Code Of Ethics And Code Of Conduct
Civil servants have special obligations, according to the 2nd ARC's 10th report, Refurbishing of Personnel Administration – Scaling New Heights, because they are responsible for managing resources entrusted to those by the community, providing and delivering services to the community, and making important decisions that affect all aspects of a community's life.
• The public has a right to expect the civil service to operate in a fair, impartial, and efficient manner. The community must be able to trust and have faith in the civil service's decision-making process.
• Within the civil service, it is necessary to ensure that civil servants' decisions and actions reflect current government policies as well as the community's expectations of them as government servants.
• The expectation that the civil service will maintain the same level of professionalism, responsiveness, and impartiality in serving successive political governments is a critical component of how our democratic polity operates.
• An effective civil service in a democracy must have a set of values, principles, and behavioural conducts that set it apart from other professions. Only these values, principles, and behavioural conducts are covered by ethical codes, which every professional should strive for. According to the requirements, we have different ethical codes for different professions. Codes of ethics and codes of conduct are the two types of ethical codes.
Importance/utility of ethical codes:
1. It functions as a professional statement and has both cognitive and emotive value.
2. It helps the professional to decide whether his actions are right or wrong.
3. It brings consistency and responsibility in the behaviour of an employee.
4. It brings legality and rationality in the actions of government.
5. It brings accountability in government functioning.
6. It helps in controlling the menace of corruption and favouritism.
7. It helps civil servant to defend his actions against ill guided complaints.
8. It helps civil servant to do right things in right ways
9. It provides a strong prima facie reason to act in a certain way.
10. It helps in resolving ethical dilemmas.
CODE OF ETHICS
A code of ethics is a set of general and core ethical values intended to assist professionals in conducting business in an honest and ethical manner. A code of conduct's ethical values are based on the organization's core values and the standards that the professional will be held to.
It is a document that usually outlines:
1. The ethical principles that are based on the company's core values.
2. The professional's standards to which he or she will be held.
3. How problem-solving is supposed to be done by professionals.
Criticism of code of ethics:
1. They are broad, abstract, and difficult to implement.
2. They are subjective, and different people can interpret them in different ways.
3. In an emergency, do not provide quick solutions.
4. Ignore the socioeconomic, cultural, and political context.
5. They have a descriptive quality to them.
CODE OF CONDUCT
A code of conduct is a set of principles and behaviours that an individual must adhere to in order to conduct business successfully and ethically. It includes the following:
1. Principles that are based on an organization's core values.
2. A set of detailed and specific behaviours that an individual must adhere to in the form of do's and don'ts.
3. A list of detailed and specific behaviours that an individual should not engage in in the form of don'ts. Conflicts of interest, self-dealing, bribery, and inappropriate actions are all examples of behaviours that Codes of Conduct are designed to anticipate and prevent.
Criticism of code of conduct
1. It's nearly impossible to foresee every possible scenario that could arise in the future.
2. They are frequently contractual obligations that are restrictive rather than affirmative.
3. They have a strong prescriptive nature.
4. They are usually only intended to address the most basic forms of ethical behaviour.
5. They're complicated, with a lot of sub clauses and exceptions.
6. They are difficult to understand due to the use of legal jargon.
7. Different codes are required at various levels.
Comparing Code of Conduct and Code of Ethics
• A Code of Ethics and a Code of Conduct are similar in that they are both used to encourage specific types of employee behaviour. Ethics guidelines attempt to influence decision-making by providing guidance on values and choices. Some specific actions are appropriate, while others are not, according to conduct regulations.
• In both cases, the goal is for employees to exhibit a limited range of acceptable behaviours. When there are similarities, there are also differences. Both are used in very different ways to try to control behaviour.
• Ethical standards are generally broad and non-specific, with the goal of providing a set of values or decision-making approaches that allow employees to make independent decisions about the best course of action.
