experts from various disciplines including forensic audit, taxation, capital market, information technology and so on.
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Fraud offences are non-cognisable and the person accused cannot be released on bail, unless for stated exceptions. The guilty shall be punishable with imprisonment of not less than six months, and up to 10 years. There could also be a fine of up to three times the amount involved in the fraud.
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The new Act aims to shift the balance from a reactive to a preventive and structured approach to fraud-risk management.
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 Salient Features of Clause 49 of Listing Agreement between the Company and the Stock Exchange as provided under Section 9 of Securities Contracts (Regulation) Act, 1956 read with SEBI Act and Rules: 1. Independent Directors: At least 1/3rd of the Board. 2. Nominee Directors: Appointed by the institution which lends money. 3. Disclosure of Compensation to Non-executive Directors. 4. Board Meetings: At least 4 times a year with gap not more than 4 months between any two meetings. 5. Number of Directorships: A director shall not be member in more than 10 committees; Chairperson cannot member in more than 5 committees across all companies. 6. Code of Conduct: Board should lay down proper Code of Conduct. 7. Subsidiary Companies: At least one independent director of the holding company should be the director of the non-listed subsidiary; Audit Committee of the holding company shall also audit the subsidiary. 8. Certificate from Company Secretary in practice / Auditors for compliance of Corporate Governance as provided in Clause 49. 9. Report on Corporate Governance as part of the Annual Report of the company. 10.CEO/CFO Certification to the Board on the true and fair view of the financial reporting, checks and balances/internal control mechanisms, instances of frauds and others. 11.Audit Committee comprising majority of independent directors, chairperson of the committee also being independent director with the assistance of internal and statutory auditors. 123 V. Vivekanandan
12.Disclosure of all Related party transactions. 13.Non-mandatory requirements including training of Board members on corporate governance. Know some of the important alleged corporate frauds: NSEL, IPL companies, Ranbaxy Laboratories (Whistleblower got a share of $50 million in the $ 500 million fine), Satyam Computers, Enron, Union Carbide, etc. Salient Recommendations of various Committees on Corporate Governance like Kumarmangalam Birla Committee Report, Narayanamoorthy Committee Report, etc. Corporate Social Responsibility (CSR): As per Section 135 of the Companies Act, 2013, 2% of net profit (before tax) of the company is to be spent every year on CSR. Draft CSR Rules have been recently notified. International Standard Organization has released CSR guidelines as ISO 26000. Companies that do not report on CSR will face a penalty ranging from Rs 50,000 to Rs 25 lakh or even imprisonment of up to three years. An estimated 2,500 companies fall into this “mandatory” CSRreporting category. CSR activities in the first year would be between Rs 9,000 crore and Rs 10,000 crore spent in social welfare. This could significantly benefit the society at large. “CSR, if it is implemented with sustainability as a focus, enhances business sustainability, provides new opportunities, develops customer loyalty and improves stakeholder relationship and it should become an integral part of corporate strategy, management practices, business operations, product development and conservation of environment.” – Dr. A.P.J. Abdul Kalam.
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From the angle of Political Science: Article 51 (Directive Principles of State Policy) of Our Constitution: “The State shall endeavour to – - Promote international peace and security - Maintain just and honourable relations between nations - Foster respect for international law and treaty obligations in the dealings of organized people with one another; and - Encourage settlement of international disputes by arbitration.” Panchsheel principles: - Mutual respect for each other's territorial integrity and
sovereignty, - Mutual non-aggression, - Mutual non-interference in each other's internal affairs, - Equality and mutual benefit, and - Peaceful co-existence. Non-alignment principles 2.0 Panchsheel 2.0 of Dr. Manmohan Singh: a. The single most important objective of Indian foreign policy has to be to create a global environment conducive to the well-being of our great country; b. greater integration with the world economy will benefit India and enable our people to realize their creative potential; c. stable, long term and mutually beneficial relations with all major powers; d. to work with the international community to create a global economic and security environment beneficial to all nations; 125 V. Vivekanandan
e. to work towards strengthening regional institutional capability and capacity and invest in connectivity. Foreign Policy is always dictated by ideas of national interest. The contemporary international situation is more influenced by economic interests than by military interests. Note the shift: The Panchsheel 1.0 and Non-alignment 1.0 embody more of ethical principles whereas Non-alignment 2.0 emerges out of necessity (strategic self interest and multipolarity) and Panchsheel 2.0 is more based on economic interests of our country. The concept of integrity and other values enshrined in the Charter of the United Nations. WTO – Agricultural and Food Subsidies – Food Security India’s grants and financial assistance funding programmes to other third world countries including Sri Lanka, Nepal, Bhutan and Maldives, though India itself borrowed funds from IMF and World Bank. Military / War Ethics: Just War Theory. Guantanamo tortures. Drone attacks by US in Pakistan. Tax Havens and information sharing
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International Cooperation in combating corruption:
Corruption transcends national boundaries. Therefore, national anti-corruption measures need reinforcement at the international level with mutual assistance and cooperative law enforcement initiatives against corruption in areas such as bribing of and by foreign nationals, mutual legal assistance, gathering and transferring evidence, money laundering, technical assistance and information exchange, extradition, tracing, freezing, seizure and confiscation of illicit funds transferred abroad, asset recovery and repatriation, etc. In particular, strengthening of provisions relating to the prevention of laundering of the proceeds of corruption and safeguards to prevent offshore financial centres from harbouring the proceeds of grand corruption are essential steps to control corruption. The United Nations Declaration against corruption and bribery in international commercial transactions adopted by the General Assembly in December 1996 is an important milestone. Another UN initiative is the internal Code of Conduct for public officials adopted in December 1996 to guide the memberstates in their efforts against corruption through a set of guiding principles that public servants should follow in performance of their duties in relation to loyalty, integrity, efficiency, effectiveness, fairness, impartiality, prevention of conflict of interest, disclosure norms, acceptance of gifts and favours, maintenance of secrecy and regulation of political activity consistent with impartiality and inspiring public confidence.
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The UN has prepared a manual on anti-corruption policy and an anti-corruption tool kit as a policy guide and an operational tool. The UN has also prepared a model law on money laundering and proceeds of crime.
The UN Convention against Corruption adopted by the UN General Assembly in October 2003 provides an effective international legal instrument against corruption which has been signed by India but yet to be ratified. Asset recovery is a fundamental principle of the Convention.
The ADB OECD Anti Corruption Action Plan for Asia Pacific which has been signed by the GoI is not a binding agreement.
The World Bank has also declared war against corruption by refusing to fund projects whose implementation is tainted by corrupt practices.
At the annual meeting of the IMF and the World Bank Group in Singapore in 2006, a joint statement was issued with major multilateral financial institutions agreeing on a Uniform Framework for Preventing and Combating Fraud and Corruption in the activities and operations of their institutions. As per the joint statement, the signatory institutions ‘recognize that corruption undermines sustainable economic growth and is a major obstacle to the reduction of poverty’.
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How to approach Case Studies - Resolving Ethical Conflicts – Ethical Decision Making: Three Approaches Conventional approaches: Comparison of a decision or practice to prevailing societal norms: Ethical Relativism / Cultural Relativism: Many people in contemporary society are inclined toward relativism - roughly, the view that there is no objective truth in morality, right and wrong are only matters of opinion that vary from culture to culture, and possibly, from person to person. Descriptive Relativism: claims that members of different cultures have different moral beliefs. Normative Relativism: claims that the truth of moral beliefs depends upon particular cultures, such that the belief that cannibalism is right can be true for culture A but false for culture B. Ethical Universalism: Honesty, Trustworthiness, Respecting the rights of others, Avoiding unnecessary harm Integrative Social Contracts Theory: Integration of Ethical Relativism with Ethical Universalism
Sources of Ethical Norms Fellow Workers
Fellow Workers
Family
Regions of Country
Profession
The Individual Conscience Friends
The Law
Employer
Religious Beliefs
Society at Large
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Principles based approaches: Utilitarianism / Consequentialism: Greatest happiness to the greatest number. Principle of Rights: Civil Rights, Minorities’ Rights, Women’s Rights, Disabled Persons’ Rights, Older persons’ Rights, Religious Rights, Employee Rights, Consumer Rights, Shareholders’ Rights, Privacy Rights, Right to life, Criminals’ Rights, Right to Suicide, Right of due process, Children’s Rights, Fetal Rights, Embryo Rights, Animals Rights, Gay Rights, etc. Principle of Justice: Distributive justice, Compensatory justice and Procedural justice. The Common Good Approach: Except the question “Are we doing our part?”, there is no difference between this approach and Utilitarianism. Principle of Caring: Feminist Theory – Empathy and Compassion Virtue ethics of Plato and Aristotle: Honesty, Courage, Compassion, Generosity, Fidelity, Integrity, Fairness, Self Control, etc. Principle of Servant leadership: Listening, Empathy, Healing, Persuasion, Awareness, Foresight, Conceptualization, Commitment to the growth of people, Stewardship, Building Community. Golden Rule: Do unto others as you would have them do unto you or you should of unto others as you would have them do unto you. The Professional Ethic: Take only those actions that would be viewed as being proper by a disinterested panel of your professional colleagues (doctors, lawyers, accountants, etc.). Just because a profession has a code of ethics, it does not mean that everyone in that profession will observe it.
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Ethical tests: Test of common sense: Try to stand back and determine if what you are contemplating makes logical sense – what are the practical implications. This does not mean that anything is legal until you get caught. Test of one’s best self: Assumes you hold yourself in high self esteem and would do nothing to endanger that personal perception of self. Test of making something public or Disclosure Rule: Would you feel comfortable explaining your actions to a national television audience, or on the front page of your local newspaper, or to your family and friends? Test of ventilation: If you discussed your proposed action with others whose opinions you value, what would they think of it? Test of Purified Idea: Are you being asked to do something that you find questionable by someone with authority over you who is telling you that it is OK (i.e., it is purified because I say so)? Gag test or Smell Test: Does what you are being asked to do make you gag? A superior’s clearest signal that a dubious decision or action is going too far is when you simply gag at the prospect of carrying it out. Test of Big Four: “Watch out for the big four”. The Big Four are four characteristics of decision making that may lead you astray or toward the wrong course of action. The four factors are Greed, Speed, Laziness, and Haziness. Greed is the drive to acquire more and more in your own self-interest. Speed refers to the tendency to rush things and cut corners because you are under the pressure of time. Laziness may lead you to take the easy course of action that requires the least amount of effort. Haziness may lead you to acting or reacting without a clear idea of what is going on. All four of these factors represent temptations that, if succumbed to, might lead to unethical behavior.
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Role Taking: See the situation through others’s eyes (Lawrence Kohlberg).
Ethical Decision-Making Identify decision you are about to make Articulate all dimensions of proposed decision Conventional Approach Standards/Norms -Personal -Organizational -Societal -International
Principles Approach Ethical Principles -Justice -Rights -Utilitarianism -Golden Rule
Course of action passes ethics screen
Engage in course of action
Ethical Tests Approach Ethical Tests -Common sense -One’s best self -Public disclosure -Gag test . . .
Course of action fails ethics screen
Do not engage in course of action Identify new course of action
Conflicts of interest: Conflicts of commitment: Self-Interest over organizational interest. Self-Interest over other co-worker’s interest. (in case the co-worker’s interest is justified) Promoting vested interest of the other party at the cost of organizational interest. Conflicts of obligation: Between loyalty to an organization or to someone else. (benefactors, patrons, etc.) Between loyalty to the family or the organization.
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A conceptual reminder––there is a significant difference between the conflict of interest and conflicting interest. The latter implies difference of opinions, ideas or points of view and in most conflicting interest cases, there is a possibility of resolution or reconciliation of interests. Concerns to be addressed in Ethical Conflicts: • Obligations • Ideals • Effects Guidelines when Our Obligations, Ideals and Effects Conflicts • When two or more moral obligations conflict, use the stronger one. • When two or more ideals conflict, or when ideals conflict with obligations, honor the more important one. • When effects are mixed, choose the action that produces the greatest good and the least harm. Three Specific Golden Rules to solve conflict situations: Golden Rule 1: Choose the lesser evil: Of the two necessary evils, choose the lesser one. Golden Rule 2: Choose the greater good: Of the two goods, choose the greater good. Choose either but do it from a perspective of love when there is confusion as to which is the greater good(St. Augustine’s practical dictum).
Golden Rule 3: Double effect: This concerns the controversial – and conflict – situation where one and the same act produces two effects, one good and the other evil. Under what conditions, it would be morally justified to allow such an act? Intention is the deciding
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factor. Good or bad(evil) is primarily in the intention. Morality is a matter of intention. If doing good is intended, then it is morally allowable, even if it produces bad as end result. On the other hand, if bad is intended, it is not morally allowable, even if it produces good as end result. Four general conditions (according to Celestine Bittle): The action directly intended must be good in itself or at least morally indifferent. The good effect must follow from the action at least as immediately as the evil effect; or the evil effect may follow from the good effect. It is never morally right for the good effect to be produced through the evil effect.
Case 1 and Case 2 are permissible, while case 3 is not permissible as it is the only one where evil is directly intended. If the evil effect were intended or, when it occurred, approved, then the will itself thereby would become evil in its inclination, and the action would be morally wrong. There must be proportionate and sufficient reason for permitting the evil effect to occur while performing the good action.
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Principle of Subordinate Rules: The following are some of the examples of subordinate rules:
Keep your promisis Don’t cheat Don’t steal Obey the law Don’t kill anybody.
Subordinate rules are what we would normally call “Commonsense Morality”. According to John Stuart Mill, these are rules that tend to promote happiness, so we should internalize them as good rules to follow. They have been learned through the experience of many generations. But, subordinate rules are just that: subordinate. If it is clear that breaking a subordinate rule would result in much more happiness than following it, then one should break it. It is generally used in double effect cases.
Ethical Decision Models: The following three models are used most: • Utilitarian Model – An ethical decision is one that produces the greatest good for the greatest number of people. • Moral Rights Model – An ethical decision is one that best maintains and protects the fundamental rights and privileges of the people affected by it. • Justice Model – An ethical decision is one that distributes benefits and harms among individuals in a fair, equitable, or impartial way.
