The Core of Good Governance
Accountability, a cornerstone of democratic governance, mandates that public officials and institutions are answerable for their actions and decisions, particularly those involving public resources and authority. It is a continuous obligation to explain, justify, and potentially face consequences for performance. This module dissects the conceptual framework of accountability (horizontal vs. vertical, and its various forms like political, administrative, legal, financial, and social), and elaborates on the critical institutional and citizen-centric mechanisms in India, including legislative oversight, judicial review, anti-corruption bodies, social accountability tools, and whistleblower protection, all designed to foster responsible and responsive governance.
Conceptual Foundations
Accountability is the obligation of an individual or organization to account for its activities, accept responsibility for them, and to disclose the results in a transparent manner.
Horizontal vs. Vertical Accountability
| Feature | Horizontal Accountability | Vertical Accountability |
|---|---|---|
| Concept | Mechanisms within the state that hold other state actors accountable. | Mechanisms through which citizens, individually or collectively, hold government accountable. |
| Relationship | Checks and balances among different branches/institutions of government. | Direct relationship between the governed and the governors. |
| Primary Goal | Prevent abuse of power, ensure adherence to rules, constitutionalism. | Ensure responsiveness to public demands, democratic legitimacy, and direct citizen control. |
| Key Actors | Legislature, Judiciary, Independent Audit Bodies, Anti-Corruption Bodies. | Citizens, Voters, Media, Civil Society Organizations (CSOs). |
| Examples (India) | Parliamentary Committees (PAC, EC), Judicial Review, CAG, CVC, Lokpal, Election Commission. | Elections, Right to Information (RTI), Protests, Social Audits, Citizen Report Cards. |
| Nature | Often formal, legal, institutional. | Can be formal (elections, RTI) or informal (social movements, media scrutiny). |
Source: IGNOU, Public Administration texts, Laxmikanth.
Diverse Forms of Accountability
Political Accountability
Concept: The answerability of the Executive (Council of Ministers) to the Legislature (Parliament/State Assemblies) and ultimately to the electorate for their policies, decisions, and overall governance.
Mechanisms: Elections, parliamentary questions, debates, motions (e.g., no-confidence motion, adjournment motion), budget discussions, parliamentary committees.
Example: If the Union Cabinet fails to secure a majority in the Lok Sabha on a critical policy, it may have to resign.
Administrative Accountability
Concept: The obligation of public servants (bureaucracy) to their superiors, the political executive, and ultimately the public for their conduct, efficiency, and adherence to rules in the implementation of policies.
Mechanisms: Hierarchical control, disciplinary rules, performance appraisal, citizen charters, grievance redressal mechanisms (e.g., CPGRAMS), vigilance agencies (CVC).
Example: A District Magistrate is accountable to the Divisional Commissioner and the state government for effective implementation of a welfare scheme in their district.
Legal Accountability
Concept: The answerability of public officials and institutions to the law. All actions must be within the bounds of law, and individuals can be held liable for legal transgressions.
Mechanisms: Judicial review, public interest litigation (PIL), contempt of court, criminal prosecution (e.g., under Prevention of Corruption Act), Lokpal/Lokayuktas.
Example: A government official engaging in bribery can be prosecuted under the Prevention of Corruption Act.
Financial Accountability
Concept: The obligation of public authorities to ensure that public funds are managed prudently, legally, and effectively, and that expenditure adheres to budgetary allocations.
Mechanisms: Parliamentary control over budget (budgetary process), pre-audit by CGA/CAG, post-audit by CAG, scrutiny by Parliamentary Committees (PAC, EC, CoPU).
Example: The CAG audits government accounts to ensure that funds are spent as authorized by Parliament and identifies any irregularities.
Social Accountability
Concept: The obligation of government and public institutions to be answerable directly to citizens and civil society organizations for the delivery of public services and utilization of resources. It focuses on empowering citizens to demand accountability.
Mechanisms: Social audits, citizen report cards, community score cards, public hearings, Right to Information (RTI), media scrutiny, civil society advocacy.
Example: Villagers conducting a social audit of MGNREGA works to verify expenditures and quality of work.
Legislative Oversight
Parliamentary Control Over Executive
The Legislature holds the executive accountable to ensure adherence to democratic principles and efficient governance through various mechanisms during normal parliamentary proceedings.
Key Tools: Question Hour (Starred, Unstarred, Short Notice), Zero Hour, Calling Attention Motion, Adjournment Motion, No-Confidence Motion, Censure Motion, and comprehensive Budgetary Control.
