04 Code of Conduct, Ethics

Code of Conduct

• set of guidelines, to members of org, wrt how they should conduct themselves in specific situation
• context of CSer, similar to set of -ve instruction to regulate behaviour of CSer
• also includes disciplinary measures for violations
• AIS Conduct Rules, 1968, lays down following standards for CSer

1. should not take part in political activity or any org. associated with such actiivty
2. supposed to remain sober and not appear in public places in state of intoxication or use drinks or drugs in excess
3. should observe existing policies and laws regarding crimes against women
4. should not give/take dowry
5. manage financial matters to avoid insolvency
6. should not directly/indirectly engage in trade/business or any any employment or participate in making any sponsored media
7. may gifts be accepted from near relatives, must be reported to govt if above 25k in value
8. cannot gifts from outsiders exceeding 10k value

Code of Ethics

• broad set of principles guiding conduct, decision making of civil servants
• reflects core values & ethical standards that act as moral compass for civil servants
• eg. CSer must uphoald transparency in all public dealings & should be impartial in service delivery

Difference

CoC	CoE
detailed, specific principles, values	broad values
ensure adherence to R&R	broad framework for ethical decision making
penalties may be imposed for non compliance	no punishment, only moral sanction
guide behaviour over short period of time	long term sustainable changes in behaviour of Cser

Significance of Code of Conduct

• establishes clear expectations of behaviour from CSer, reducing ambiguity, promoting consistency in actions, decision making
• outlines unacceptable behaviour, deters, prohibits misconduct
• ensures accountability of CSer for actions by providing benchmark
• enhances public trust by ensuring officials adhere to high standard of conduct

Significance of code of ethics

• moral compass for CSer
• ensuring actions based on ethical principles
• promotes integrity, fairness in public dealings
• can act as tool for resolving ethical dilemmas
• CSer often accused of having poor work culture that can be reformed by adhering to CoE

Implementation of CoC

• violation should result in disciplinary action
  • warning
  • suspension
  • termination of service
• regular training programme
  • keep CSer aware

Implementation of CoE

• regular training on ethical standards, application, CoE in day to day functioning
• ethics committee should be established to oversee implementation of CoE and address ethical concerns, violations

Challenges in implementing

• CoE, CoC: vague, broad stmt, multiple interpretations, resulting in inconsistent application, enforcement
• CSer may not be adequately trained, informed abt codes ether leading to unintentional violations or a lack of understanding of the codes
• in some cases, ethical standards prescribed by code may be in conflict with cultural norms
  • eg. Gift giving
• weak/ineffective enforcement mech
  • violation unpunished
  • reduce sanctity of such codes
  • eg. dept does not have clear predure for reporting, investigation => violations not addressed effectively
• resistance to adoption
• no incentive to following these codes
  • no significant impact on career progression, promotion
  • eg. long serving public official may resist new ethical guideline preferring to continue w/ estd. practices
• limited resources for training, monitoring, enforcement
• CoE doesn’t define which principle would apply to which circumstance, and which takes precedence
• CoC has limited application in different situations
• some people believe erosion of moral values has happened to such extent that CSer these codes would have negligible impact on ensuring ethical governance

Recommendations

• regular comprehensive training programme focused on ethical dilemmas, practical application of ethical guidelines
• IIPA courses on ethics
• engaging stakeholders, inclu CSO, pvt sector in developing, implementing codes
• leveraging tech for monitoring compliance and facilitate reporting of ethical violations
• revise codes to include clear & specific guidelines that are easy to understand, apply
• promoting culture of ethics by engaging senior officials to speak abt importance of ethics

Experience from other countries

United Kingdom

• comprehensive CoC for CSer, supported by CS commission
• oversees adherence & handles cases related to violations
• regular training w/ emphasis on leadership

Hong Kong

• ICAC to ensure effective enforcement of ethical behaviour and conduct extensive public awareness campaigns to promote ethical behaviour

Australia

• Australian PSC enforces valuen and CoC to articulate core values, behaviours expected for public servants
• creation of Public Register of Interests
  • Public Servants in senior positions are required to declare financial interests to ensure transparency & prevent rest