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Ethical Models
Justice
Utilitarian IDEAL Outcome
Moral Rights
Some hints on Ethical Decision Making: Follow a Framework / structure to present your answers. The Framework could be designed on the following lines. Focus will be more on your approach to the problems and issues presented in the case study rather than on the solutions (Charles Langdell of Harvard University). So, focus on the approach and if the approach is right, the solution will also be naturally good. Give stress to 1. Structured presentation of your analysis, 2. Logical and sequential presentation of arguments, 3. Precise use of words and 4. Creative thinking as high emotions, huge stakes and crisis are involved in the cases. First state all the given Facts of the case clearly. Describe the facts and data fully one by one. Get to know: What, Where, When, Who, Why, What if and Why not. You have to identify and define the Issue / Ethical Dilemma / Conflict of Interest involved in the case and state it clearly. (Also remember: Case studies need not always be on ethical dilemma; they can be on issues without involving dilemma also.) 137 V. Vivekanandan
List the conditions, assumptions and limitations, if any. State clearly what is asked or what is required to be done in the case. Identify the “theme” i.e., the subject matter of the case: it may be ‘Conflict of interest’, ‘Interpersonal Relations’, etc. If this is identified, the whole process of analyzing will become more focused and relevant. Hence, figuring out the “theme” is the most important step in approaching and solving a case. Then identify the “setting” i.e. the context. This context may be social, political, official, personal, etc. The “subject” of the case has to be understood along with its contextual background. Identify the “Actors” or “Stakeholders” i.e. affected parties or involved parties. Identify and understand the “role” they are playing. The roles can be official, personal, etc. Think from the stakeholders’ perspectives by “Role Taking” and then apply the general Golden Rule. Understand the Questions involved: Cases will involve primarily two types of questions: case specific questions character specific questions Case Specific: These are questions which require you to consider the entire case, for example ‘What are the ethical issues involved in the given case’? In such cases, the examiner will seek to examine your understanding of the relationship between the subject matter, context and the actors. THE FOCUS HERE IS THE CASE AND NOT THE ACTORS. Case specific questions are fundamentally the WHY questions, i.e. why the issues, why the situation has risen, why the actors are behaving in a particular manner and so on. Character Specific: These questions will test your understanding of the roles played by the actors, their relationships, their issues and the options or course of actions available in the given situation. The questions will be like, ‘What are the courses of action available to ABC’?
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Character -specific questions are the WHAT questions, what will you do, what options you will explore etc. Complicated and tougher versions of the character-specific questions are the ones which places you in the character’s situation, i.e. these are self-analysis questions. Identify the Alternative Courses of Actions. Identify the Consequences of each of the action on each of the stakeholders. Identify the Obligations on the part of the people involved in the case. The next basic problem is identifying the suitable approaches / standards to resolve the case. It is better to use as many approaches as possible as it improves the level of confidence; gives new insights; leads to alternative options and gives opportunity for weaknesses of principles to balance each other out. In democracy, the concept of Utilitarianism (Teleological Ethics) is used more in Civil Services; however, the Rights of the affected may also be addressed; Justice should be seen to have been done. Apply Deontological Ethics (“Means are more important”, “Duty approach”, “Categorical Imperative” and “Principle of Universalisability” of Immanuel Kant) and also Teleological Ethics(Ends justify the means). Ask the two Golden Questions from the Teleological point of view: 1. What would happen to the society if everyone else in society starts doing the same? And 2. Would the ends be desirable in the long run or only in the short run? Use ethical tests wherever necessary. Apart from applying the General Golden Rule, apply the three Specific Golden Rules also, wherever applicable. Follow the guidelines when our obligations, ideals and effects conflict each other.
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Don’t simply confine with the Principles, models, tests, guidelines and approaches; try to think from comprehensive perspectives: philosophical, psychological, sociological, legal, economic, and from the angles of Public Administration, Political Science and Management, as some case studies may not involve any ethical dilemma also. Though ethics travels farther beyond laws, rules and regulations, look into the legality of an action also before choosing it. Analyse whether any subordinate rule needs to be broken (generally applicable in double effect cases). Use specific key words and phrases while answering like conflict of commitment, loyalty, fairness, equity, duty, integrity, virtues, probity, empathy, compassion, etc. according to the facts and circumstances of the case. The examiner will be looking for the specific key words in your answer. Use Diagrams / Flow charts wherever possible. Project and analyse the Possible Consequences of the alternative actions. Evaluate the pros and cons of alternative actions under various approaches. Check your gut: What is your intuition? Of course, intuition alone cannot lead to decision making. It is to be tested by other approaches. Finding the fit and Make the decisions. Think from bureaucrat’s perspective. The decisions taken should be compatible to government’s approach. Aim at Best justification.
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Use precedents and examples from the lives of eminent personalities. Follow the principles of Constitution. Don’t criticize religion; recognize religious rights; interpret religious text scientifically, if possible. “Motive” of an act is important. Think how you may be criticized for your views and try to justify in the course of writing. Subjective principle of action: Think “What I will choose for myself?” Present the Conclusions.
Steps to Ethical Decision Making What are the consequences of your decision
How can the option be implemented
Decide which option is most ethical
Consider options Think through dilemma; identify all components as objectively as possible.
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Some important issues under Applied Ethics: Death Penalty Debate – Capital punishment – Retribution, Deterrence, Rehabilitation Suicide – Punishable under IPC – Is it correct? – Farmers suicides prevalent in India. Abortion – Swetha – Ireland Abortion Law – Conflicts of interests: Rights of mother, Rights of unborn child and Rights of father. Euthanasia – Why not it to be legalized in India? ( Although euthanasia is illegal in the UK, doctors are allowed to administer potentially lethal doses of painkilling drugs to relieve suffering, provided they do not primarily intend to kill the patient. This is known as the doctrine of double effect.) (Doctrine of Slippery Slope: For example, people worry that if voluntary euthanasia were to be made legal, it would not be long before involuntary euthanasia would start to happen.)
Clinical Trials – Total ban by Supreme Court GM Crops – Ethical issues Genetic Diagnosis of Cancer – Angelina Jolie – Granting patent to genes which are involved in diagnosis of disease – How far it is ethically correct? Genetic Engineering – Transgenic animals – Transgenic plants – Bt. Brinjal – Bt. Cotton - Ethical issues Ethical issues on Police encounters. Torture in Police Stations – Custodial deaths Non-filing of FIRs by Police – Recent Supreme Court Judgment IPL Betting cases Drone attacks by US in Pakistan – Genocide – Can India undertake drone strikes on the terrorist training camps along the Pakistan border?
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Animal Rights: Keeping animals in zoo, Using them in circuses – Protests by Animal activists Charity to beggars on the road Honour crimes – in recent news Slavery – in recent news - In India, slavery still persists! Lampedusa – death of refugees Doping in sports Female infanticide – female foeticide Ethics of Advertisements. Ethical dilemma involved in Whistleblowing – Snowden – Julian Assange – Ranbaxy case. (Loyalty vs. Disclosure debate - First report to immediate superior then exhaust internal control procedure Take up the issue to the top management through proper channel Have credible evidence If no change happens, then go public.) Growth, redistribution, development and environmental concerns. Professional Ethics especially of Doctors (Recent Supreme Court judgment on compensation for wrong treatment) Running Office or business in Maoists areas by paying them regularly. Ethical issues involved in Operations against Naxalism Ethical issues involved in Bangladesh factory fire accident Ethical issues involved in Dhamara Ghat Rail accident Sexual harassment at work places – Supreme Court’s judgment in Visaka case – The Sexual Harassment of Women at the Workplace (Prevention, Prohibition and Redressal) Act 2013. Undocumented immigrants from Bangladesh and Sri Lanka Migration of Rohinya Muslims from Myanmar to Bangladesh Drug Price Control – the documentary “Fire in the blood” – Availability of HIV drugs in Africa – Cipla – Ethical issues on Drug Pricing. Coalition Politics and Ethics.
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Recommended Readings: 1. Values in Administration* - DoPT Publication 2. Ethics in Governance - Second ARC Report 3. Exploring Human Values - IIT Chennai Publication 4. Certificate Program in Value Education – IGNOU 5. Being Ethical: Ethics as the Foundation of Business - by S. Manikutty - IIM Ahmedabad Publication 6. Management by Values – by S. K. Chakraborty, IIM Calcutta. 7. Foundations of Managerial Work: Contributions from Indian Thought – by S.K. Chakraborty, IIM Calcutta. 8. Values and Ethics for Organizations – Theory and Practice – by S.K. Chakraborty, IIM Calcutta 9. Corporate Governance and Stewardship – by N. Balasubramanian, IIM Bangalore. 10. Case Studies on Corporate Governance – by Balasubramanian, IIM Bangalore. 11.Practical Ethics – by Peter Singer 12.Ethics – by William K. Frankena 13.An Introduction to Ethics – by William Lillie. 14.BBC Ethics Guide 15.Corruption in India – by N. Vittal, IAS(Retd.), Former CVC. 16.Ending Corruption: How to clean up India – by N. Vittal, IAS(Retd.), Former CVC. 17.GovernMint in India – An Inside View – by TSR Subramanian, IAS(Retd.), Former Cabinet Secretary.
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18.I am Sorry: Indian Bureaucracy at Crossroads – by Dr. PK Agrawal, IAS and N. Vittal, IAS(Retd.) 19.Building a World-Class Civil Service for Twenty-First Century India – by S.K. Das, IAS. 20.Ethics and Accountability in Government and Business – Edited by Ramesh K. Arora and Tanjul Saxena. 21.From Government to Governance: A Brief Survey of the Indian Experience – by Kuldeep Mathur. 22.Corporate Governance in India – by Jayati Sarkar 23.Ethics in Business and Corporate Governance – by S K Mandal 24.Ethics Movements in Government – by Donald C. Menzel 25.Introduction to Psychology – by Morgan. 26. Psychology – by Robert Baron. 27.Enlightened Leadership: Getting to the Heart of Change – by Ed Oakley and Doug Krug 28. Up your Service – by Ron Kaufman. 29. The Professional: Defining the New Standard of Excellence at Work – by Subroto Bagchi. 30. Articles from Indian Journal of Public Administration on Ethical Governance and Corruption related issues. 31.World Ethics Forum Conference Report 32.Human Values and Ethics at Workplace – UN Habitat and the World Dharma Center.
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VALUES IN ADMINISTRATION* (DoPT) Introduction to Concepts of Indian Ethics: Values, Ethics and Holistic Competence: Values: Values are an inbuilt mechanism, which distinguishes the right from the wrong, the Do’s and Don’ts of any action, even when no one is looking. Values are concerned with character and conduct of a person and evaluate the voluntary and habitual actions of individuals with reference to their being right or wrong. Values are moral principles or standards, which define what is right and good in human conduct. Source of values is within, which guides one in making choice in acquisition of learning from the environment. Uniform(Universal) Values are inbuilt in each one of us. We cannot deny the impact of environment, society and family on an individual for the values he imbibes. Both the source within and the cultural environment are important for inculcation of values. Universal Human Values: Non-violence, gratitude, humbleness, forgiveness, integrity, honesty, patience, innocence, etc. Personal Values are those principles, which govern our perceptions and action. None of the Value Systems is perfect in absolute terms: Wearing of five symbols of Sikhism were made compulsory during the wartime in eighteenth century. Marrying upto four women in Muslims was allowed when male population had reduced drastically due to war. Such customs are not relevant in the modern times, but due to conditioning, they keep following the same practices. Untouchability, child marriage, caste system are the other examples.
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The nearer a value system is to the Universal Values, the better it is in terms of Virtues and Righteousness. The deviations in the value systems only lead to conflicts and wars and are against human development. Undesirable qualities or traits(ego, anger, greed, arrogance, vindictiveness) lead to destructive actions. When practiced over a period of time, they build into habits. Desirable values drive a person to use his capabilities for positive actions, i.e. actions useful to humanity (and not self alone), while the undesirable values drive them for negative actions, which may result in his own benefit or fulfillment of desire, but are in long run harmful to both the society and the doer. Values guide us in deciding what is to be done and also the means that should be used for such action. The Knower-Doer Split: Doing something against Universal Values / intrinsic humanness / general ethical standards Inner murmuring: Knower I vs Doer I Split / Division Conflict Guilt Very great irritant Disintegration of Self ‘Ideal’ Knower vs ‘Actual’ Doer Dr. Jekyle vs Mr. Hyde conflict Knower I condemns while Doer I gets some short-term comforts Accumulation of Guilt Discomfort in the long run Lack of “togetherness” within Harming Self Quality of life suffers You can’t enjoy anything You can’t get anything out of this life Unhappiness, insecurity, tensions, health problems – physical, mental, emotional and psychological. Be in consonance with the inner value system (Universal Values) The Conduct ought to be Ethics Outer Behaviour Integration Togetherness Composed Integrated Personality Enjoy life Long term Comfort. Ethics: Ethics are a code of conduct that we expect of others and so logically from ourselves also. Ethics is human conduct in the light of moral principles, which may be viewed as the individual’s standard of conduct or as a body of social obligations and duties. 147 V. Vivekanandan
“Do not do unto others as you would not be done by.” (Atmani Pratikulani Paresham na samachary) – Mahabharat. “Do unto others as you would, they would do unto you.” – Bible. Our behavior outside is a reflection of our Values within, which we radiate outwards through our Action and Deeds. If the Values guiding an Action are Positive(like Universal Unconditional Love, Compassion, Empathy), the Results are positive. If the Values guiding a particular action are Negative(like anger, ego, greed, envy, arrogance, jealousy, vindictiveness, vanity), the ultimate outcome will be negative only. “There is an absolute good to which human activities aspire.” – Idealist Plato. Moral codes or ethics have frequently been based on religious absolves. Religions form the base of all values. But, ethics and values travel beyond religions. With reference to Administration: Ethics is the system of moral principles / Code of Conduct, acting in the manner consistent with, which is upheld as Virtuous. Ethics are reflected in such right actions or deeds. Conduct Rules for Government servants: Don’t do anything, which is unbecoming of a Government Servant. ‘Ethics in practice’ derive and flow from Values in the being.
Relationship between Values and Ethics: Universal Values are absolutes beyond the dimensions of time and space. They stand alone, self-validated in their immutability. They flow out of the highest of our own self, our ultimate holistic potential, the acme of our existential realty.