Role of Parliamentary Committees
Public Accounts Committee (PAC)
- Composition: 22 members (15 Lok Sabha, 7 Rajya Sabha).
- Function: Examines annual audit reports of CAG, scrutinizes government expenditure. Ensures public money is spent as authorized and economically.
- Chairman: Conventionally, from the opposition party.
Estimates Committee (EC)
- Composition: 30 members (all Lok Sabha).
- Function: Examines budget estimates, suggests economies in expenditure. Known as a "continuous economy committee."
Committee on Public Undertakings (CoPU)
- Composition: 22 members (15 Lok Sabha, 7 Rajya Sabha).
- Function: Examines reports and accounts of Public Sector Undertakings (PSUs), evaluates their efficiency and autonomy.
DRSCs
- Composition: 24 Committees (16 Lok Sabha, 8 Rajya Sabha).
- Function: Scrutinize bills, demand for grants, and annual reports of ministries for in-depth review.
Parliamentary Oversight: A Balanced View
Strengths
- Symbol of Democracy: Represents the people's will.
- Scrutiny & Deliberation: Forum for detailed discussion and questioning.
- Financial Control: Ensures propriety and accountability in public expenditure.
- Policy Influence: Can influence policy formulation.
- Information Gathering: Facilitates information flow from government to public.
- Public Grievance Redressal: Platform for raising public issues.
Weaknesses
- Executive Dominance: Ruling party's majority and whip system limit scrutiny.
- Lack of Time: Limited time for detailed scrutiny.
- Technical Expertise: Members may lack specialized knowledge.
- Committee Limitations: Recommendations often advisory, not binding.
- Frequent Disruptions: Diminish quality and quantity of work.
- Decline in Quality of Debate: Focus on political grandstanding.
- Ordinance Raj: Frequent use bypasses scrutiny.
- Lack of Independent Secretariats: Committees rely on ministry officials.
Judicial Vigilance
Judicial Review: The Constitutional Watchdog
The power of the Supreme Court and High Courts to examine the constitutionality of legislative enactments and executive orders. If found violative of the Constitution, they can be declared illegal, unconstitutional, and invalid.
Role in Accountability: Checks Executive/Legislative Overreach, Protects Fundamental Rights, Upholds Rule of Law, Maintains Constitutional Supremacy.
Example: SC striking down NJAC Act for violating basic structure.
Public Interest Litigation (PIL)
A legal action initiated for the enforcement of public interest, allowing public-spirited citizens to approach courts on behalf of the poor and oppressed.
Role:
- Democratized access to justice.
- Held executive/private bodies accountable.
- Addressed systemic injustices & social issues.
- Led to judicial innovations (epistolary jurisdiction).
Critiques:
- Judicial Overreach.
- Overburdening of Courts.
- Frivolous/Politically motivated PILs.
- Lack of Expertise.
- Cherry-picking of cases.
Activism vs. Overreach
A continuous fine line, impacting the balance of power among state organs.
Judicial Activism:
- Judges go beyond interpretation to shape public policy.
- Necessary check when other branches fail.
- Example: Directives on environmental protection, police reforms.
Judicial Overreach:
- Judiciary encroaches upon powers of executive/legislature.
- Violates separation of powers.
- Example: Quashing policies without alternatives, administrative directives (e.g., liquor ban near highways).
Contempt of Court: Upholding Judicial Authority
Any conduct that lowers the authority of a court, interferes with justice, or obstructs administration of justice (Contempt of Courts Act, 1971).
Implications for Accountability:
- Protects Judicial Authority and Independence.
- Ensures Compliance with Judicial Orders.
- Checks Misinformation.
Criticisms:
- Can curb free speech (Art. 19(1)(a)).
- Lack of clarity in definition ("scandalizing the court").
- Judiciary acts as judge in its own cause.
Guardians of Integrity
CAG
Constitutional Body (Art. 148). Guardian of public purse.
Role:
- Audits govt accounts (Union/State), PSUs.
- Ensures propriety and regularity.
- Conducts Performance Audits (efficiency, economy, effectiveness).
- Submits reports to President/Governor.
CVC
Statutory Body (CVC Act, 2003, Santhanam Committee).
Mandate & Limitations:
- Apex vigilance institution.
- Supervises CBI (P.C. Act cases).
- Limitations: Advisory body only, no prosecution power, depends on CBI.
Lokpal & Lokayuktas
Anti-corruption ombudsman (Act 2013).
Powers & Challenges:
- Jurisdiction: PM (with safeguards), Ministers, MPs, Central Govt. officials.