• The majority of conduct standards require little judgement; you either obey or face a penalty, and the code lays out a fairly clear set of expectations for which actions are required, acceptable, and prohibited.
Lord Nolan Committee on Public Life Standards:
The Committee on Standards in Public Life (CSPL) is a non-departmental British government advisory body established in 1994 to advise the Prime Minister on ethical standards in public life. The Seven Principles of Public Life, also known as the "Nolan principles," were established in the Committee's First Report in 1995. They were as follows:
1. Selflessness: People in positions of public trust should make decisions solely in the public interest. They should not do so in order to benefit financially or in any other way for themselves, their families, or their friends.
2. Integrity: Public officials should not bind themselves financially or otherwise to outside individuals or organisations that could sway them in the performance of their official duties.
3. Objectivity: Holders of public office should make decisions based on merit when carrying out public business, such as making public appointments, awarding contracts, or recommending individuals for rewards and benefits.
4. Accountability: Public officials are responsible to the public for their decisions and actions, and they must submit to whatever scrutiny is appropriate for their position.
5. Transparency: Public officials should be as transparent as possible about all of their decisions and actions. They should give reasons for their decisions and limit information only when it is clearly in the public interest.
6. Honesty: Public officials have a responsibility to disclose any private interests that may conflict with their public duties and to take steps to resolve any conflicts in a way that protects the public interest.
7. Leadership: Public officials should lead by example in promoting and supporting these principles."
Code of conduct in India
• The Conduct Rules, which are contained in the Central Services (Conduct) Rules, 1964, and analogous rules applicable to members of the All India Services (All India Services Conduct Rules, 1968 for IAS, IPS, and IFS) or employees of various State Governments, are the current set of ethical norms in India.
• While the Conduct Rules contain some general norms such as "maintaining integrity and absolute devotion to duty" and not engaging in "conduct unbecoming of a government servant," they are primarily aimed at cataloguing specific activities deemed unfit for government employees. These guidelines do not constitute an ethical code.
• These guidelines are more "do's" and "don'ts" in nature. The Conduct Rules cover a wide range of topics, including property transactions, accepting gifts, joining non-political organisations, and a slew of other topics that cover almost every activity that a normal person engages in.
• The rules are extremely restrictive, severely restricting a government employee's freedom of operation, are written in ambiguous language, and can be difficult to follow. If a government employee wants to engage in serious academic activity and publish articles or books, he must first obtain permission, which is not easy to come by.
• The conduct rules are more often broken than followed in practise, allowing the government to harass honest and dedicated officers while dishonest and corrupt officers get away due to the complicated procedure involved in disciplinary action.
• The rules are completely insufficient to deal with cases of public servant malfeasance or misconduct because they provide numerous escape routes for the unscrupulous.
May 1997: The first initiative for a code of ethics: As part of an Action Plan for an Effective and Responsive Government presented at a conference of Chief Ministers presided over by the Prime Minister in May 1997, the Government of India's Department of Administrative Reforms prepared a Code of Ethics for public services. The Code's goal was to establish standards of integrity and conduct that would apply to government employees. The principles outlined in the code were admirable, but they were not adopted as a Code of Ethics for public employees.
Public Service Bill 2006: Second Public Service Values Initiative -The Department of Personnel drafted a Public Service Bill in 2006, which enumerated fundamental public service values, a Code of Ethics, and a Management Code, among other things, with the goal of transforming public service into a professional, politically neutral, merit-based, and accountable civil service.
The following are the main values that will guide public servants:
• Adherence to the Constitution and the law, democracy, nationalism, sovereignty, India's integrity, and national security;
• operate in an apolitical manner;
• Act objectively, impartially, truthfully, equitably, and in a just and fair manner;
• Act in a trustworthy, courteous, and just manner;
• Establish high standards for quality service, efficient working, and timely decision-making;
• Take responsibility for your decisions;
• Establish merit as the primary criterion for hiring, promotion, and placement;
• Discharge functions with due regard for the diversity of the nation/community and religion, but without discrimination based on caste, community, religion, gender, or class, and ensuring that the interests of the poor, underprivileged, and weaker sections are adequately protected.