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Ethics is when we reflect this inner excellence in our Attitudes, Decisions and Actions. The play of Values in the world is Ethics. Effectiveness of a person depends on two factors: 1. Skills i.e. Ability to do 2. Values within that guide such action. However talented a person may be, his contribution to the society directly depends on the values he has imbibed. If the values are negative like anger, ego, greed, jealousy, vindictiveness, etc., the higher skill will result in higher negative contribution. Osama Bin Laden, Harshad Mehta and the like are examples of such high skill and low values. High Value & High Skills The Best High Value & Low Skills Can Improve Low Value & Low Skills Do not Matter Low Value & High Skills The Worst Why Ethics matter? The immense POWER of modern TECHNOLOGY extends globally. Many hands guide the controls and many decisions move those hands. A good decision can benefit millions, while an unethical one can cripple our future. Do we understand that ethics has consequences, and that our actions can have enormous impact? Do we make ethical decisions based on their highest moral values? Or Do we simply do what’s expedient for whatever serves our selfinterest? Our country is one of the oldest civilizations with a rich cultural and ethical heritage. Our Constitution as well as our religious books are full of codes and
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directives on high values and ethics to be followed by the state as well as the society. Irony: There is perceptible change in the mind-set of the people towards achieving materialistic goals and prosperity irrespective of the “MEANS” to be adopted. The society respects material prosperity only, because of visible glamour attached with it, with little regard to higher values of simplicity, honesty, hardwork, character buildings, etc. This leads to DILEMMA. “A country gets the kind of Government it deserves.” Values are formed, through a continuous process of interaction of individual with his environment. As we are born we are subject to the values and concepts of our parents, teachers and colleagues. But the INSTITUTIONS like home, school, elders, society, etc have also failed to a large extent in their duties to regenerate and rejuvenate the system to bring-up citizens with value system of the highest order. Area of concern vs Area of influence: Area of our influence only is our respective Zone of Discretion. The message is very clear: We can start from our own self only. The one who is complaining all the time is foolish. We should not reject the world, but Accept it the way it is. We should not get upset by the various problems created by the systems and people around. But, assume Responsibility. Responsibility leads us to Possibilities. ‘Given the situation, what best can I do and how?’
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Rivers, Sun: Whole Nature of the Creator works without trouble, because of the total harmony. Let us also maintain this natural rhythm. “No one can pursue another to change. Each of us guards a gate of change, that can only be opened from inside. We cannot open the gate of another, either by argument or by emotional appeal.” – Marlyn Ferguson. Why should I as a person be interested in Values? for my own personal development and well-being. ∑ Individuals = organization. Values serve true, permanent, long-term self-interest. And at the same time, this journey of mine towards values will serve greater interests. Another thing that is clearly to be borne in mind is: By my efforts to inculcate values in myself, I am not undergoing any sacrifice or doing any charity. It is my own interest. As is clear now, the source of values is within a human being, the need is to look within, work on self, by myself to improve the quality of my life. Indian Insights: In our work situations, the organisational behavior theories of the west guide us. As is obvious, these theories and practices which deal with only oneninth of the Indian population while the eight-ninth of the Indian population is traditional (normative). The men in the fields of India are guided by the insights embedded in the structure of Indian thoughts. Thus the western thoughts have not been able to lead us much ahead. It is important to look into our own Indian thought and find solutions therein. The Indian philosophy has set the ultimate goals for humans and Indian psychology provides practical methods in graded steps to march towards these goals. Thus Indian psycho-philosophy deals with both of these aspects to bring in holistic development of the individual. Doubts may arise as to whether it is possible to progress and achieve the desired results by following the Indian thoughts and practices. Also whether it is possible to practically work on those principles in the today's scenario. Whether
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our indigenous thoughts are result oriented or not. For clarification we have to look into the Indian history and in the times when it was known as Golden Bird (sone ki chidia) for all its prosperity and richness. The credit goes to all the saintly kings, from king Janaka to Ashoka, Akbar, Harshabardhan and the like, who had put into practice human values ideology as given in Vedanta and the other ancient Indian thoughts. It is because of these values that we could sustain ourselves through all the adversities and cruelties of the earlier invaders and the British Rule. Our leaders like Tagore and Gandhi have lived the human values like purity and holiness, non-violence and moral courage. Gandhi forcefully and convincingly demonstrated the power of spirit over material things. His greatest leverage was his command over the Indian masses. He gained such a command because the simple folk could understand that he was inspired from within. They called him ‘Mahatma’. Merely by his hunger strike, the Mahatma could control behaviour of millions of people. He firmly derived his political activities from dharmic principles and refused to compromise with what was wrong. Coming to the present times, we see all over the world that even the most developed countries as are at the top of materialism have started realising that material prosperity is not development of Human beings in true sense. A realization has now come that unless we are developed as better human beings, other forms of development have no meaning. From USA to UK, Indonesia and Malaysia to the Philippines, serious attention is being devoted to religion in order to revive human values. Even USA has realised the absurdity of the assumption that education can be carried out without a moral framework. American corporate management has begun to have managers learn various mindcentering exercises to cope with stress and have a clear mind. They have clearly recognised that a manager with a calmer mind and free from tension can handle problems with considerably greater lucidity and competence. In Indian organisations, both private and public, a realisation has come that value based management and administration only can save us from the adverse consequences of the present situation. Unless all the individuals who work for an organisation imbibe these values, both in theory and practice, the system cannot change. In the field of politics, Gandhi had also applied an insight and approach that the spiritual and the mundane are not separate spheres. According to Prof. S.K. Chakrabarthy also, Value orientation is central for effectiveness as a Manager or an administrator.
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How can we inculcate the Human Values and how can they be put into practice in the organisational set up? Our Indian Insights have the answer to this in purification of mind. Values emerge spontaneously and effectively only from a purified mind. The basic Indian goal of self-transformation towards a more refined spiritual consciousness and purer mind with its many paths and practices are more pertinent to many of the issues and problems of Indian Administration than the current western models. To quote Shri C. Rajagopalchari again: "National character, again, depends on and in fact is individual rectitude. Movements for the encouragement of personal rectitude, for purifying individual character, are therefore not irrelevant in the context of politics but are vitally connected with our hopes in respect of national affairs�. Meditation provides us an opportunity to withdraw for a time being from the outer world and be with our inner source of values, the highest and the finest part of our own self. It also gives us a chance to introspect our own acts and deeds and rectify them by changing our thought process, withdrawing our mind from the vicious thinking and applying it in accordance with this higher source of values. This leads to purification of mind. Thus the effort to apply right thought for right actions in the organization can only slowly go to improve our administration. Such an effort then goes to have a multiplier effect. Holistic Competence: This journey towards imbibing values (and not only discussing them) is based on ancient Indian classical work in the area of philosophy and psychology. Unlike in other countries where these two are dealt as separate subjects, the Indian psycho-philosophy developed together. The deep philosophical outputs are dealt with psychological experiences, which help the seeker to internalise them. They enable the learner to learn how to put into practice these rich thoughts so as to enhance practical effectiveness. Such value based competence is much more efficient than the Professional competence. Professional competence is based only on development of skills and do not take care of means and thus the results are more visible and immediate,
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but are short lived as the approach is not holistic. As against these, when the skills combined with values are used in wholesome manner, they result in long-term gains, though for a short-term it may be painful or more demanding. Skills, which are not value-based may often be misused. Thus in a long-term, they are the failure. One has to chose between 'short-term gain and long-term pain’ or shortterm pain and long-term gain’. In value based skill development, we expand the definition of success, making it long-term, sustainable and wholesome. Such value-based skill development leads to ‘Existential or Holistic Competence'. Thus: Skills Development leads to Professional competence. Skills &Values Development leads to Holistic competence. Value based actions also help in conservation of energy; whereas the actions based on negative values dissipate our energy. The modem education and training both formal and informal, take care of professional competence only and there is no scope for development of existential competence. While about 50 years back, development of such existential competence was imparted in natural way in the family, society and educational institutions. With increase in materialism, we have started chasing the worldly things, thus withdrawing our attention from consideration if our actions are morally sound or not. Moral education has slowly been taken away. That is why today many of the successful persons are apparently successful, but are not real winners within themselves. Existential competence ensures both the success outside and survival within. Thus one should hold on to the values even if they do not give the conventional pay off. We can see in the history also that the civilizations and cultures like Indian and Chinese, which have upheld values are able to survive, while those like Greece and Rome, which were high in skills but poor in values have vanished. The success of Japan is based on values similar to Indians, using seishin kyooiku (Spiritual education) to counter the evils of industrialization and integrating the family values into management of organisations. Our goal is to enhance existential competence and effectiveness by (a) developing sensitivity to human values and (b) imbibing those values. All our efforts towards clean administration and good governance can bring about the long term improvements only if the individual functionaries are driven from within to take right actions. This goal can be achieved through all the effort on self (I) only.
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Values and Emotions: He is (feeling) jealous. I am (feeling) angry. My heart filled with (the feeling of) gratitude. We should have (the emotion of) universal brotherhood. In all the above sentences, we are talking about feelings, which are much more linked with heart than brain. Values have much to do with emotions. A computer, which is artificial intelligence, is devoid of all these feelings. Let us have a look at the following two domains of emotions: Domain A
Domain B
Compassion Gratitude Humanity Patience Selflessness Sincerity Honesty Integrity
Greed Anger Arrogance Envy Jealousy Vanity Lust Vindictiveness
We do have sense of the values in both of these domains. We feel comfortable in the ambience of emotions given in domain A and are uncomfortable in the atmosphere filled with emotions given in domain B. There is affluence in the quality of emotions in domain A. They have a sense of fulfillment and have positive vibrations. We call them positive values or Human-values. The domain B emotions have some sort of poverty in quality and have negative vibrations. They give a sense of deficiency and we feel uncomfortable and tend to drive away from people in that emotional state. We may call them dis-values or negative emotions. Thus for values-orientation (change/transformation), we have to work on emotions. Naturally the effort required is much more. On the one hand we have to develop/imbibe positive values and at the same time we should be aware of our negative emotions also, so that we can work them out. It is very difficult to see into one's own negative emotions. Because, one has some justification for
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everything that one does. Say if 'A' is angry, the rationale for being angry may be some one else has done something wrong; or everybody is angry, so what if I feel angry. Another factor is when negative emotions overpower us, we are not able to think properly and do proper reasoning. As is well said: "Greed (negative emotion) robs learned man of his wisdom.” The Geeta also warns: “Desire, anger and greed are the gateways to the hell.” The word ‘emotion’ tends to be commonly used in a pejorative, negative sense. ‘That person is emotional’ is a way of stigmatising him or her. On the other hand, there is much emphasis on intellect or reason. We should however also ponder over the fact that impact of both emotions and intellect can be positive or negative. When an emotion has a virtuous basis, e.g. compassion, it can inspire the intellect to act usefully, but when an emotion is vicious, e.g. envy, it can drive the intellect to act destructively. Emotion is indeed the motive power behind intellect. This is what must have prompted: 1.Einstein to declare: ‘And certainly we should take care not to make intellect our God… The intellect has a sharp eye for methods and tools, but is blind to ends and values’. 2.Russell to warn: ‘Science is no substitute for virtue…. If men were rational in their conduct… intelligence would be enough to make the world a paradise………. But men are actuated by passions which distort their view…That is why the heart is as important as the head… Where they (kindly impulses of the heart) are absent, science only makes man more cleverly diabolic.’ 3. Vivekananda to affirm: ‘But the professor is bout by his intellect, and he can be a devil and an intellectual at the same time; but the man of heart can never be a devil; no man with emotion was a devil.’ 4. Toynbee to detect: ‘The effect emotion exerts on human actions is as strong as-perhaps stronger than- that of reason. Consequently, emotion can get the upper hand and suppress theoretical knowledge, which is dependent on reason’. The unanimity amongst some of the best contemporary eastern and western minds about the heart or emotion not itself being the arch villain, and about the intellect or reason not by itself being the supreme hero is remarkable. Unless our emotions, our hearts are adequately cultured, intellect tends to play
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havoc. As already explained, intellect applied with negative emotions like jealousy, ego, selfishness brings disasters. While the application of intellect cannot be ignored at all, the same need to be applied with balanced emotions. Thus for inculcation of values, a proper training for bringing emotional balance in a personality is required. Infect a proper integration of emotions and intellect can only result in right and holistic actions. Our Indian psychology lays emphasis on chittashuddhi, i.e. purification of heart or hridaya-vritti as the more important and prior requirement in human development. The edifice of intellect or buddhi-vritti can be safely mounted only on such a base of pure heart only. We are lately talking of emotional and spiritual intelligence because we are now able to realise their importance in the human development in real terms. Power of Brain: Man is endowed with organized, reflective consciousness and intelligence unlike the instinctive intelligence of a tiger or the underdeveloped mental system of a tree. Our brain keeps functioning even when we are sleeping. Even the thought process rarely stops. Neuropsychology in West today has rediscovered the truth that the human brain has two distinct but complementary powers. These are: I: Rational, Sequential, logical, Segmented, Inductive, Analytical. II: Emotional, Spatial, Synthetic, Impulsive, Intuitive, Holistic. The first set, according to them is confined to the left hemisphere of the brain, and the second to the right. Now, the modern knowledge-oriented educational system puts exclusive emphasis on the development of the left hemispheric powers of the brain. There is much more emphasis on development of analytical, logical and rational powers of the brain, while the development of emotional, intuitive and holistic powers of right hemisphere of brain is almost totally neglected. Many really creative persons or genuine entrepreneurs are usually found to be comparatively less formally educated, or have somehow been able to retain their natural intuitive capacity even in the face of awesome analytical atmosphere. In the sphere of art and literature, the most towering figure in modem times like Rabindranath Tagore, Aristotle, Shakespeare and John Keats
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had negligible formal education. Pure intuition was their prime asset. The original ideas and hypothesis of the greatest scientists too are intuitive flashes of pure consciousness in the first place. As the values have much to do with emotions, the left hemisphere does not help in the transformation of values. While logic, intellect and reasoning can help us to see what is wrong and what is right, it does not give us capability to shun what is wrong and pursue/ follow that is right. As is well said by Albert Einstein: "The intellect has a sharp eye for methods and tools but it is blind to ends and values.” Further, even if the intellect tells us about what is right and what is wrong, it does not ensure one's propulsion towards the right and withdrawal from wrong. As in Mahabharata, Durayodhana tells Krishna: “I know Dharma, but I am not inspired to pursue it. I know Adharma, but I am not able to withdraw from it.” All the factors in Domain-1 above are very important for skill development. (when we say skills, knowledge is part of it). The modern educational system has all its focus on developing the faculties of the left side of the brain - intellectual, rational, logical thinking; while those of right side are almost ignored. This educational system can therefore, not help us in inculcating or transformation of values, which are emotions in nature. Unless the culture of noble values becomes part of educational system, values will remain a lip service only. Our brain and mind are two principle instruments, which are employed for doing work. If the mind is not pure and the brain is half developed, the results naturally are going to be poor. Thus the felt need is to develop the faculties of right hemisphere i.e. emotional, intuitive. When we say feelings, we automatically link them with heart. Thus purification of heart is required for inculcating Human Values. As Christ Says: “Blessed are those who are pure in heart”. Transformation of emotions from negative to positive emotions based on values comes through purification of Heart (chitta-shuddhi). A consistent effort through introspection for transformation of emotions from present state to noble emotion is required. Mind-stilling exercise or meditation (Dhyana) helps in self-
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introspection and transformation. This leads to purification of mind (chitta shuddhi). Sri Aurobindo: “An unpurified heart, an unpurified senses, an unpurified life confuse the understanding, disturb its data, distort its conclusions, darken its seeing, misapply its knowledge”.