2nd ARC Public service Bill 2007

• recommended Draft Pubilc Service Bill, 2007
  • core values
  • public service code
  • public service mgmt code
• highlights several core values that CSer should uphold

Core Values

• allegiance to constitutional ideals
• Apolitical functioning (political neutrality)
• Good governance
• Objectivity and impartiality
• Accountability and transparency
• Economic efficiency
• Healthy work environment
• Communication and cooperation

Public Service Code

part of comprehensive framework designed to guide conduct & responsibilities of CSer

Includes following key components

• core values
• specific duties & responsibilities of civil servants
• defined enforcement mechanism & implementing authority thru public service authority

PSA tries to meet following objectives

• integrity in all public dealings
• ensuring accountability for actions through mechanisms eg audit, public rporting
• improving public trust
• promoting professionalism
• CSer should be involved in continous learning & developing competence in their duties

Public Service Management Code

• complements PSC by focusing on operational aspect, mgmt practices within CSer

Ensures the same in following manner

• guidelines on how values should be incorporated into performance of duty
• lays down mgmt practices to
  • ensures economic efficiency
  • encouraging healthy work env
  • promoting cooperation & consultation among diff levels
• PSA would see overall implementation of the code
• regular monitoring, evaluation would be conducted to assess effectiveness of mgmt practices & to make necessary changes

Various aspects of PSMC

• performance mgmt systems
  • setting clear performance standards & expectations for CSer
  • regular performance appraisals
  • recognition & award for outstanding performance
• resource mgmt
  • efficient budgeting process to ensure financial resourcces allocated efficiently & effectively
  • comprehensive guidelines for mgmt of public assets, prevent misuse
• Training & development
  • capacity building thru continous training programmes to enhance skillls, knowledge of CSer
  • professional growht opportunity to keep up to date

Conflict of interest

• when CSer personal interest conflict with professional duties
  • potentially influencing their actions, decisions that harm public interest
• managing necessary to ensure integrity of CSer
• eg.
  • CSer taking up job offer post retirement with pvt company he was dealing while in job
  • owning shares in company that may benefit from contract/policy
  • CSer awarding contract to company where relative holds position
  • receiving gifts from people/orgs having interest in decisions taken by CSer

Managing conflict of interest

• Disclosure
  • regularly disclose financial interest relationships, other personal matters that could potentially lead to CoI
  • independent authority should review such disclosure
• Restriction on post retirement employment, positions
  • 2nd ARC -> serving officials should not be nominated to board of PSU unless compelling reasons
• Independent oversight body
  • power to investigate, take action against breach of conflict
• regular training programme

Type of Conflict of Interest

• Real CoI: when CSer personal interest inferferes
  • eg. govt official owns share in company bidding for contract they’re overseeing
• Apparent CoI: when situation can be perceived by outsider as CoI even if no conflict exists in reality
  • eg. CSer relatives business bidding may be perceived as conflict even if CSer has no personal interest

Resolving Conflict of Interest

• recognizing, understanding nature of conflict
  • be aware of personal, family interest that might conflict w/ professional duties
• disclosure
  • disclosing conflict to appropriate authority or supervisor in writing w/ details of conflict
• assessment/evaluation of disclosure
  • concerned authority or supervisor will evaluate disclosed conflict to determine potential impact on professional duties
  • if assessment rates conflict to be significant, CSer should be disqualified from participating in decision making process or recuse themselves from the process
  • some other official w/o CoI should take over
• Monitoring of disqualification or recusal
  • disqualification or recusal should be documented, monitored to ensure CSer doesn’t influence decision indirectly
• alternate solution
  • if CoI grave, possibility of influencing decision continues to exist, CSer should be assigned diff project or relative be asked to withdraw bid

Avoid such confilct thru educ, training program, awareness.

Managing Conflict of Interest

• developing comprehensive law to define, address CoI, detailing guidelines, penalties for non compliance
• set up independent oversight mech to monitor, evaluate, enforce policies related to CoI
• training & awareness
  • regular training & awareness programs to educate CSer on significance of managing CoI & method to do so
• cultural change
  • overhauling culture within public institutions thru examples of leadership on adhering to highest ethical standards