• Advising the political executive with honesty, objectivity, and frankness;
• Ensure that public funds are spent with the utmost care and economy;
The Public Service Bill has stalled and appears to have been relegated to the back burner. One issue with the draught bill was that it attempted to accomplish too many goals. Aside from values and ethics, the Bill aimed to establish management principles for public services, as well as principles that should govern public service appointment, performance indicators for public services, and so on. It's difficult to reach a consensus and secure legislative approval with such a broad and diverse scope of service-related issues.
2nd ARC Recommendations
A comprehensive Civil Service Code can be conceptualised at three levels, according to the 2nd ARC (10th report; Refurbishing of Personnel Administration – Scaling New Heights).
1. A clear and concise statement of the values and ethical standards that a civil servant should imbibe should be made at the highest level. These values should reflect the public's expectations of a civil servant in terms of political neutrality, upholding the highest ethical standards, and taking responsibility for one's actions.
2. The broad principles that should govern a civil servant's behaviour can be outlined at the second level. The Code of Ethics would be made up of this.
3. At the third level, there should be a specific Code of Conduct that specifies a list of acceptable and unacceptable behaviour and actions in a clear and unambiguous manner.
In addition to a commitment to the Constitution, the report stated that these values should include:
a. Adherence to the highest ethical, moral, and ethical standards.
c. Objectivity
d. Commitment to the public good and citizens' concerns
e. Empathy for the weaker and more vulnerable members of society.
2nd ARC also believes that these values may not be enforceable in and of themselves.
However, a mechanism could be put in place to ensure that those in leadership positions, in particular, make efforts to instil these values in all members of their organisations. Therefore has requested that the government learn from the Australian Public Service Act, which established a set of values. An Agency Head is required by law to uphold and promote the Australian Public Service (APS) Values. It is also stipulated that the Commissioner's responsibilities include:
a. Assessing how well agencies incorporate and uphold the APS Values.
b. Assessing the effectiveness of agencies' systems and procedures for ensuring compliance with the Code of Conduct.
c. An independent agency should audit organizations/departments and assess the measures taken by the organisation to uphold civil service values. This task could be assigned to the Central Civil Services Authority.
The Commission has proposed that the following principles (at second level) be included in the Code of Ethics for Indian civil servants:
1. Integrity: In making official decisions, civil servants should be guided solely by the public interest, not by any financial or other considerations for themselves, their families, or their friends.
2. Impartiality: Civil servants should make decisions solely on the basis of merit when carrying out their official duties, such as procurement, recruitment, and service delivery.
3. Public service commitment: Civil servants should provide services that are fair, effective, impartial, and courteous.
4. Open accountability: Civil servants should be willing to be held accountable for their decisions and actions and should be willing to submit to appropriate scrutiny in order to do so.
5. Duty zeal: Civil servants are unwavering in their commitment to their duties and responsibilities at all times.
6. Model behaviour: Civil servants must treat all members of the public with respect and courtesy and should always act in a way that upholds the civil service's rich traditions.
A set of specific guidelines governing the conduct of civil servants is found at the third level. As previously stated, the current Conduct Rules govern civil servant behaviour. Despite the fact that these guidelines are very comprehensive and cover a wide range of topics, they have a number of flaws and anomalies. To give you an example:
(1) No Class I officer shall, except with the previous sanction of the Government, permit his son, daughter or other dependent, to accept employment in any [company or firm] with which he has official dealings or in any other [company or firm] having official dealings with the Government. Since there may be no company or firm in India that does not have any dealing with the Government, all firms and companies are automatically covered by such a sweeping rule which is likely therefore to be observed more in breach than in reality and which in any case, may not necessarily involve any type of conflict of interest. Moreover, even if permission is taken in advance, if the acceptance of employment really involves any element of nepotism or conflict of interest, such permission cannot absolve the civil servant from any disciplinary or criminal liability.