Thus Chitta-shuddi is important for effectiveness. We thus have to see within, introspect our own self and discipline ourselves. In the materialistic world, our attention has gone completely outwards, no attention is paid to the self within. The need is to interiorise our attention to our own fine self, the consciousness. As is well said: "Problem is not in the world, it is in our consciousness”. “There is only one sin - Lapse of consciousness”. How can we distinguish between mind and brain? We may commonly say our mind is depressed or restless, but we do not say this for the brain. Moreover, the brain is a part of our physiology, while mind is a psychological concept. The nervous system in the brain may be receiving many signals from outside, but unless the mind is linked to them through the sense organs, they fail to make an impact. Finally, the surgeon can operate on the brain but not the mind. Introspection: Let us take an example of an emotion. Say ‘anger’. Is it harmful to be angry? Yes, because when anger overpowers us, our consciousness lapses. We are not able to think and decide properly. As against becoming angry, there are wise and balanced people, who can use 'anger' as a tool. They show anger for minding the people or children, but they actually love them and want their benevolence, such balanced people know how far to show anger and in what manner. When anger is used as a tool, it does not overcome the consciousness. This balance can be achieved through inward and outward movement of the consciousness. Just as a child who is whirling a stone tied to his finger with a thread can keep it whirling because the outward force on the stone (centrifugal force) is balanced by the
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inward force (centripetal force) given by his finger. Movement of a satellite around the earth is also maintained in the balance of inward and outward force. The moment inward force of the finger (in case of child) or the gravitational force (in case of satellite) becomes less than outward force, the circular movement will get distorted and lost. In the same fashion, inward movement of consciousness or Introspection is very important for maintaining balance in life. When this inner connection is lost, we get swayed in the outward world. Thus what is required is to sit with one's own-self. And be one with our consciousness, the values within. The values do not erode. Only our capacity to live up to those values erodes. “A great 'Introvert' will know at the same time how to be a great 'Extrovert' (here the example of Vivekananda seems to me to be conclusive). Interiorization has never led in principle to diminution of action. Arguments drawn from the supposed social passivity of mystic India are entirely erroneous. The physical and moral devitalization of India during several centuries is due to quite different factors of climate and social economy. But we shall see with our own eyes that her Interiorization, where the fires of her threatened life have taken refuge, is the principle of her national resurrection.� --ROMAIN ROLLAND Thus Indian psycho-philosophy is a complete science of interiorisation practiced by highly disciplined and altruistic minds down the ages of human history. When such minds project themselves into the network of human relationship, they can do nothing but good and only good. There are many ways to interiorise our consciousness. We need to withdraw our attention from the outer world and move it inside so that we can develop insight to realize our own drawbacks. Only then the effort can be made to overcome them. The introspection process involves the following three sequential steps, which lead to inculcation of values and thus developing Holistic Competence: 1. Anter Mukhita (Moving attention inside) 2. Anterdrishti (Developing insight.) 3. Anter Chit Suddhi (Purifying attention.) In today’s world, there is lot of mental disturbance and agitation. For developing concentration of mind, it is necessary to gradually calm and still the mind. But the mind, which is constantly torn amid a riot of passion, emotions, ideas and desires, cannot become calm. This mind has to be made progressively clean and pure by consciously watching the thoughts, which are arising and up-lifting.
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1. Guna Dynamics: Three manifestations of Guna: Sattwa(S): Goodness, Purity, fineness, goodness, compassion, gratitude, happiness, virtue, knowledge, feeling full of bliss, deep calm, harmony, balance, etc. Force of Equilibrium. Sattwic state is a balanced position between the two extremes the Rajasic state and the Tamasic state. Rajas(R): Activity, passion, restlessness and their derivatives like lust, greed and pride, attachment, wealth, fame, misery Active or Dynamic people, builders of civilization, committed to the common cause, modern materialism, dominate others, masters Right (Solar channel) Force of Kinetics. Western nations are rajasic in nature – brought them to the edge of disasters. When the Rajasic Guna dominates us, we forget that all human endeavours have to be for the benevolence of the humanity on the whole, and not for the individual self-interest disregarding implication on others. Such Rajasic achievements bring pain only to the achiever in the long run. Tamas(T): Inertia, Sleepy, Laziness, Procrastination, ignorance, loss of power of discrimination, grief, delusion, cruel, obstruction, darkness, obscurity, incapacity, inaction Left (Lunar channel) Force of in-conscience. Every guna is important and we cannot do without any one of them. For example, without proper sleep, we cannot perform activity. Dynamism of Gandhi Vs. Dynamism of Hitler: Mahatma Gandhi’s dynamism is driven from Sattwic forces of purity, simplicity, non-violence, compassion, whereas Rajasic Guna like anger, arrogance, dominance and selfishness drove the dynamism of Hitler. The decisions taken in the earlier case were wise decisions, which were painful for a short term but brought long-term gains for the whole nation. In the later case, the decisions were egocentric and selfish, but destructive for the 161 V. Vivekanandan
humanity. Even the self-interest achieved were which resulted in short-term gains and resulted in long-term pains. Thus, Sattwa result in wise decisions and Rajas in clever decisions. Thus, Dynamism under Sattwa is holistic. Sattwic Guna are qualities, which we term as Human Values. Sattwic psycho-forces enlarge the perspective of gain as a whole – not my personal gain, but gain for all. Interplay of Gunas: The key problem is that because of predominance of Rajas and Tamas and because Sattwa is nearly dormant, the effect of the interplay of the gunas is seen in the form of anger, abuse in Parliament, armories at places of worship, corruption in bureaucracy, mutual envy and distrust, the incidence of mutual diseases and suicides in society. Strengthening of Sattwa hastens our approach towards a purer mind, taking it closer to the purusha or poorna or atman aspect or our being. Our idiosyncrasies and biases then begin to be reduced, for Sattwa is the substance of purity and light itself and thus we can move closer to understanding things as they are. This is the crux of our quest for personal organizational effectiveness, and the improvement of the quality of work-life. We are faced with the bad effects of Rajas or Tamas only when we go to extremes in any of them. However, if we are able to come out of these extremes, we are in a balanced (middle) state on the pendulum of the three Gunas, i.e. Sattwa. Meditation or mind stilling exercise gives us an opportunity to withdraw from outer world for a time being and attain the balanced state of sattwa within. Our intuitive power also helps us in this balanced state of Sattwa only.
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The Gunas and organizational effectiveness: Some of the essential characteristics for achieving effectiveness in any organization are: Integrity Intelligence Innovativeness Ability to inspire and motivate people and get along well with others. Ability to take a decision. Possessing skills of planning and organizing Being personally effective and efficient Having emotional stability and self control Rajas or Tamas dominated individuals can hardly manifest all or any of these qualities harmoniously or over long spells especially when we know that the essence of Rajas is passion and that of Tamas is moha. The above listed leadership qualities are all rooted in and sustained in awakened Sattwa. In the modern times, we, as parents (under the influence of Rajasic guna), keep stressing on our children the only objective of better academic performance by drawing comparisons with their classmates. We tempt them with different kinds of incentives if they score better marks or grades than their friends. The notion of ‘survival of the fittest’ (as in the animal world), and individualistic competition is thus drilled into them. They are even advised not to share their notes or reference books with their colleagues. Thus, strong Rajasic samskaraas of isolated, individualistic success are slowly built up in them over the years. It is therefore not surprising that in organizations there is little mutual trust, fragile teamwork constricted cooperation and so on. Various short-term courses on team-building, organizational development, conflict resolution and the like fail to make any noticeable impact, because of the negative competitive spirit is already inbuilt. If the foundation of an individual’s identity lies in the theory of differentiation, then the differentiating conditionings (samskaraas) will be so pronounced and active that our attempts to build team spirit, trust, etc., are almost always likely to prove fruitless. Similarly, when a boss to a number of his subordinates delegates comparable authority limits, how is it that some use them with care to good results, while others misuse the same? Thus, the way different 163 V. Vivekanandan
persons internalize similar signals or messages in contrary and divergent ways depends on the values they have imbibed. It is Vritti or temperament by which a person is drawn to a particular action in a particular manner. This Vritti or temperament develops through our state in the three Gunas. So, mere intellectual learning is almost entirely incapable of coping with problems of attitudinal change. Thus, for developing effective leadership and wholesome teamwork, both so vital for high quality work-culture, we should be guided by the interplay of the Gunas. It is the activated Sattwa in managers and employees, which enhances the probability of wholesome reconciliation between discipline and obedience on the one hand, and self respect on the other. Similarly, integrity, personal effectiveness, emotional stability and so on are much more the result of Sattwa, rather than R or T. Thus, for developing Sattwa Guna, we have to develop purity of mind. Working on Self: The all-important question which thus arises in our mind is: can we increase the proportion of Sattwa, after being convinced that this is a necessary step for enhancing ones effectiveness in the broadest sense? Yes. The ways are: 1. Looking at good in others: Every person is a combination of all the three gunas in different proportions. We imbibe in ourselves whatever we pay our attention to. Thus, if we start observing their positive qualities (sattwic), we are likely to gain from them. On the other hand, if we keep condemning others, our attention is on negative qualities, which we are likely to imbibe. So, we should sincerely try to find what is good in others. It is normal human tendency to find faults with others and to appreciate the good qualities of ones own-self or of those persons to whom we are emotionally attached. But, how far are we able to see the truth is questionable on two grounds. One, we have all justification for whatever we do. Out of ego, we have a tendency 164 V. Vivekanandan
to view it positively. Second, such an attitude does not help us improve upon our own-self, as unless we are able to see what is Rajsic or Tamsic in me, we cannot get rid of it. However, if we see the sattwic qualities of others (however small they may appear to be), we tend to inculcate them. On the other hand, if we always try to find fault with others and look at their negative qualities, we are bound to imbibe those only. This tendency of looking at the negative aspects leads us to develop negative feeling for others. We cannot be positive to others unless we develop an attitude of seeing positive in others. For example, a glass tumbler, which is half filled with water, may be seen by some people as half empty. Thus, in our own interest, it is important not to look at negative points and to see positive in others. We all need the conscious cultivation of counter-thoughts to weed out perverse thoughts. If someone’s anger against a trusted colleagues becomes a consuming fire within him, and he begins to realize that it is consuming fire within him, and he begins to realize that it is harming him much more than his colleague, how does he confront it? Another way is to forgive the colleague. Christ forgave all those who put him on the cross. Why can’t we forgive others? By not forgiving, we are just harming ourselves only. Because, we are normally not in a position to teach lesson to others or set them right. We know we can control our own selves only and not others. So, it is otherwise also of no use, if we do not forgive. In the same way, jealousy has to be neutralized by congratulation, egotism by humility and greed by charity all in the mind. New thought must precede new behavior.
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Often we tend to blame the environment for lapse in our behavior. But, environment is only the effect, the cause is our Rajasic and Tamasic substance constantly emitted by our personalities, which pollute the environment. So, how can we helplessly resign to the environment, which is our own creation? So, why not take upon ourselves the task of contributing our humble might in improving the environment, within our small Zone of Discretion. Such action can come through Sattwa Guna only. And as we all know whatever substance we emit in our environment, it has a multiplier effect (through an action and reaction chain). So, why not make our contribution to that environment a cordial one. 2. Introspection: We need to see within ourselves to identify what shortfalls do we have, so that we can set ourselves on a task to improve. Introspection should not be confused with self-analysis. In self-analysis, we look at our actions to see how we feel about ourselves. Instead the emphasis should be on looking at what kind of effect do we or our actions have on other people.
Often we indulge in the feeling of guilt when our faults come to notice. We try to escape our faults. But the falsehood of guilt does not help us in any way. Need is to face our faults boldly and to remove them one by one through our own consistent efforts. The above exercise will help us to get rid of our negative emotions through our affirmation in mind stilling exercise. Breathing normally, while inhaling a strong conscious affirmation should be made within, that along with the intake, the sattwic, 'substances' or serenity, poise, patience, illumination etc., are entering and saturating the whole body mind complex. While breathing out, on the other hand, an equally strong affirmation should be made that all greed, anger, restlessness, pride, crookedness, is being thrown out of the system.
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Once we are able to introspect and identify our faults, it becomes easier to rectify them as we start watching them in our day-to-day activities and behaviour. There is no need to confess them before others but before one’s own self only, and to make an effort to rectify them. Of course we can ask for forgiveness from God Almighty, and pray for our own dignity and strength to witness our faults and overcome them. We need to be genuine to our own selves and should not deceive ourselves. We can pray for strength so that we can face and improve our mistakes. 3. Food habits: The foods, which are sweet, soft, nourishing Sattwic The foods that are bitter, sour, saltish, very hot, pungent, harsh and burning Rajsic. That which is spoiled, tasteless, putrid, stale and unclean Tamasic. 4. Visual Food: The concept of food needs to be widened to include what we hear, see, read and so on. Thus, if our children go on watching, high-pressure consumption advertisements, or gory violence, or indecent dance scenes, it will be no wonder if a huge stockpile of unwholesome samskaras or conditionings will permeate their highly impressionable minds. Similarly, if we adults try to relax by reading thrillers and saucy magazines, we cannot hope to combat unwanted tendencies. In the traditional homes, the pictures of Gods and Goddesses, prophets and great personalities provide a better psychological atmosphere. Large coloured prints of the Buddha or Christ or Vivekananda or Nanak or Shankaracharya hanging on the walls of the bedroom would be more wholesome for parents as well as children. All the tempting and distracting, grossly romanticized advertisements of films and consumer goods could very well be replaced by them. National character comes first, business profits
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later. Similarly, before going to bed, instead of reading a book on crime, politics or sex, one might get into the habit of reading the biography or autobiography of a noble soul. It is true that the thoughts, which enter our mind before we sleep work in our subconscious throughout the night. Similar would be the effect of listening to soothing music and songs, which has a healing vibratory effect and charges the listener with positive vibrations. These are highly practical ways of gradually absorbing better quality samskaras. Mind is a myth: According to Indian philosophy, our mind takes us away from the real world into the Myth. Infact, mind itself is a myth, and gives a particular perception to our vision of the outer world. Thus our vision gets distorted. In a balanced state, our perception is not tinged through our pre-conditionings (Tamas) or our Ego (Rajas). Thoughts are there so long we mind the things. When there is no thought, we may call it a state of pure mind. Such a state is a Sattwic state. Does it mean that we are put to inaction in this state? No. Action in this state is not a reaction of mind but an automatic response in the given situation and thus a pure action. It is an unconscious action like all the activities of the nature. Naturally the dissipation of energy will be very low. We can compare such actions to the working of our involuntary nervous system, the working of all our internal systems, the blood circulatory system, the respiratory system, ect. We do not think that we have to respire. The process continues automatically. If the lungs are not getting sufficient oxygen, or need more oxygen (during jogging or running), the respiration automatically becomes faster and deeper. Such spontaneous becomes the action, which are taken in the state of pure mind. We may call them actions in a Sattwic state, in a state of thoughtless awareness. We can thus perform in complete calmness without agitation, noise or rigorous thinking in mind. In today’s world where Ethical Governance is a global concern, different countries are making efforts in achieving clean government. An outright approach is towards developing service orientation in the public service. The government servants are expected to serve with the “at your service” attitude. Such a temperament can be an outcome of a Pure Mind only, which is neither influenced by the preconditions or the preconceived ideas, nor by the ego or the selfish interests: neither y the Tamasic guna nor by the Rajasic guna. The balanced state
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of Sattwa can only provide the public services without deviation of funds or interest in one’s own interest. Character: A sense of Right and Wrong: Our character is comprised of our moral and ethical decisions and behavior, based on our beliefs and values. Our values are determined by our character. Our feelings are determined by our thoughts; our thoughts are determined by our beliefs. When, where and how is character developed? In early childhood. Take a searching and fearless moral inventory of ourselves. You have to really want to make changes in your life to do this. How do you relearn right from wrong, good from bad? Your internal guide, also known as your conscience. Our unconscious needs are: To be capable and successful at something. To feel cared for and belong to a group. To have power and control To give of ourselves and help others To be stimulated and have fun. For example: Need: To be capable and successful. Old behavior: Take credit for the work of others to get a raise or promotion. Old underlying belief: I have to outshine everyone else to be successful at work. New behavior: Give credit to co-worker for job well done. New underlying belief: I am a talented and valuable worker who is a part of a team. When others succeed I am happy for them. Their success or failure does not affect my ability or success.
