Accountability & Ethical Governance

Cornerstones of a Robust Democracy & Efficient Public Administration

Explore the principles, mechanisms, and challenges of fostering transparency, responsiveness, and integrity in public service.

Introduction

Accountability and ethical governance are cornerstones of a robust democracy and efficient public administration. Accountability ensures that those entrusted with public power and resources are answerable for their actions and decisions. Ethical governance goes beyond mere rule-following, encompassing adherence to moral principles, values like integrity, impartiality, and a commitment to public service. Together, they aim to create a system of governance that is transparent, responsive, non-corrupt, and serves the public interest effectively. This topic delves into the concept of accountability, its various mechanisms, and the critical role of transparency in fostering ethical governance.

Core Concepts

6.4.1: Concept of Accountability

Definition:

Accountability is the obligation of an individual or organization (the "accountor") to account for its activities, accept responsibility for them (both successes and failures), and to disclose the results in a transparent manner to an "accountee" or overseeing body/public. It implies answerability for performance in light of agreed-upon expectations.

It involves both answerability (the duty to provide an account or explanation) and enforceability/sanction (the possibility of consequences based on performance).

Types of Accountability

Administrative Accountability

Accountability of officials within the administrative structure to their superiors, and ultimately to the political executive. Ensured through rules, procedures, codes of conduct, performance monitoring.

Political Accountability

The government (executive) is accountable to the Parliament/Legislature (collective responsibility) and individual ministers are accountable for their departments (individual responsibility). Ultimately, to the people through elections.

Legal Accountability

Enforced through the legal framework and judicial processes. Ensures actions align with the law and constitutional provisions. Public officials can be held liable for illegal acts.

Financial Accountability

Obligation to ensure public funds are raised, spent, and accounted for in accordance with rules, and with economy, efficiency, and effectiveness. Key institution: CAG of India.

Social Accountability

Relies on civic engagement, where ordinary citizens and/or civil society organizations participate in exacting accountability. Mechanisms: Social audits, citizen report cards, public hearings.

Importance for Ethical Governance

  • Preventing Misuse of Power: Acts as checks and balances, deterring arbitrary actions, corruption, and abuse of authority.
  • Promoting Efficiency and Effectiveness: Individuals and organizations strive for better outcomes when held responsible.
  • Building Public Trust: Transparent accounting and responsible conduct foster confidence in government.
  • Ensuring Responsiveness: Includes feedback loops to make administration responsive to citizen needs.
  • Upholding Rule of Law: Reinforces that everyone, including officials, is subject to the law.
  • Enhancing Participation: Social accountability mechanisms encourage citizen involvement.

6.4.2: Mechanisms of Accountability

Accountability is enforced through a combination of internal and external mechanisms.

Internal Mechanisms

  • Hierarchy and Supervision
  • Performance Appraisal Systems (e.g., APAR)
  • Vigilance Units (DVOs, CVOs, CVC)
  • Internal Audits
  • Codes of Conduct (e.g., CCS Conduct Rules, 1964)

External Mechanisms

  • Legislative (Parliamentary Committees like PAC, Estimates)
  • Judicial (Judicial Review, PIL)
  • Constitutional Bodies (CAG, ECI, UPSC, NHRC)
  • Anti-Corruption Bodies (CVC, CBI, Lokpal/Lokayuktas)
  • Citizen-Centric (RTI Act, Social Audits, Citizen's Charters)
  • Role of Media and Civil Society Organizations (CSOs)

Table 1: Key Accountability Mechanisms

Category Internal Mechanisms External Mechanisms
Nature Within the organization/government Outside the direct control of the agency
Examples Hierarchy, Performance Appraisal, Vigilance Units, Internal Audit, Codes of Conduct Parliament (PAC), Judiciary (Judicial Review, PIL), CAG, ECI, UPSC, NHRC, CVC, CBI, Lokpal, RTI, Social Audit, Media, CSOs
Primary Focus Procedural correctness, efficiency, integrity Legality, constitutionality, financial propriety, human rights, anti-corruption, public responsiveness

6.4.3: Transparency and Openness in Governance

Definition:

Transparency: Implies that decisions are taken and enforced in a manner that follows rules and regulations. Information is freely available and directly accessible to those affected. It means acting in a way that is visible and understandable to the public.