(2) A Government servant shall so manage his private affairs as to avoid habitual indebtedness or insolvency. A Government servant, against whom any legal proceeding is instituted for the recovery of any debt due from him or for adjudging him as an insolvent, shall forthwith report the full facts of the legal proceedings to the Government. This appears to be a meaningless provision which is unlikely to be enforced nor does it have any direct linkage with the official work of the civil servant.
As a result of the foregoing, the Conduct Rules must be completely rewritten in light of the report's suggested values and code of ethics. The proposed Central Civil Services Authority could be consulted when developing the Conduct Rules and interpreting any "grey areas" that may arise in enforcing them.
• Note: In 2014, the Government of India amended the All India Services (Conduct) Rules, 1968, in response to the above recommendations. To the already existing code of conduct, a code of ethics containing values and principles has been added.
Conduct Rules for Civil Services, Judiciary, Legislature and Regulators Central Civil Services (Conduct) Rules, 1964 (Updated)
Some general rules pertaining to civil services are:
1. Maintain absolute integrity;
2. Maintain devotion to duty
3. Do nothing which is unbecoming of a Government servant.
4. Commit himself to and uphold the supremacy of the Constitution and democratic values
5. Defend and uphold the sovereignty and integrity of India, the security of the State, public order, decency and morality;
6. Maintain high ethical standards and honesty;
7. Maintain political neutrality;
8. Promote the principles of merit, fairness and impartiality in the discharge of duties;
9. Maintain accountability and transparency;
10. Maintain responsiveness to the public, particularly to the weaker section;
11. Maintain courtesy and good behaviour with the public;
12. Take decisions solely in public interest and use or cause to use public resources efficiently, effectively and economically;
13. Declare any private interests relating to his public duties and take steps to resolve any conflicts in a way that protects the public interest;
14. Not place himself under any financial or other obligations to any individual or organization which may influence him in the performance of his official duties;
15. Not misuse his position as civil servant and not take decisions in order to derive financial or material benefits for himself, his family or his friends;
16. Make choices, take decisions and make recommendations on merit alone;
17. Act with fairness and impartiality and not discriminate against anyone, particularly the poor and the underprivileged sections of society;
18. Refrain from doing anything which is or may be contrary to any law, rules, regulations and established practices;
19. Maintain discipline in the discharge of his duties and be liable to implement the lawful orders duly communicated to him;
20. Maintain confidentiality in the performance of his official duties as required by any laws for the time being in force, particularly with regard to information, disclosure of which may prejudicially affect the sovereignty and integrity of India, the security of the State, strategic, scientific or economic interests of the State, friendly relation with foreign countries or lead to incitement of an offence or illegal or unlawful gain to any person;
21. Perform and discharge his duties with the highest degree of professionalism and dedication to the best of his abilities.
22. No Government servant shall, in the performance of his official duties, or in the exercise of powers conferred on him, act otherwise than in his best judgment except when he is acting under the direction of his official superior. The direction of the official superior shall ordinarily be in writing. Oral direction to subordinates shall be avoided, as far as possible. Where the issue of oral direction becomes unavoidable, the official superior shall confirm it in writing immediately thereafter.
23. No Government servant shall in the performance of his official duties, act in a discourteous manner;
Code of Conduct for Judiciary
The Supreme Court of India in its Full Court Meeting held on May 7, 1997 unanimously adopted a charter called the ‘Restatement of Values of Judicial Life’, generally known as the Code of Conduct for judges. It reads as under:
a) Justice must not merely be done but it must also be seen to be done. The behaviour and conduct of members of the higher judiciary must reaffirm the people’s faith in the impartiality of the judiciary. Accordingly, any act of a Judge of the Supreme Court or a High Court, whether in official or personal capacity, which erodes the credibility of this perception, has to be avoided.