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Can you change your value system as an adult? Change your behavior first. This is known as “acting as if” in therapeutic terms. Like this: Value: Integrity Traits: Honesty and fairness Beliefs: I treat everyone the way I want to be treated. Behaviour: Treats others with respect, dignity and fairness.
Servitude of desire is an extremely painful slavery. In the tamasic there is the dominance of desires, in the rajasic the dominance of power. Harmonize all your intentions with the world-will. It is that will which is the single intention of the world: the will for welfare. That is not only my wish, not only your wish that is the fundamental and eternal will of the universe. Then renunciation does not harm, in forgiveness there is no loss of prowess, in service there is no slavery. Then danger does not terrify, chastisement cannot punish, and death abandons horror. Spontaneous work: It is regarding that single will which is at the foundation of the universe that the Upanishads have said: svabhaviki jnanabalakriya ca – “the working of that One’s knowledge and power is spontaneous.” It is natural, it is independent; there is no external imposition on it. When our will is in harmony with that fundamental WILL to goodness, then all its actions, too, are natural. That is, all its work is not driven by some appetite. Egotism does not impel it, the emulating of human society does not create it, it is not just the approval of people that keeps it alive somehow, the enthusiasm of communal bodies does not strengthen it, censure does riot hurt it, oppression does not impede it, poverty of means does not stop it.
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History contains many proofs that they, whose will has merged with the will-to-goodness gain that spontaneous force of action, which is the immortal power of the universe. When Lord Buddha, abandoning the comfort and wealth of Kapilavastu, had set out to preach welfare for the world, then where was his royal treasury, his army and soldiers! Then in external accoutrements lie was the equal of his ancestral kingdom’s meanest and weakest subject. But, since he had united his will with the will for the world’s welfare, therefore his will had won the natural action of that Supreme Power. That is why how many centuries have passed since his death but the natural action of his good will is continuing even now. Even today, visiting Buddhagaya’s solitary temple, we see fishermen from far off Japan’s sea-shore, tormented by the heat of worldly life, seated before the Bodhi tree in the darkness of midnight, surrendering to that universal welfare-working will, chant with folded hands: buddham sharanam gacchami, I seek refuge in the Buddha. Even today his life is kindling life in man, his words are bestowing fearlessness on man. That action of his will thousands of years ago has not been exhausted even today. Jesus had taken birth in the corner of some unknown village in a stable – not in any scholar’s home, not in any king’s palace, not in any highly prosperous capital, not in any highly venerated pilgrimage spot. Only some Jewish youth, who earned their living by catching fish, had become his disciples. That day when the representative of the Roman Empire had casually passed orders for him to be crucified, at that time there was no hint anywhere that this day would remain forever blessed. His enemies thought that everything was over; this tiny spark had been stamped out once and for all. But, who could put it out? For, Lord Jesus had united his will with his Father’s will – there is no death for that will, there is no erosion of its natural action. That which had manifested itself in an extremely weak and humble way, has been conquering the world for two thousand years now. Repeated proof has been found in history that it is in the midst of obscure, unknown want and poverty that the supremely auspicious power has manifested its spontaneous action of knowledge and power. Considering yourself powerless holding a begging bowl outwards, do not waste time fruitlessly in complaining. The little that is your resource will shame a king’s riches.
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2. The Art and Science of work – Nishkam Karma: Our goal is developing Purity of Mind in order to achieve Holistic Competence. If we get involved in Tamasic and Rajasic Guna out of ego, they can lead to disaster both personal and organizational. A moderate life with a balance between these two gunas can only lead us to values – the Sattwa Guna, which is so essential and helpful in improving our own life and the work culture in our organizations. Now the Art and Science of Work – how the work done in the state of Detached involvement and without expecting result, one as to one, is helpful in making our achievements wholesome and at the same time keeping us calm, thus conserving our energy also. Working of nature: We have many things to learn from nature. Nature is a part of grand cosmos. It is a master worker. The sun, the river, the earth, the flowers, the trees, the breeze, the moon and stars, the clouds and rain, these entire objects keep on performing their own action. All of them keep offering to all the receivers, whatever they have to give. They are not bothered for who is the receiver and never expect anything in return. They are observing their own Dharma: the ‘Law of being’, or ‘Swadharma’. They do not calculate or workout the outcomes. These natural things, however big or small they may be; however important or insignificant they may appear to be, are bound by the natural Laws. But, we human beings have choice. We exercise our discretion to decide – what to do? How much to do? When to do? For whom they should perform, etc., etc. Because we are different from the natural things, are at a higher footing as we have much developed brain, the intellect. With the excessive exercise of our power of intellect we have failed to maintain consonance with the cosmic consciousness, the Natural Harmony. The whole infrastructure of nature is so beautifully made that each object of nature is fully taken care of by the ecosystems. In these systems, each individual object is fulfilling its own Dharma (the law of its being), which is for the benevolence of all: and is in turn automatically getting everything that is required for its sustenance from the system. We have become calculative because of self-interest. We have deviated from Swadharma, the law of (human) being to Swarthadharma (self interest). Consequently, all the public affairs in ‘Administration’, which is required to bring about social welfare, are resulting in ‘Swarthadharma’. Not only this, we have gone to the extreme of self-interest and are exploiting the blessings of nature to the extent of ruining it. Such pursuance of self-interest also sets aside the
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benevolence of all i.e. Lok-hit. This self-interest only is the main cause of corruption, red-tapism, misuse of power. However, if we maintain the natural harmony in all our deeds and start working for the benevolence of all (Lok-hit), all the bigger and higher-interests will automatically be taken care of. And if there is benevolence prevailing all over, how can the self-interests remain unfulfilled? Nishkam Karma: If we get oriented to watch self-interest only, the organization is bound to ruin. And if the organization is ruined, how can its employees flourish? It is just like we cannot enjoy good food eating with right hand when the left hand is injured and bleeding. As opposed to this, if we can learn to perform desire-less action, the organization will benefit more. And the benefits of an organization in turn benefit the individuals. This desire-less action is what is termed as Nishkam Karma – the Principle of Detached involvement, i.e., involved in work and detached from personal rewards or gains. In Mahabharata, Arjuna was given this lesson in the battlefield at the time of his psychological crisis. How to fight his own loved ones? Sri Krishna advised him to do the rightful action in Lok-hit. Thus, Nishkam Karma is the act done as a duty without expecting the fruit for self. As against this, Sakam karma is involvement in work with an expectation of a quick return. This the Art and Science of work given in Geeta: “Thou hest a right to action but only action, never to its fruits; let not the fruits of thy works be thy motive; neither let there be in thee any attachment to inactivity.� Explanation: 1. In Sakam Karma, we are constantly conscious of the desired results and the benefits to the self. Our concentration thus moves to the end result which is not present but the future. This takes our attention and energies away, from the present, i.e. the work, thus resulting in dissipation of energy. As the involvement is more with the result than the work, the best performance may not be ensured thereby giving a chance to failure in achievement. As the future expectation on the result was too high the failure to achieve leads to much more agony and dissatisfaction. 2. As against this, in the case of Nishkam Karma, the emphasis is on the Karma and not the desired result. This reduction of concern for result psychologically leads to conservation of energy. How? Once the decision to act has been taken after due deliberation about the ends and the means, from that moment our entire
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3.
4.
5.
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energies are focused on execution. If the result is not according to the expectation, it will not make us feel completely beaten and hopeless. Neither will its fulfillment puff us up with euphoria and pride. The strength of Nishkam Karma is Satwic Guna which gives mental equilibrium i.e. Samatwa – the state in which one accepts the positive results gracefully and does not get derailed in case of failure. One can take success and failure both as the two sides of the same coin, thus can handle both. The Sakam Karma is driven by Rajasic forces of ego, greed and anger, which lead to inequilibrium and can prompt the doer to twist the meanness to ensure the desired result. As Mahatma Gandhi said: “He who is ever brooding over result often loses nerve in the performance of his duty. He becomes impatient and then gives vent to anger and begins to do unworthy things; he jumps from action to action, never remaining faithful to any. He who broods over results is like a man given to objects of sense; he is ever distracted, he says good-bye to all scruples, everything is right in his estimation and he therefore resorts to means fair and foul to attain his end.” In Nishkam Karma, work is worship of divine, whereas in Sakam karma, work is worship of ego. Thus, the former agrees with the cosmic order. In Sakam Karma the goals are ego-centric whereas in Nishkam Karma, they go beyond to socio-centric and cosmocentric causes. Here the work is performed in a natural way like the flower that gives fragrance, the sun that gives sunlight without asking for the rewards. Management of ego helps in becoming wholesome worker. In Sakam Karma, success is the aim whereas in Nishkam Karma, perfection is the aim. The former is normally short-lived and temporary. When perfection is the aim the failures are accepted as stepping-stones and journey to perfection continues. Such performance only can lead to Sustenance of the World‘Loksangraha’. The modern concepts of success treat man as a rational animal. Work is performed in competitive spirit quoting the law of jungle – survival of the fittest. One tries to excel through competitive
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rivalries. As against this, in Nishkam Karma, excellence is achieved through the principle of ‘work is worship’. And when one is striving for perfection, who is the competitor? None else, but you yourself. As Dr. Radhakrishnan says: “Work is man’s homage to the Supreme.” 7. One following Nishkam Karma is internally autonomous and selfmotivated. The Sakam Karma worker is externally dependent and can attain job-enrichment only. As against this, Nishkam Karma brings mind enrichment, which brings beauty to all jobs. Sri Aurobindo says: “Such desire-less action can have no decisiveness, no effectiveness, no efficient motive, no large vigorous creative power? Not so. Action done in this spirit is not only the highest but the wisest, the most potent and efficient, even for the affairs of the world.” Detached Involvement: The philosophy of Lord Krishna: “Be detached; Let things work; let braincentres work. Work incessantly but let not a ripple conquer the mind. Do not bind yourself. Bondage is terrible. In this philosophy of detachment, we are not to run away from our battlefield.” Thus, we are not supposed to cling to our situations. At the same time, there is no escape also. We are required to be involved to the extent necessary for smooth performance of our duties. But should also know how far this involvement should be. Bernard Shaw has also said that the reasonable man looks at the world as it is and adjusts himself to the limitations. Here, the adjustment to limitations does not mean to confine oneself within the limits but to be capable of working out alternatives to overcome the given constraints. This needs creativity which can work in an open-mind, not the one which is over-involved (stuck) in the situation. We can work in constraints by accepting them, not by rejecting them. Michelangelo was once asked how he made beautiful statue from pieces of marble, which had no shape. He said that the statue was in his mind and he went on removing from the marble whatever was not part of the statue and soon the statue emerged. Thus, he did not get involved in the shapeless stone. The shapeless stone did not disturb the statue in his mind. This detachment from the stone and involvement in the Job (the statue) alone was his strength. Thus, the beauty of
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the inner world can manifest in the outer world through detached involvement only. Without detachment, we get derailed and lost in the chaotic world. This inner beauty should be given a chance to manifest within the Zone of our Discretion. Let the other things around not disturb us. Practicing Nishkam Karma: Indian thinkers have always stressed that efforts cannot and should not be contingent upon whether others reciprocate the same attitude or not. If the cause, the intention – the motivation, is right and pure, the effect – the result must also be wholesome. In the cosmic scheme, this law is just immutable. Men like Vivekananda, Tagore, Tilak, Gandhi, and Ramana have also proved this fundamental truth in contemporary times. And they were workers and achievers par excellent. Even if the things do not move the way we desire them to, and for which we have made the required effort, we should not get frustrated. Here we have to understand that this whole universe is infinite and there are infinite cause and effect factors going around. We with our limited power of sense organs cannot know all of them. Also with our limited intellect, we cannot comprehend all of them. So if we have taken a particular action with reference to the limited factors known to us, we cannot be sure of the desired result. Because we do not know what is going to be the impact of all the factors not known to us. Further, even if we are able to achieve the desired result we cannot be sure that the desired outcome only is for my benevolence in the long run. The fact that the working of the all pervading Cosmic or Divine power is for the benevolence of all may not be so directly visible to us in our day to day life. But, definitely this endless act of well-being is going on and on. Work is Worship: Its common usage in the West limits itself to emphasis disciplined dedication to the task at hand. In the Indian thought, we can understand the deep spiritual meaning of the phrase by practicing it in these sequential stages: a. Work and worship b. Work as worship, and c. Work is worship. In the first stage, the work and worship are seen as two different distinct things. In the next stage, offer our work also as a prayer to the Supreme Power, the Universal Energy. The final stage is when all distinction vanishes between sitting down for prayers and formally worshipping on the one hand, and standing up to a machine, or sitting at a desk scanning through
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papers and files, or lecturing on a topic. Man’s entire living and conduct then become an unending worship. In this state, no work remains higher or lower for us. Nature of work is not important, but the manner in which it is performed is important. The importance of work is the dedication with which it is done. A man like Gandhi, Tagore, Vivekananda, Ramana and Vinoba are some such examples of Work is worship. This is the climax, the crowning achievement of the ancient Indian method of work, which needs to be our work ethics. We can attain this method and art of work through Purification of Mind, which helps us keep aside ego-driven self-interests. This method and art of work can help us reach the culmination of Work is worship – the true basis of work ethics. This attitude towards work, if adopted, can nurture and give strength to the worker through all ups and downs, success and failures, and gradually stimulate him towards perfection and progress, even when the work being performed is apparently the meanest. This theory thus gives dignity to all jobs – the big and small. Wise men reach ego-less state. He was not bothered what others might be feeling about him. Whatever job came his way he did it with full enrichment and thereafter just forget. Great men do not remember the good done by them. They just enjoy it. This state can be reached only when one performs his job as an offering to the divine. Thus, whatever work we do, we should offer it to the supreme. This is a real mind enrichment formula in Nishkama Karma. Because when I do Nishkam Karma, my heart will be pure; if I do Sakama Karma, my emotions will be involved. Thus, the true skill in work, as given in our ancient Indian thoughts is the capacity to do work while being consciously in union of the supreme. The attention put outside on work is balanced by the inner anchor in the supreme intelligence or power. Such action done in yoga is not only the highest but the wisest also; the most potent and efficient even for the affairs of the world. Thus, before you start the day’s work, at your desk or work-place, silently invoke the Supreme Power and offer your effort to Him; sometime half-way through the day, repeat this, and close the working day too by a similar inner process. In fact, this also is what yoga in practice really boils down to. Practicing this with ardent faith does produce good results pretty soon. And, of course, by this means, the goal of the improvement of the quality of working life in organizations becomes attainable.