- Powers: Inquiry, investigation, asset confiscation.
- Challenges: Delays in appointments, LoP issue, limited jurisdiction, low cases.
CBI & ED
CBI: Premier investigative agency. ED: Investigates money laundering.
Issues of Autonomy:
- CBI: "Caged parrot" criticism, state consent, no statutory status.
- ED: Allegations of political targeting, increased powers, low conviction rate.
Protecting the Watchdogs
Whistle Blowers Protection Act, 2014
Key Features
- Scope: Covers public servants, disclosures of corruption/misuse of power.
- Competent Authority: CVC for Central government employees (except PM, Ministers, MPs, defence/security).
- Identity Protection: Mandates identity of complainant not revealed (with exceptions).
- Protection against Victimization: Penalizes harassment, transfers, dismissal.
- Penalty for False Complaints: Provisions for intentional false complaints.
Gaps & Limitations
- Exclusions: Initially excluded PM/Ministers/MPs (later addressed by Lokpal Act's jurisdiction), private sector.
- Identity Safeguards: Concerns that protection may be insufficient in practice.
- Punitive Provisions: Punishes disclosure of exempt information (e.g., under Official Secrets Act) even if in public interest, deterring genuine whistleblowers.
- No Fixed Timeline: Can lead to inquiry delays.
- Limited Awareness/Implementation: Low public awareness and few reported cases.
- Proposed Amendments (2015): Attempts to weaken the Act by adding more exemptions (bill lapsed).
Challenges Faced by Whistleblowers
Despite legal frameworks, individuals who expose corruption often face severe repercussions.
- Retaliation & Victimization: Harassment, forced transfers, suspension, dismissal, social ostracism, physical attacks, and even murder (e.g., Satyendra Dubey, Manjunath Shanmugam).
- Lack of Trust in System: Fear of identity revelation and insufficient protection.
- Legal Costs & Harassment: Facing defamation suits or legal challenges.
- Psychological & Emotional Toll: The process can be mentally exhausting and isolating.
- Difficulty in Proving Allegations: Challenging and risky to gather evidence.
- Limited Awareness: Many are unaware of their rights or legal protections.
Path to Stronger Governance
Accountability mechanisms are the lifeblood of a functioning democracy, translating the ideal of good governance into tangible practices. India has a robust constitutional and legal framework for accountability, encompassing legislative, judicial, institutional, and social dimensions. However, challenges persist, ranging from bureaucratic inertia and political interference to the safety of activists and the effective implementation of laws like Lokpal and Whistleblower Protection.
The Way Forward Requires:
- Strengthening Institutions: Ensuring autonomy, adequate resources, and timely appointments for bodies like Lokpal, CVC, and ICs.
- Bureaucratic Reforms: Fostering a culture of responsibility, ethics, and outcome-orientation (e.g., Mission Karmayogi).
- Judicial Reforms: Addressing pendency, ensuring judicial restraint while upholding activism for justice delivery.
- Deepening Social Accountability: Empowering citizens through effective RTI, widespread social audits, and robust grievance redressal mechanisms.
- Protecting Whistleblowers: Enacting a comprehensive and effective whistleblower protection law that covers all sectors and provides robust safeguards.
By continuously refining and strengthening these mechanisms, India can enhance public trust, reduce corruption, and ensure a truly transparent and accountable governance system that serves its citizens effectively.
Exam Prep Insights
Prelims-Ready Notes
- Conceptual Framework: Horizontal vs. Vertical (state checks vs. citizen checks); Types (Political, Administrative, Legal, Financial, Social) with examples.
- Legislative Accountability: Tools (Question Hour, Motions), Committees (PAC, EC, CoPU - composition, function); Strengths/Weaknesses.
- Judicial Accountability & Review: Judicial Review (constitutional basis, role), PIL (role, critiques), Judicial Activism vs. Overreach (concept, examples), Contempt of Court (types, role, criticism).
- Institutional Mechanisms for Anti-Corruption: CAG (Art. 148, Performance Audits), CVC (Statutory, advisory), Lokpal (Act 2013, structure, challenges), CBI/ED (Role, autonomy issues).
- Social Accountability: Concept, Significance; Social Audit (process, benefits, challenges); CRCs, CSCs; Role of Media & CSOs.
- Whistleblower Protection: WBP Act, 2014 (features, gaps); Challenges for Whistleblowers.
Mains-Ready Analytical Notes
- Major Debates/Discussions: Effectiveness of Parliamentary Oversight, Judicial Overreach vs. Activism, Autonomy of Anti-Corruption Bodies, Social Accountability vs. Formal Mechanisms, Whistleblower Protection Gaps.