b) A Judge should not contest the election to any office of a club, society or other association; further he shall not hold such elective office except in a society or association connected with the law.
c) Close association with individual members of the Bar, particularly those who practise in the same court, shall be eschewed.
d) A Judge should not permit any member of his immediate family, such as a spouse, son, daughter, son-in-law or daughter-in-law or any other close relative, if a member of the Bar, to appear before him or even be associated in any manner with a cause to be dealt with by him.
e) No member of his family, who is a member of the Bar, shall be permitted to use the residence in which the Judge actually resides or other facilities for professional work.
f) A Judge should practise a degree of aloofness consistent with the dignity of his office.
g) A Judge shall not hear and decide a matter in which a member of his family, a close relation or a friend is concerned.
h) A Judge shall not enter into public debate or express his views in public on political matters or on matters that are pending or are likely to arise for judicial determination.
i) A Judge is expected to let his judgments speak for themselves. He shall not give interviews to the media.
j) A Judge shall not accept gifts or hospitality except from his family, close relations and friends.
k) A Judge shall not hear and decide a matter in which a company in which he holds shares is concerned unless he has disclosed his interest and no objection to his hearing and deciding the matter is raised.
l) A Judge shall not speculate in shares, stocks or the like.
m) A Judge should not engage directly or indirectly in trade or business, either by himself or in association with any other person. (Publication of a legal treatise or any activity in the nature of a hobby shall not be constructed as trade or business).
n) A Judge should not ask for, accept contributions or otherwise actively associate himself with the raising of any fund for any purpose.
o) A Judge should not seek any financial benefit in the form of a perquisite or privilege attached to his office unless it is clearly available. Any doubt in this behalf must be got resolved and clarified through the Chief Justice.
p) Every Judge must, at all times, be conscious that he is under the public gaze and there should be no act or omission by him which is unbecoming of the high office he occupies and the public esteem in which that office is held.
These are only the “Restatement of the Values of Judicial Life” and are not meant to be exhaustive but illustrative of what is expected of a Judge.
The following two Resolutions were also adopted in the said Full Court Meeting of the Supreme Court of India:
1. “RESOLVED that an in-house procedure should be devised by the Hon’ble Chief Justice of India to take suitable remedial action against Judges who by their acts of omission or commission do not follow the universally accepted values of judicial life including those indicated in the “Restatement of Values of Judicial Life”.
2. RESOLVED FURTHER THAT every Judge should make a declaration of all his/her assets in the form of real estate or investments (held by him/her in his/her own name or in the name of his/ her spouse or any person dependent on him/her) within a reasonable time of assuming office and in the case of sitting Judges within a reasonable time of adoption of this Resolution and thereafter whenever any acquisition of a substantial nature is made, it shall be disclosed within a reasonable time. The declaration so made should be to the Chief Justice of the Court. The Chief Justice should make a similar declaration for the purpose of the record. The declaration made by the Judges or the Chief Justice, as the case may be, shall be confidential”.
2nd ARC on Ethical Framework for the Judiciary
• A National Judicial Council should be established, in accordance with universally accepted principles, in which members of the judiciary are appointed by a collegium comprised of representatives from the executive, legislature, and judiciary.
• The National Judicial Council should be empowered to establish a code of conduct for judges, including the subordinate judiciary.
• It should also be entrusted with the task of judicial oversight, as well as the authority to investigate allegations of misconduct and impose minor penalties. If necessary, it can also recommend the removal of a judge.
• The President should have the power to remove a Supreme Court or High Court Judge based on the NJC's recommendations.
• The National Judicial Council could be established by amending Article 124 of the Constitution. Article 217 will need to be changed in a similar way.
• In addition, because the Council will have the authority to supervise and discipline judges, more changes to Article 217 will be required.
• The Judicial Values Commissioner should be appointed by a Supreme Court judge. He or she should be in charge of upholding the code of conduct. In the High Court, a similar arrangement should be made.