Openness: Closely related to transparency, it refers to the government's willingness to share information, consult with citizens, and be receptive to new ideas and demands.

Significance:

  • Enhances Accountability: "Sunlight is said to be the best of disinfectants." (Justice Louis Brandeis).
  • Reduces Corruption: Secrecy breeds corruption; transparency makes illicit dealings difficult.
  • Improves Public Trust: Openness in decision-making builds confidence.
  • Facilitates Citizen Participation: Informed citizens can participate meaningfully.
  • Promotes Efficiency and Better Decision-Making: Public scrutiny leads to improvements.

Tools for Promoting Transparency and Openness:

E-governance

Use of ICT for delivering services, exchanging information. (e.g., MyGov, UMANG, GeM, Jan Samarth Portal).

Pro-active Disclosure

Mandated under Section 4 of RTI Act, 2005, for routine publication of information by public authorities.

Open Data Policy

National Data Sharing and Accessibility Policy (NDSAP, 2012) for machine-readable government data.

Digital India Initiatives

Flagship program transforming into a digitally empowered society, inherently promoting transparency.

Public Portals & Dashboards

Real-time information on scheme implementation (e.g., PM-KISAN, Swachh Bharat Mission dashboards).

Live Streaming

Live streaming of parliamentary sessions or court proceedings (e.g., SC Constitution Bench hearings).

Conclusion & Way Forward

Accountability and transparency are not merely administrative buzzwords but fundamental prerequisites for ethical governance and sustainable development. They empower citizens, constrain arbitrary power, and foster a culture of integrity and public service.

Way Forward

The significance lies in transforming governance from a ruler-subject paradigm to a citizen-centric one, where the government is truly "of the people, by the people, and for the people."

Prelims Quick Look

Mains-ready Analytical Notes

  • Effectiveness vs. Over-Accountability: Risk aversion, procedural delays ("red tape"), policy paralysis due to excessive or poorly designed mechanisms.
  • Independence of Anti-Corruption Bodies: Concerns about political influence (e.g., "caged parrot" for CBI) vs. need for government oversight.
  • RTI Act: Dilution vs. Strengthening: Debates over amendments, activists fearing dilution vs. administrative practicalities. Digital Personal Data Protection Act, 2023's impact on RTI (Section 8(1)(j) potentially overridden).
  • Social Audit - Potential vs. Reality: Challenges like lack of awareness, capacity constraints, resistance from implementing agencies, ensuring follow-up action.
  • Continuity: Executive accountability to legislature, role of CAG constant since independence.
  • Changes:
    • Shift from internal, hierarchical accountability to multi-pronged approach with increased external, citizen-centric, and social accountability (RTI, PIL, social audits post-1990s).
    • Growing recognition of "New Public Management" ideas emphasizing performance and outcomes.
    • Increased use of technology (e-governance) for transparency, bringing challenges like data privacy and digital divide.
    • Evolution of anti-corruption frameworks from departmental vigilance to statutory bodies (CVC, Lokpal).
  • Combating Corruption: Central to India's fight against corruption (India's rank in Transparency International's CPI 2023 was 93rd).
  • Good Governance & Service Delivery: Directly impacts quality of governance and efficiency of public service delivery for SDGs (e.g., Aadhar linking).
  • Strengthening Democracy: Empowering citizens with information deepens democratic participation.
  • Challenges: Political interference, lack of resources for oversight bodies, low citizen awareness, retaliation against whistleblowers/RTI activists.
  • Lokpal: Operational since 2019, effectiveness still scrutinized (cases taken up, disposed of).
  • CAG Reports: Frequent performance audit reports highlighting inefficiencies/irregularities (defense procurement, infrastructure, GST compensation).
  • RTI Activism: Numerous instances of exposing scams, uncovering environmental clearances, public expenditure details.
  • Social Audit in MGNREGA: Andhra Pradesh & Rajasthan show results in plugging leakages, though uniform effectiveness is a challenge.
  • CPGRAMS: High grievance disposal rates, but citizen satisfaction remains key metric.
  • 2nd ARC Recommendations: Emphasized strengthening RTI, strong Lokpal Bill, ethics codes, vigilance reform (many still pending).
  • Hota Committee (2004): Civil Services Reforms recommended performance management and accountability.
  • International Best Practices: Sweden (Ombudsman), New Zealand (open government practices).
  • Global Indices: Global Integrity Report, Open Budget Index assess transparency/accountability.