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Nishkam Karma and the Gunas: The active people reflect Rajo Guna when they become overactive to satisfy their ego. Such egoistical behavior has all self-pampering objectives, where they neglect feelings and emotions of others. Similarly, the emotional people become Tamoguni when they get involved in emotions and become oversensitive to others (moha). This brings imbalance in due to over dependence on the wrong conditionings (super ego), which such people have developed over a period of time. Their action / inaction is then guided by such conditionings and not by the open-minded thinking. Thus in both the situations, one is over involved and is devoid of detachment, so vital for open-minded and pure-minded thinking and action. However, in the balanced state of Sattwa, there is no such involvement. One becomes open-minded and detached. Thus, the detached involvement of Nishkam Karma is attained through Sattwic Guna. We need to see what all resources the almighty has given us and should use them for others benevolence also. The persons in position and power are not the only competent persons to serve the people. Capacity and power to serve others has to be inculcated within, so that within our own Zone of Discretion, we can serve people in small measures though, but effectively. And such zeal is much more expected from us. As Government servants, we are responsible in different capacities to serve the people. Need is to develop a helping attitude and to look into our files objectively and to work with a problem solving approach. Learning Points: What are your ‘critical success factors’? Attention to work, its details, and affection for the people with a deep sense of purpose and direction. You mean – a mission? Yes, but the mission has to be part of a bigger purpose of life. Otherwise, life suffers as business grows. Then, are profits not so important?
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Who says? But, you must build your own reputation first. Profits are bound to follow. But what about competition? Try to exceed yourself in every possible way. Then your competitor becomes an extension of yourself – not your dreaded shadow. And this struggle for balance – doesn’t it upset your natural disposition? Until and unless you master the art of conducting your life and work with grace and elegance and achieve harmony in relationships. But how do you do this? You must have a center, an anchor in life, a cardinal value. For me, it’s been an unflinching faith in Conscience, not as in rituals, but as seated in the hearts of all us. That sound fine for you, but how does it work for others? You must start with FAITH IN YOURSELF AND REVERENCE FOR LIFE. Slowly the differences dissolve and convergence evolves on the basis of understanding and empathy. But such a leader must be an aggressive one? Not quite. The power of silence and prayers can work wonders in crisis and confusion. If you don’t win? I feel graceful in that defeat. But can you show me an all time winner? These win-win experts are going against the law of life – a play of opposites. They epitomize the pathology of imbalance. What is important is to handle both success and failure with a positive approach. The fire within: Light this lamp – the fire within – the fire of love and sacrifice, and the lamp of wisdom in our administrative ‘HEART-QUARTERS’ in times of turbulence.
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3. Moral Law of Cause and Effect: Doctrine of Karma In acquiring Pure Mind / Holistic Competence, so far we have seen two pillars or concepts. Sattwa guna lead to value-oriented behavior for which the goal is much higher, that of perfection and excellence and not merely the success. The Theory of Nishkam Karma tells us how we can perform our duties in an egoless state, and make them holistic and long term. This ego-less state is driven from the Sattwic force. The Moral Law of Cause and Effect – the Doctrine of Karma has an important contribution towards attaining mental purity and in turn improves the ethical level of decision making and behavior in all spheres. It also helps in the process of increasing Sattwa Guna, the positive emotions or what we call values. Law of conservation of Moral Energy: Every act good or bad has its energy level that is never lost. It may remain stored for a shorter or longer period, but at some point of time it emerges and gets activated. Thus, no act of ours, morally right or wrong gets lost. This principle if understood, can help us keep ourselves on track. We may understand it properly through the following components: 1. A cause at present must produce an effect in future. 2. An effect at present must have had a cause in the past. 3. The effect returns to the source of the cause. 4. Like cause, like effect. 5. Each cause produces its own effect; there is no mutual cancellation. Thus, it is well said: As shall you sow, so shall you reap. This gives us a higher motivational theory, encouraging to do right and discouraging to do wrong. A bonafide cause now brings a bonafide effect tomorrow. And an undersirable cause (doing) today is bound to bring an adverse effect tomorrow. Further, each cause has its own effect. A businessman using unfair means to earn more knows very well that he is doing wrong and tries to get rid of this burden by giving a portion of such earning in charity. But, as there is no mutual
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cancellation, he has to face an adverse effect of wrong doing separately and a pleasant effect of the charity separately. This doctrine of Karma is also found operative for a group of individuals also. A collective cause brings a collective effect. We do see the impact of right or wrong doings at the level of family, society, organization or the whole country. For the given right or wrong deeds practiced at individual, family, society or country level; the effect is also seen at individual, family, and society or country level respectively. For example, sons paying debts of father or inheriting property, innocent citizens suffering consequences of wars or prosperity of the country. ‘Gahana Karmo Gati’ or dense are the ways of Karma – What trait will they take, and when, is unknown. We may at times have a feeling that no one bothers for this law. Or the effect may come or may not. But we say so, with reference to the immediate surroundings. We tend to look at results in near future – least understanding that the effect is a net result of following factors: The above five components taken together, The time factor – the past, the present and the future (nearer or farther), thus the effect may come immediately or after a long time. The form or shape in which the effect may come. All these make a network of permutations and combinations, and so we may not many a times be able to witness the results of given cause or be able to relate an effect to a past cause. But when we say that effect may or may not come; we definitely acknowledge that effect is there though seen in some cases, not all. “The Indian explanation of fate is Karma. We ourselves make our own fate through our actions, but the fate created by us binds us; for what we have sown, we must reap in this life or another. Still we are creating our fate for the future even while undergoing old fate from the past in the present. That gives a meaning to our will and action and does not, as European critics wrongly believe, constitute a rigid and sterilizing fatalism.” – Sri Aurobindo.
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Who says Karma Theory is speculative, superstitious? “I have had direct experience of Karma in my own life and in the lives of other people whom I know at first or second hand.” – Arnold Toynbee Develop an awareness, a realization to the existence of the ‘Ethico-Moral Law of Cause and Effect’ i.e. the Karma Theory. Do your duty and leave the rest for the Divine (Nature) to work out the solutions; and no doubt the Divine takes care of all problems, but only if we leave it to him. Many events take place around us wherein we can clearly see the Doctrine of Karma working. All that is required is to develop our faculties of ‘looking through the events’ instead of ‘looking at the events'. Doctrine of Karma and Nishkam Karma: Once we are able to appreciate the Doctrine of Karma, we are in a better position to realize why Nishkam Karma is so important. Often we undertake a particular activity to achieve a specific result. Apart from this, we also expect that all this hard work should bring me a desired personal benefit like promotion, increment, reward, recognition, etc. However, if the end-result is not achieved, or the end result is achieved but the desired personal benefit has not come, the whole effort becomes a source of dissatisfaction. We had decided what effect of a cause should come. Little do we realize that there are infinite factors that have their impact on a given situation. The net result of all the permutations and combinations only go to decide the outcome or the effect. In such a situation, the limited factors which we can see through our limited intelligence (compared to the infinite or the supreme intelligence), on which we have control (partial or full) may or may not be able to bring the desired result. Further how can we be sure that the result or benefit that we desire is really benevolent to us? Thus, it is always better to act in a manner which is most appropriate to a Pure Mind (which is not prejudiced by ego, desire or greed), and leave the result or effect to the all pervading cosmic power, because those results can take care of benevolence of all.
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Thus, we should not waste our energies by putting our attention to the fruit or reward and concentrate on our job, duty or work. If the aims and objectives are higher, one acts in renunciation and the gains automatically come their way. “Renunciation means absence of hankering after fruit. As a matter of fact, he who renounces reaps a thousand fold. He who is ever brooding over results often loses nerve in performance of his duty.” – Mahatma Gandhi. The Guna Dynamics & Doctrine of Karma: Understand the link between the Guna Dynamics and the Doctrine of Karma (DoK). It is the dominantly rajaso-tamasic or tamaso-rajasic dispositions, which will tend to be short-term in their approach and hence likely to be less ethical. They may bend means up to any extent, to suit the ends. There is a kind of diabolically injurious pact between Rajas or Tamas, and Karmas on one hand and a kind of wholesome wedlock between sattwa and karmas on the other hand. Thus, the sway of Rajas will tend to stimulate more unethical action, which in turn will cause the effect to be injurious. To overcome them, even more rajas will probably be pressed into service. And consequently, even more unethical decisions might follow. But, if Sattwa can somehow be invoked to pierce the vicious circle, wholesome actions could be set in motion. “The whole series of man’s actions and feelings in one life are determined by those of a previous and determine those of a subsequent life …… it is, I think, a really consoling idea that our present capacities are determined by our previous actions, and that our present actions again will determine our future character. It seems to liberate us from the bonds of an external fate and makes us the captains of our own destinies.” – Lowes Dickinson. Organisational illustrations: If functionaries of an organizations are educated in Doctrine of Karma, and if its inevitability becomes alive in their consciousness, they might desist from the ethically reckless ventures. The law of the land may or may not catch them. But the Law of Karma, coupled with the Guna Dyanmics can do a preventive and surer job from within.
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Protection of the inner conscience, and the resultant peace and harmony within, is more than an ample reward for such ethical decisions taken by the officer. In Government service, one of the best protections is that no one can be sacked without sufficient grounds and reasons. Further, in government of India, there are so many places and postings to work in. If one is not able to get along the system at a given place because of difficulties on ethical grounds, one can always seek transfer. This again falls within our Zone of Discretion. Present is Reality: Doctrine of Karma acts as a psychological and moral thermostat. If there is effect, there must be a cause. The Doctrine of Karma is linkage of past to present and the present to future. Past is gone, we have no control, so endure the effect. But the present is reality. So, we must act for the effect in future. Thus, constant self-check on our present karma can only help. Each type of guna create its characteristic thought pattern, e.g. Sattwa of patience and compassion, Rajas of greed and pride, Tamas of anger and indolence. These thought patterns create respective subtle impressions, which accumulate in our psyche. Given an appropriate stimulus, these stockpiles are ignited which manifest themselves in outward action. Each such action taken under the impulse of particular latent impressions, further reinforces those very impressions. Thus, the ‘guna-impression-karma’ cycle goes on repeating itself. The tendencies of a rajaso-tamasic mind, for instance, will go on reinforcing the stockpile of wrong conditionings – samskaras. Their invisible power will prevent improved behavior or action, inspite of the best of intellectual learning. With DoK inspiring us to perform more ethical acts, the non-ethical latent samskaras will gradually be subdued. Steady striving towards more of Sattwa will create a more ample niche for purer samskaras or latent tendencies. And with better quality samskaras, more wholesome behavior should follow, and the Sattwa Guna should be reinforced. Thus, whatever had been past acts and effects we should forget them because we have no control on them. It is our present acts and deeds, which we can improve upon and make concerted effort to rectify them, regardless to what others around are doing. Thus, the need is to focus on individual’s personal conduct which is within one’s own control or Zone of Discretion (ZoD). Let our intellectual predisposition not shun the practical merit of controlled fear via DoK in improving the purity of our mind, and its ethicality.
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4. The Lower Self and the Higher Self: Gandhiji often talked about the moral courage and was himself a model of it. Our ancient Indian philosophy has continuously reminded us of this strength within. In this modern era of extreme exteriorization, we have somehow started ignoring our Inner-self. Start dis-identifying self with lower-self and re-identifying with Higher-Self. The kingdom of heaven is within. And once this is understood, we get an anchor to settle in peace and beauty instead of mentally and physically roaming around wildly like a wild musk deer in search of Kasturi, which he does not know is. According to Indian psycho-philosophy, the gold within lies in the cave of the heart. We may symbolize it with golden flame or the Higher-self. Its characteristics are: 1. Eternally perfect 2. Constantly blissful 3. Completely autonomous 4. Truth and light in itself 5. Identical with the Higher-self of all others. When we say “I�, majority of the times, we are not referring to the self mentioned above. This reference to self in normal usage is toward the lower self through which we are connected to the exterior world. But, when we refer to the self within or the interior world or the internal centrifugal force or source within, we are referring to the Higher Self. Though, the higher and the lower self are very deeply connected, the awareness of this connection is lost in our day to day over involvement with the exterior world. While the lower self keeps jumping around, the higher self is watching silently. Divinity and perfection are not external objects, but internal bliss achieved through religion and real education.
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As the lower self is deficit-driven, it is demanding. The behavior coming from this state is the one that tries to grab and watch self-interest only. The Higher Self being poorna gracefully allows others to gain and remains blissful. Whereas self (lower) of each individual is different from that of the other, the Self (Higher) in all is the same. Naturally the qualities like team-spirit, collaboration, can in real sense be driven from the Higher Self which is poorna and identical with the Higher Self of all others and not the lower self which is deficit-driven and cannot see a common string in all human beings. Thus, it can lead us to interpersonal conflicts only. Thus, the need is to withdraw for a time being from the exterior world and to look within to establish a connection with this true Higher Self. Socrates declared: “Know thyself.” We know ourselves, only in the extremely narrow sense of selfish desires and ambitions of our mento-physical existence. At the most some of us reflect the dimension of social existence too. And it is this type of extremely limited knowing, which underlies all the issues of human ineffectiveness in organizations. The great problem seems to be our inability even to diagnose this as the key issue. Illustrations: When air is pumped into a bladder, the football becomes round and swollen. The air inside serves certain function for a while. But when it is deflated or punctured, the football loses its shape and the air in it returns to its original free state. It returns to its source. The air in all different types of shapes looks different but is actually the same air. On the same analogy, the Higher Self of each one of us is identical and is a part of the same, all pervading divinity. Whereas the lower self is one identified with this Body, Mind & intellect complex and which we normally call “I” and “mine”. Just like the air inside a ball or a tube looses connection with the air in the atmosphere and is seen as a ball or tube only, we start recognizing ourselves with the body, mind & intellect complex which are the exterior forms and which keep us involve in the exterior world. We forget the real nature i.e. the Higher Self within. Thus, more the lower self remain anchored to or connected to the inner source or Higher Self, the more ethical will be the
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behavior, and the personality. As the source of Values is within, that source is this Higher Self only, which in turn is a part or reflection of the all-pervading Divinity. Similarly, a close friendship between a blind man and a lame one makes the two together a functional pair – the mobility of the blind guided by the sight of the lame. This metaphor is used to hint at the nature of the lower self and the Higher Self combination in every individual. We can say, in each person, there are two aspects: one, the active and mobile but insentient part of the being; the other the witness and still but sentient part of the being. The moment the blind stops listening to the lame, he stands danger of misleading himself. In the same way, if we stop paying attention to the Higher Self within, we start following the path of disaster. We call this Higher Self the Atman, which is a part of all pervading Bliss – the Paramatman. These working implications of Yoga-Vedanta psychology underlie the mystic affirmation uttered by Christ: “O Lord! Let Thy will be done, not mine.” Sri Aurobindo says: “By practice in concentrated silence, everyone can develop a kind of dual consciousness – the one engaged in surface-level activity, caught in obscurity and struggle; the other, behind, remaining calm and strong with effortless insight. After some sadhana, the mobile but erring prakriti (lower self) becomes subject to the guiding light and rectitude of the witness purusha (Higher Self). Then, the individual achieves ever more perfection as a worker. The revived poorna Higher Self directs the executive lower self to perform wholesomely.” Thus, by listening to that Higher Self within, we are in fact listening to the God(Nature). This paves the way for empowerment of our consciousness, from a Higher source, which leads to us to perfection / excellence. Thus, the whole of Indian civilization and society, her systems and structures were in principle and in practice aimed at ultimately helping each individual to ascend to the higher self. This was provided for by a constant and consistent weaving of the sacred into the secular, i.e. adding human values to the day-to-day activities. “For the ultimate truth in man is not in his Intellect or in his material wealth: it is in his imagination of sympathy, in his illumination of hearty, in his activities of self-sacrifice, in his capacity of extending love far and wide across all barriers of caste and colour, in his realizing this world not as a storehouse of
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mechanical power but as a habitation of man’s soul with its eternal music of beauty and its inner light of a divine presence.” – Rabindranath Tagore. Higher Self in operation: Can a model of man such as that outlined above provide any solution to our problems in the contemporary world and organizations? 1. We in our organizations feel embarrassed to talk about the concept of Atma or higher Self. We talk of values because we have learnt their importance from our own experiences and from our deteriorating situation as it has turned out in the absence of them. But we are hesitant to fully admit this connection of values with the source- the Atma and try to deal with them (the values) at a superficial level only. For example we emphasize punctuality, devotion to duty, integrity, team building, collaboration, fraternity and the like. But the guiding light, the source from which all these flow remains veiled. Such superficial treatment cannot lead to the real transformation or the character building. It is necessary to mention that the concept of Higher Self is not meant for the world renouncing Rishies or sages only. Even among the Rishies we have complete householders like Vashistha who, by his wife Arundhati, had many sons. More important, many of these profound insights flowed from monarchs, the most practical and the busiest of men of their times. Persons like Janak, Krishna, Ram, Bhishma, Vidhur, Abraham and Akbar and the like were not Brahmins or priests. These down to earth, practical rulers / advisers of vast kingdoms had the time and taste for contemplation and meditation. They had discovered some of the profoundest secrets for wholesome management of existence. This was why even some of the renowed Brahmin sages used to send their sons or disciples to such kings for the benefits of supreme knowledge. Gandhi was also guided by this inner moral strength. 2. In India, this question regarding the ‘essence of man’ has always remained in the forefront. It is probably this fact, which, more than anything else, accounts for the survival of the Indian civilization-despite its social and geographical contradictions and diversity, and its subjugation of foreign economic and political conquest for centuries. If
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we once again readdress ourselves to this question, we would be recouping our lost effectiveness and vitality-both at the personal and organizational level. Thus the need is to identify our-selves with this Higher Self and not I, which we normally consider ourselves to be. Ramana Maharshi said in reply to a question from Paul Burnton. “If ‘I’ is gone, will a man not turn an idiot?” “No, he will attain that consciousness which is immortal and he will become truly wise when he is awakened to his true Self, which is the real nature of man.” 3. In organizational Behaviour, we always speak of Team Building, emphasizing that the employees should have ‘team spirit’. The word ‘spirit’ is, however, devoid of any real content when we utter it in this context. We have to try hard to learn that this spirit is atman or the true Self. And it is this Self, which is one in essence, that alone can constitute the foundation of extension motivation, teamwork, collaboration and the like. This indeed is what self-awareness means in Indian psychology, wherein all can discover unity and commonness too. 4. We, in Indian organizations, should not overlook one of the starkest realities facing us in managing our roles: the highly differentiated Indian society, not in terms of caste alone, but in terms of language, religion, social customs and so on. Our ancient and modern Masters have been warning us that ‘matter divides, spirit unites’. It is this spirit, the concept of Atman or the Higher Self, which has always guided us for centuries. That is how despite all disparities and disputes, India still flourishes as one nation as against the USSR, which had to disintegrate. 5. The whole life of Mother Teresa is nothing but the operation from this higher illuminated state. Her name as mother is deep written in our hearts regardless to the fact whether she possessed any worldly splendours or not. Such inspiration or strength to serve humanity is the outer manifestation of values like compassion, generosity and affluence which have their source in the Higher Self only.
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Organisational illustrations: We often find inter-personal conflicts amongst colleagues who function in a competitive climate. Everyone tries to excel. To that extent it is all right. But in a healthy competition one should always acknowledge a colleague if he or she happens to be excellent. In actual practice, out of ego, we do not hesitate in undermining others by refusing small helps, depriving them the vital information or documents or even the facilities needed thus making full effort to ensure failures in the colleague’s achievements. To this get added even the trivial benefits like phone connections, fax facility, use of staff car, priority to avail such facility becomes a matter of prestige and does not remain need based. Over a period of time, formal organizational matters get linked up with these issues and endless battles begin to be fought-sometimes across individuals in a group, at other times across groups. Here we are guided by ego-centric self demands driven from the lower self only. However, if we are to think in terms of performance of an organization and want to see all of us as a part of an organization, we need the guidance of the Higher Self only which is same in all and which when awaken through practice over a period of time can help us withdraw from our ego and see that all individuals are identical in the real scientific sense and grounded in the Atma or Higher Self. This only can make us realize the requirements and capabilities of others. Unless the Higher Self-the Poorna, illuminates deficit driven lower self, all efforts of team spirit and conflict management will remain a lip service only. Thus gradual establishment in the understanding of Higher Self should be the most reliable foundation for achieving collaboration among the employees in place of present conflict. Conflicts will perhaps not be totally eliminated, but costly collisions and derailments could be minimized. The idea of true Self or poorna enables one to pursue excellence by complete concentration on the task itself without the burnout syndrome of competition-an inexorable outcome of the unripe ego. Slowly we begin to be liberated from the burning effects of jealousy, the gnawing effects of pride, the choking effects of intrigue, the stifling effects of attempts to outbid others, the debasing effects of greed, the intoxicating effects of power, the demoralizing effects of a cherished reward not received, and the like. His or her Higher Self stands far above these turbid waters of the lower-self. Unless and until we are not able to see ourselves as a part of the whole, the holistic approach cannot develop.
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Till that time we cannot replace the small individual successes by the organizational achievements. Mere intellectual understanding or willingness does not lead one to the perception of the Self as being distinct from the body. But as the regulated experiential effort goes on, say twice a day, these imageries begin to take root slowly yet surely. After several months, even years, one may notice that one is able to view the administrative problem or a conflict episode in an illuminated perspective, with a greater detachment and objective clarity. The truth is that sincere and intense inner practice of these ideas should hold in check, in due course, the very threat of self-destruction. In a public administration situation, competition would fall in the domain of swadharma of an organisation and therefore quite a legitimate activity. However, with the Higher Self-concept as the regulating force, competition should concentrate on good quality or reliable service, and not on cornering materials or favours or discharging the criteria “show me the man I will show you the rule�, restricting free flow of information, etc. The atman concept should foster longterm success rather than short-term gain. The means adopted to achieve the given ends will tend become purer. Even certain chosen ends may be given up if the means have to be compromised. Some of us may find the concept convincing but difficult to operationalize. The very question may arise that if I start sharing, supporting others while they do not, I stand all the risk of losing or lowering my prestige or why should I start boosting others performance when in comparison my performance will be seen lowered. Here we need to think if we are already reaping enough compared to the time, energy and attention that we wastefully employ in conflicting matters. Further, how far is this day-to-day prestige and applause essential for our survival and existence in the organization. All such trivial loss even is a short them only. The sure long-term gain first of all is the freedom from these day-to-day worries and energy dissipation. Slowly and surely the seniors are able to see your increased performance. Our positive contribution can never go unnoticed for long. Slowly but surely, a positive change will take place in the colleagues also. Thus in order to ensure positive change in others, we need to first improve our own attitude towards them. The world is not in our control and there are many things wrong going on around us. Unless we accept this world the way it is, we cannot have a positive attitude towards it. It is our good behaviour only, which can start bringing a positive change around.
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Experience shows that if we are able to control our impulsivity, we can save ourselves from reacting emotionally towards the erring colleagues. This can save us from landing in a situation of conflict with others. Control your impulsivity: This strategy helps us to rise above the situation instead of reacting emotionally and becoming a part of the problem in the situation of conflict. Often we find ourselves being swept away by others’ emotions, if we react impulsively. In other words, we unconsciously give our control to others. They can upset us when they are upset, unless we take charge of our emotional state. Taking charge of our own emotional state is not very difficult. It only requires a little consciousness. Human beings have been given the choice to decide their own way of responding to a situation. If we are conscious, we can always decide whether to be angry in a particular situation or not. Therefore, we should practice to pause for a moment before reacting emotionally. We will then be able to prevent much of the emotional distress by deliberately observing our emotions and becoming conscious of our thoughts. We then have the choice to deliberately altering our thoughts. This strategy is particularly helpful if we tend to react to stressful situations emotionally. The Higher self, Sattwa, doctrine of karma & nishkam karma: We can see a link in all the four concepts. A person driven from higher self will be a contented (poorna) stable and peaceful person, who can take a balanced view and action in worldly affairs. He can save himself from ego traps and act for the benevolence of others. Such person only can reflect purity, serenity, honesty, compassion, and generosity, as he does not have a grabbing tendency. This following of Sattwa Guna further increase his inner strength. The higher self shines further and so on. As this thinking is not ego-oriented, but of a pure mind, his acts become spontaneous as in Nishkam Karma. Such Karma is going to bring him real prosperity only as per the Doctrine of Karma.
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Growth towards Higher Self: For the sake of self-growth, for attaining purity, clarity and calmness of mind from stress, for making it more capable of coping with, we can attain a stage of freedom from these daily situations. Unless we grow out of the selfish lower self, there will be little room in our psychic space for our colleagues, subordinates and superiors in the organizations. Extension motivation (motivation to work for others benefit) will continue to remain an exhortation and never become a reality. We can feel concern with the woes and worries of others only if we stop identifying ourselves with our own self oriented concerns. This is the spirit, which we require in our leaders today. The leader of a team sees the whole group as one and has respect for even a member in the lowest rank. He looks at the other person as himself and is interested in maximum benefit to all. He inspires them, encourages them in their meaningful activities (even of less significance) out of love for them. He himself works (on his own level and in his own sphere) with enthusiasm and fortitude and maintains his equilibrium in success and failure. One of the best historical working models of this principle is the life of Buddha. True leadership depends, in a large measure on one’s capacity for such disidentification. One should try to concentrate on a steady, luminous spherical core in the psychic heart center, or, it could be imagined as a steady, effulgent flame. Alternately, for some it could be a luminous personality like the Christ or the Buddha. In each case it is not the object or individual which is the real purpose of concentration but the pure consciousness or atman, which it symbolizes. Through practice, when our ability to visualize and rally around this inner core of pure consciousness i.e., the true Self, undisturbed by the turmoil of the body-mindsenses-intellect quartet, becomes fairly stable, we may strive to see the same core in others – our colleagues, or friends, and even our foes. This progress can be achieved because the theory behind the exercise offered above is that we are shifting our identification from ‘small, unripe, executive self’ to the bigger, ripe, ‘Witness Self’. Such a balancing sadhana or effort is the key to the reduction of pettiness in organizations, and to the restoration of dignity in work life. “Today the idea of a human nature or of an essence of man has fallen into disrepute, partly because one has become more sceptical about metaphysical and abstract terms like the ‘essence of man’, but partly also because one has also lost the experience of humanity which underlay and Buddhist, Judoka-Christian, Spinozist and Enlightenment concepts.” – Enrich Forman.
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A tryst with truth: In the job, we are bestowed with salary, perquisites, prestige and a chance to work for the public. What more could we ask for in this life? How much does the loss of promotion (in any such situation) for a couple of years matter in comparison to a life lived for an ideal? Success is not the aim of life; perfection is. Have a holistic personality guided by Higher Self, acting through Sattwa and take a holistic view of the rewards we have in the life, not limiting our vision to promotions alone. In any case, the immediate (and also long-term) reward is the peace and sense of contentment within, which many of us are deprived of. Many of us will agree that life is not promotion only, but the all round prosperity in the life. All the experience obtained by the outer senses is limited. When man lives in this limitation, he does not know that another part of his being exists, which is much higher, more wonderful, more living, and more exalted. Once he begins to know this, then he is out of all fears. The inner life is a birth of the soul; as Christ said, that unless the soul is born again it cannot enter the kingdom of heaven. Therefore the realization of the inner life is entering the kingdom of heaven; and this consciousness when it comes to the human being shows itself as a new birth, and with this new birth there comes the assurance of everlasting life. Words of Martin Luther King Jr.: “An individual has not started living until he can rise above the narrow confines of his individualistic concerns to the broader concerns of all humanity.” “When I speak of love I am not speaking of some sentimental and weak response. I am speaking of that force which all of the great religions have seen as the supreme unifying principle of life. Love is somehow the key that unlocks the door which leads to ultimate reality.” “Compassion and nonviolence help us to see the enemy’s point of view, to hear his questions, to know his assessment of ourselves. For from his view we may indeed see the basic weaknesses of our own condition, and if we are mature, we may learn and grow and profit from the wisdom of the brothers who are called 'the opposition'.” “I do not minimize the complexity of the problems that need to be faced in achieving disarmament and peace. But I am convinced that we shall not have the will, the courage and the insight to deal with such matters unless in this field we are prepared to undergo a mental and spiritual reevaluation, a change of focus which will enable us to see that the things that seem most real and powerful are indeed now unreal and have come under sentence of death.”