Current Affairs & Recent Developments

UPSC Previous Year Questions (PYQs)

Question:

The Parliament of India exercises control over the functions of the Council of Ministers through: (UPSC CSE Prelims 2017)

  1. Adjournment motion
  2. Question hour
  3. Supplementary questions

Select the correct answer using the code given below:

(a) 1 only (b) 2 and 3 only (c) 1 and 3 only (d) 1, 2 and 3

Answer: (d)

Hint/Explanation: All three are parliamentary devices to ensure executive accountability. Adjournment motion censures government on a specific urgent matter, Question Hour allows MPs to question ministers, and supplementary questions allow further probing.

Question:

With reference to the provisions contained in Part IV of the Constitution of India, which of the following statements is/are correct? (UPSC CSE Prelims 2020)

  1. They shall be enforceable by courts.
  2. They shall not be enforceable by any court.
  3. The principles laid down in this part are to influence the making of laws by the State.

Select the correct answer using the code given below:

(a) 1 only (b) 2 only (c) 1 and 3 only (d) 2 and 3 only

Answer: (d)

Hint/Explanation: This question relates to Directive Principles of State Policy (DPSP). While not directly about accountability mechanisms, DPSPs guide the state towards good governance, which implicitly includes accountability. Statement 2 is correct as DPSPs are non-justiciable. Statement 3 is correct as Article 37 states these principles are fundamental in the governance of the country and it shall be the duty of the State to apply these principles in making laws. Ethical governance is an underlying theme.

Question:

The main objective of the 'Right to Information Act, 2005' is to:

(a) Ensure punishment for corrupt officials.
(b) Secure access to information under the control of public authorities to promote transparency and accountability.
(c) Provide a framework for efficient record management in government offices.
(d) Guarantee social justice to the weaker sections of society.

Answer: (b)

Hint/Explanation: The Preamble of the RTI Act explicitly states its objective is to provide for setting out the practical regime of right to information for citizens to secure access to information under the control of public authorities, in order to promote transparency and accountability in the working of every public authority. While it can help expose corruption (leading to punishment), its primary objective is access to information for transparency and accountability.

Question:

"Institutional quality is a crucial driver of economic performance". In this context, suggest reforms in the Civil Services for strengthening democracy. (UPSC CSE Mains 2020, GS Paper II)

Direction/Value Points:

  • Discuss how robust, ethical, and accountable civil services contribute to economic performance (rule of law, transparency, efficient service delivery).
  • Suggested reforms: Strengthening accountability (internal/external), promoting transparency (ICT, proactive disclosure), ensuring impartiality/political neutrality, capacity building (ethics, public service values), performance-based incentives, robust grievance redressal.
  • Link to: Ease of doing business, reduced corruption, better policy implementation.

Question:

The Right to Information Act is not all about citizens’ empowerment alone, it essentially redefines the concept of accountability. Discuss. (UPSC CSE Mains 2018, GS Paper IV)

Direction/Value Points:

  • Explain how RTI empowers citizens (access to information).
  • Focus on redefinition of accountability: Moves from hierarchical to direct accountability to citizens, makes processes transparent, shifts onus from secrecy to openness (proactive disclosure), creates demand-driven mechanism, enables citizens as watchdogs.
  • Examples: How RTI exposed scams or led to corrective actions. Mention challenges in implementation.

Question:

What is meant by ‘social audit’? Explain how it can contribute to strengthening transparency and accountability in the implementation of public programmes. (UPSC CSE Mains - Custom)

Direction/Value Points:

  • Define social audit: Process where citizens verify/assess public scheme implementation (accessing records, public hearings).
  • Contribution to Transparency: Makes records and processes open to public scrutiny.
  • Contribution to Accountability: Directly holds implementing agencies/officials answerable, identifies leakages/corruption/inefficiencies, empowers beneficiaries, creates pressure for corrective action.
  • Examples: MGNREGA. Mention challenges (awareness, capacity, follow-up) and suggestions for effectiveness.

Test Your Knowledge: Original MCQs

Question:

Which of the following is NOT primarily an external mechanism of accountability for the executive branch in India?

(a) The Comptroller and Auditor General (CAG)
(b) The Public Accounts Committee (PAC)
(c) Departmental Vigilance Units
(d) Public Interest Litigation (PIL)

Answer: (c)

Explanation: Departmental Vigilance Units are internal mechanisms within government departments aimed at ensuring integrity and investigating internal corruption. CAG, PAC (a parliamentary committee), and PIL (a judicial tool) are all external mechanisms that scrutinize executive actions from outside the direct executive hierarchy.

Question:

Consider the following statements about Social Accountability:

  1. It primarily relies on formal legal institutions and hierarchical controls.
  2. Citizen Report Cards and Community Scorecards are tools used in social accountability.
  3. It aims to empower citizens to directly participate in holding service providers and government agencies answerable.

Which of the statements given above is/are correct?

(a) 1 and 2 only
(b) 2 and 3 only
(c) 3 only
(d) 1, 2 and 3

Answer: (b)

Explanation:
Statement 1 is incorrect: Social accountability emphasizes civic engagement and direct citizen participation rather than solely relying on formal legal or hierarchical controls.
Statement 2 is correct: Citizen Report Cards and Community Scorecards are well-known tools for gathering citizen feedback and promoting social accountability.
Statement 3 is correct: The core idea of social accountability is to empower citizens to demand answerability from government entities and service providers.

Original Mains Questions

Question:

"While India has established a multitude of accountability mechanisms, their effectiveness in ensuring ethical governance is often hampered by systemic challenges." Critically analyze this statement, suggesting practical reforms to strengthen the accountability framework in India.

Key Points/Structure:

  • Introduction: Acknowledge diverse mechanisms, state contested effectiveness.
  • Mechanisms & Intended Role: Briefly describe legislative, judicial, CVC, CAG, RTI, Lokpal.
  • Systemic Challenges: Political interference, resource constraints, procedural delays, lack of political will, low public awareness, culture of secrecy, weak enforcement, overlapping jurisdictions.
  • Practical Reforms: Ensuring independence (transparent appointments, fixed tenures), capacity building, leveraging technology (e-governance, AI), strengthening whistleblower protection, promoting social accountability, electoral reforms, ethical training, simplification of procedures.
  • Conclusion: Multi-pronged approach focusing on institutional strengthening, citizen empowerment, ethical culture.

Question:

Transparency is often hailed as the "best disinfectant" against corruption and a cornerstone of ethical governance. However, are there legitimate limitations to transparency in public administration? Discuss, while also suggesting how to strike a balance between openness and necessary confidentiality.

Key Points/Structure:

  • Introduction: Explain "sunlight is the best disinfectant" and importance of transparency.
  • Benefits of Transparency: Enhance accountability, reduce corruption, build trust, facilitate participation.
  • Legitimate Limitations: National Security, Individual Privacy (DPDP Act, 2023), Law Enforcement/Investigations, Commercial Confidentiality, Cabinet Deliberations (policy formulation stage), Privileged Communications.
  • Dangers of Excessive Secrecy: How limitations can be misused.
  • Striking a Balance: Public Interest Test, Narrowly Defined Exemptions, Independent Oversight (Information Commissions), Time-Bound Confidentiality, Redaction, Proactive Disclosure.
  • Conclusion: Emphasize default openness, robust justification for confidentiality, balance for effective governance and democratic accountability.