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5.The Giving Model of Inspiration: The Guna Dynamics gives us an insight that out of the three inseparable inherent attributes, Sattwa is the best for developing pure mind. A consistent effort is required to cultivate Sattwa Guna and to reduce Rajas and Tamas(which reveal in greed, anger, envy, vanity, etc.). The Nishkam Karma Theory gives an energy conserving and mind purifying orientation to work, by linking it to the cause higher than ego. The Theory of Karma casts full responsibility for present effects on past causes (i.e. actions, choices, decisions). By the same logic it promises future hope (i.e. good effects) if the present causes are wholesome. This theory helps at individual level to stand and support action towards higher values and to withdraw from ethically questionable ends and means. The fourth pillar is the deepest concept which distinguishes between imperfect, conventional, deficit-driven self and the important, stable, illuminated and perfect Higher Self. All the higher values are sourced in this Higher Self. Thus lower self should function with the guiding light of awakened Higher Self. The fifth pillar is: Giving Model of Inspiration, the concept that modulates us to find a source of motivation within ourselves. “You often say, ‘I would give, but only to the deserving’- The trees in your orchard say not so, nor the flocks in your pasture- They give that they may live, for to withhold is to perish.” - Philosopher, Khalil Gibran
The above concept of giving seems to be impractical in the modern era. Not only that, most of the times, such thinking is rejected as not for a learned person. This is because today’s world of science and technology believes in the strength of intelligence only, which makes us very calculative and selfish. This leads to the all round atmosphere of demands, both for haves and have-nots alike. Most of us think we give much more to society than we receive. Psychologists call it selfserving Bias: we have an unwitting capacity to forget our neighbour’s good deeds, remember our good ones and forget our bad ones. Just a little effort and reflection will ensure that the balance is not always titled the other way. Scientific studies show that those who did charity work lived longer, were relatively free from heart disease, had lower blood pressure and greater peace of
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mind. Fulfillment comes from giving, not receiving. Though many people in the world live in affluence, but are still disappointed, frustrated and suffer from the feeling of unfulfilled because they have only received, and do not know unconditional giving. The real magic of giving lies in the way we give. Giving is a natural Law of the Universe. We often hear ancient stories of generosity and Indian are still known for being generous at heart. With the influence of the western culture, this generosity is disappearing slowly. We get in lieu of what we give, though we may not recognize it, because, the return may come sooner or later than we expect it to or it could come in a somewhat different guise. For example, when we exhale, we give out carbon- dioxide. The plants and trees consume carbon dioxide in the process of photosynthesis and release oxygen. Without giving out carbon dioxide we cannot take oxygen. Without getting carbon dioxide, the trees cannot make food, which we human beings consume. Even within our body the various organs support the activities of the other organs so that the systems like blood circulatory system, respiratory system, nervous system, digestive system etc keep working properly for the benefit of the whole body. The entire biological and ecological system combined makes possible the sustenance of the fabulous and intricate organic system/s, which we call ‘life’ on the earth. There is no end to such give and take in the nature that keeps going. The ancient Indian culture always taught us about our duties towards others and not the rights as are frequently claimed in the modern world. Such a giving model is based on a theory, that there is a large network of interconnected forces, which contribute to the existence and nurturance of us all. As a good human being, I must think of all these forces and my duty towards them. A classical Indian social theory classifies all such sources in five segments. In Brihadarnyaka Upnishad, these segments are seen as types of obligations/debts (Hrin), which we owe. These are: 1. Deva Hrin 2. Rishi Hrin 3. Pitri Hrin 4. Nri Hrin 5. Bhuta Hrin The entire social and cosmic setting of the human is embraced in this fivefold scheme. This background philosophy is wholesome to take into consideration
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the contributions made by all the segments of the universe towards the existence of the human life and helps us inculcate qualities, of desire-less giving to repay these obligations or debts. 1. Deva Hrin: Deva stands for various presiding deities of our multifarious faculties like sight, speech etc. Our owes are towards all the universal forces or divine forces which are beyond human’s control as Air, Water, Sun, Earth, Space. Can we repay our debts towards these natural resources? We cannot. Our History tells that the primitive people used to worship all these invaluable resources. This basic value, if inculcated, will always keep a check on us not to misuse or waste these natural resources, which have become scarce and polluted due to over consumption. The prayer, the surrender to these universal forces helps value them; and to lead our lives in harmony with the Natural Laws. Thus we should feel owed to these natural forces and learn that like divine giving, we should also give as much as possible without any prejudice for who the receiver is. 2. Rishi Hrin As a human being is borne, he is bestowed with the vast reservoir of knowledge and wisdom stored since thousands of years by the great thinkers, Rishis and Gurus. Our present wisdom of leading life and knowing the world around is based on the contributions already made by these seers. Man has evolved from sub-human species. Thus he needs to discipline himself to shun sub-human instincts so as to widen his consciousness further and evolve himself spiritually. Thus it is our duty to study (swadhaya) them and practise them and also to enrich them for the coming generations. 3. Pitri Hrin ‘Pitri here stands for parents. Their contribution to our being needs no description here. It is our moral duty to serve them, to learn from their experience of life and to look after them in their old age. Our ancient culture gives us a concept of serving not only one’s own parents, but also all those who are parentally to us.
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4. Nri Hrin Nri stands for humankind. We know that our existence, fulfillment of our basic needs, development, education, health, recreation, all these are attained in a social set-up and each member of society, be it at family level, society, nation or the world, contributes towards this attainment. Thus we should be careful that whatever we do, it is for the well being of the humankind. We should not indulge into means as are detrimental to the humanity as a whole, though it may bring direct benefit to us. Charity (danam) for the needful in the society should also be made. Further, we should give a sympathetic ear and a helping hand in times of need to the people in distress. Thus it becomes our duty to work for the benevolence of the humankind as a whole. There is thus no place for personal conflicts, which we should try to resolve as soon as possible. 5. Bhuta Hrin Apart from all the above, all sub-human species, i.e. the whole flora and fauna of the world fulfill all our needs and requirements. Our duty towards them is to take care of them with gratitude (sanrakshan). We should also conserve our natural resources and maintain an eco-balance. This attitude restrains us from perpetual proliferation of external desires, wants and artefacts and earning for physical possessions for the sake of self-enlargement. These tendencies only have lead to imbalance in use of natural resources and their degeneration thus leading to pollution and depletion. The resultant scarcity further leads to competitive struggles. The repayment of Bhuta-hrin cannot again be made. It becomes our duty to conserve these natural resources. With the western emphasis on rights of the individual, people tend to look after their own interests only; the practice which comes from deficit driven lower self. We tend to see the world as a place where we are borne with the rights to possess, gain and grab, never bothered to find out, what all in this universe has contributed towards my existence and sustenance as a human-being. As a response to all these contributions, the Vedantic Philosophy reminds us of our duties towards all the segments that have contributed to our existence. Thus it takes us from our right to duties. The natural concern is thus shifted from ‘what can I grab’ to ‘what can I give’ to this world. Our duties are the foundation of our
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Rights. In other words, if all of us become conscious towards our duties and obligations and discharge them religiously, we will automatically avail whatever we are entitled to. Our Constitution also has listed the Fundamental Duties of citizens of India. It is interesting to find how far it agrees with the repaying of our Debts (Hrinas). This fifth pillar or concept thus gives us a new motivational theory i.e. a giving model. It inspires us to work for accomplishment of our duties and not for any external incentive. If this emotion of gratitude can inspire us in our work life, the sense of devotion to duty is the sure outcome. Thus we can train our minds and mould our dispositions to humbly do our duties in an upright manner. Thus anger, jealousy, pride, falsehood, fear and greed will have no place in such workculture. This takes us to the ethical virtue of ‘unselfishness’ so significant to lead us from individual concerns to collective concerns with the feeling of Oneness. It helps us grow from self-nurturance (swarth sangraha) to world sustenance or Lokasangraha. The virtues like kindness, sincerity, charity, justice, truthfulness, humility, chastity etc. which are so important for fostering fellow-feeling, the feeling of oneness, can be appreciated once the concept of our duties towards the five types of debts is understood. The Giving Model and the Higher Self: Let us see the giving of a flower. When a rose blossoms it does so spontaneously, smelling sweet, expressing all its joy of living, and it does not think for whom it is blossoming, it has nothing to gain out of it: it does so spontaneously, in the joy of being a flower. However, we human beings are motivated to do something only if we will get some direct benefit out of it. We normally think that our capabilities are our own achievements and we should use them for our own benefit only. Consequently, from the psychic point of view, the rose is better than the human beings. The entire divine(nature) plan of the universe rests on gifting out of joy: the sun, the air, the water, the trees are all gifts of joy from the creator for the human beings. The problem of immorality or un-ethicality, therefore, does not exist in nature whose law-of-being is gifting. The concept of the above Hrina theory can change our attitude and bring our performance to the same level as that of the rose.
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Thus the fundamental principle of creation is gifting. The higher Self, which is poorna, inherently gives/gifts. We as parents enjoy giving and doing everything for our children. But it is not the same for other children. Thus in our case the lawof- being gets tinted through reflective choice (with the operation of ego and use of intellect) e.g. out of ego we start differentiating amongst children as our child and their child. As is said: ‘The ego Grabs; the Self Gives.’ The grabber may not know, but he is forever insecure, vulnerable, fragile and poor. This alone explains Alexander’s lamentation, “Aren’t there any more lands to conquer?” The grabber is deficit driven individual. The giver on the other hand is rich within and can give out of joy. He gets satisfaction by knowing that whatever was given was useful to the receiver. Thus the need is to firmly manage the ego and to manifest the universal gifting/giving law-of-being in our day-to-day affairs also. The world is not good or bad as such. Our selfishness is the chief source of evil, of diminished morals and ethics. Selfishness springs from the non-cultivation and nonrealization of the feeling of oneness with all. The feeling of separatedness results in unethical actions. However, renouncing bit by bit these impulses and doings of the lower selfish self helps in realizing unity in the midst of differentiation and unity feeling which is the basis of ethical and moral dealings. This education in Unity, in Oneness, is the real response to our concern for ethics. Gandhi and other contemporary social and political leaders have described this Oneness or Ek-atmanubhuti as equality, equity, and egalitarianism. In words of Gandhi: “Equality depends on the state of mind, and until our mind reaches that state, we shall remain backward------. If the people in a democratic state are selfish, that state comes to no good.” Our constitution in Directive Principles for the States, speaks of this Oneness. Equality at the level of feelings can achieve natural harmony amongst unequal, unique individuals. In the country like India with a wide variety of colour, caste, creed, customs, religions, language and culture, this feeling of equality is very important to bring about harmony - unity in diversity. Such ‘state of mind’ can be reached by awakening the Higher Self within and by managing the grabbing lower self. Because, it is the awakened Higher Self only that can see the Self to be identical with the Higher Self of all others. Thus the need is to broaden our outlook and feel equitable joy in giving to all. The western theories of motivation are invariably based on the crucial assumption that it is the needs – the desires and expectations of employees which supportive leadership must try to meet. They implicitly consider an
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organization to release different benefits towards its members, in the hope of receiving productive responses. The use of carrot and stick attitude is at the base of all such theories. As man is an evolved being, such motivational theories do not lend any dignity to man. The effects produced can also be short-term only. This linkage of man to the society through his rights and claims would be incomplete unless his duties and obligations are also closely matched. Because, as soon as a child is born, it starts crying out its needs. It does not need to be taught and trained for its needs and claims. There is no end to needs. However, if everyone performs his duties and obligations well, our rights and claims will automatically be taken care of. Giving Model and the Gunas: A GIFT (DANA) THAT IS PRESENTED to a worthy person without thought of receiving for it any kind of compensation is Sattwic or virtuous in nature. The man who gives “with no strings attached” to a deserving person is pure-hearted. Paradoxically, such a gift brings the donor the greatest spiritual benefit, precisely because he does not seek it. TAMASIC GIFTS INJURE BOTH THE GIVER AND THE RECEIVER. The Bible says not to cast pearls before swine. One should not offer money or gifts in kind in evil places or to evil persons, for it would be used to spread trouble in the world. When one offers material aid to another, with malice or insult, just to obtain the “name” of giver, it is a tamasic or wrong type of gift; as it is a gift that arouses ill-will because it is given imprudently. To bestow presents on rich or influential persons, not out of friendliness but as bribes to win favor or advantage, is also a detrimental action. Illustration: When we sharply reprimand a junior of ours for sloppy or irregular work, yet pray within and sincerely transmit constructive thought waves for his growth and development, that giving is sattwic albeit veiled under rajas. The lesser a man needs, the happier he is. Freedom from needs is the super ordinate goal, not freedom of. (We are obviously not speaking of the hungry man on the street, but of employees of organizations who constitute the top 30 per cent of India’s population). Our personality cannot become integrated if it is forever hungry and abjectly dependent on externalities for all kinds of recognition and satisfaction. It is in the nature of such dependency to splinter our being and scatter it to the
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winds. Thus, we must begin to look for processes and methods for living and working which can counteract such dissipating exteriorisation by integrating through interiorisation. Integration demands a permanent, independent and pure consciousness or awareness within an individual, which can absorb or ride over the inevitable fluctuations or dwandwas in the externals. The operational approach for this is contained in the following supremely practical counsel of the Geeta. Yat karoshi, yadshnashi, yajjuhoshi, dadasi yat; Yat tapsyasi kaunteya, tat kurushwa madrapanam. The lord is counseling Arjuna that whatever you perform, whatever you enjoy, whatever you sacrifice, whatever you give, whatever willing and energy conversion you do, offer them all to Me, i.e., the Supreme Energy or Universal Intelligence or the symbolic personal God. The same applies to we, the workers and managers. It is the silent pursuit of this inner convergence through our daily routine of existence that gradually develops our psyche to become one coherent whole. An inward journey through Meditation(Dhyana) is thus a must to bring integration and wisdom back into our exteriorized personality. Motivation and the Giving Model: Giving Model of Inspiration: Self Motivating Profiles No dependency on externalities Interiorisation Looking within Inspiration from within. Need Model of Motivational factors: Dependency on external factors like scope of autonomy at work, scope for career advancement, self actualization, salary, good superiors, etc. Take motivation from Giving Model of inspiration rather than depending upon externalities for motivation.
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