- Historical/Long-term Trends: Post-Independence Institution Building, Judicial Innovations (PIL), Rise of Citizen-Centric Accountability (RTI), Anti-Corruption Movements, Digital Tools for Accountability.
- Contemporary Relevance/Significance/Impact: Economic Governance, Democratic Consolidation, Combating Corruption (CPI ranking), SDGs (SDG 16), Crisis Management.
- Real-world/Data-backed Recent Examples: CAG Audits, Lokpal's Functioning, ED's Increased Activity, Social Audit in MGNREGA, Parliamentary Scrutiny.
- Value-Added Points: 2nd ARC Reports, Supreme Court Judgments, OECD Principles, UNCAC.
Current Developments in Accountability
Discussions on CBI and ED Autonomy
Ongoing debates in Parliament and media about the autonomy of CBI and ED, especially in high-profile cases involving political figures. Supreme Court has also heard petitions challenging ED's powers under PMLA.
Implementation of Lokpal
While functional since 2019, challenges in full operationalization, independent infrastructure, and the volume of complaints received remain points of discussion.
Proposed Amendments to Criminal Laws
The proposed overhaul of India's major criminal laws (Bharatiya Nyaya Sanhita, etc.) includes provisions that might indirectly impact investigative, prosecution, and evidence processes, affecting legal accountability.
Judicial Infrastructure Development
Government initiatives to improve judicial infrastructure aim to address the backlog of cases, indirectly strengthening judicial review and access to justice as accountability tools.
Outcome-Based Budgeting & Monitoring
Continued push towards outcome-based budgeting and real-time monitoring through digital dashboards aims to enhance financial and administrative accountability by focusing on results, not just expenditure.
UPSC Question Bank
Prelims MCQs
UPSC CSE Prelims 2017
1. The Parliament of India acquires the power to legislate on any item in the State List in the national interest if a resolution to that effect is passed by the:
- (a) Lok Sabha by a simple majority of its total membership
- (b) Lok Sabha by a majority of not less than two-thirds of its total membership
- (c) Rajya Sabha by a simple majority of its total membership
- (d) Rajya Sabha by a majority of not less than two-thirds of its members present and voting
Answer: (d)
Hint: This relates to legislative accountability to states (federalism) and the special powers of Rajya Sabha (Art. 249).
UPSC CSE Prelims 2016
2. Which of the following is not a constitutional body?
- (a) Election Commission of India
- (b) Finance Commission
- (c) National Commission for Scheduled Castes
- (d) Central Information Commission
Answer: (d)
Hint: CIC is a statutory body established under the RTI Act, 2005. This tests knowledge of institutional accountability mechanisms' constitutional status.
UPSC CSE Prelims 2018
3. With reference to the 'Santhanam Committee', which of the following statements is/are correct?
- 1. It recommended the establishment of the Central Vigilance Commission.
- 2. It emphasized the importance of a Code of Conduct for public servants.
Select the correct answer using the code given below:
- (a) 1 only
- (b) 2 only
- (c) Both 1 and 2
- (d) Neither 1 nor 2
Answer: (c)
Hint: The Santhanam Committee is famously associated with the establishment of CVC and recommendations on probity/conduct rules, directly relevant to anti-corruption mechanisms.
Original MCQ 1
1. Consider the following statements regarding the Central Vigilance Commission (CVC):
- 1. The CVC is a constitutional body established to advise the Central Government on vigilance matters.
- 2. It exercises superintendence over the functioning of the Central Bureau of Investigation (CBI) in investigating offences under the Prevention of Corruption Act.
- 3. Its recommendations are binding on the government.
Which of the statements given above is/are correct?
- (a) 1 only
- (b) 2 only
- (c) 1 and 3 only
- (d) 1, 2 and 3
Answer: (b)
Statement 1 is incorrect because CVC is a statutory body (CVC Act, 2003), not constitutional. Statement 3 is incorrect because its recommendations are advisory, not binding. Statement 2 is correct, CVC does have superintendence over CBI regarding P.C. Act cases.
Hint: Distinguish between constitutional and statutory bodies, and know the powers of CVC.
Original MCQ 2
2. Which of the following is considered a mechanism of 'Vertical Accountability'?
- (a) Public Accounts Committee (PAC) scrutinizing CAG reports.
- (b) Judicial Review of a legislative act by the Supreme Court.
- (c) Citizens participating in a social audit of a government scheme.
- (d) The Comptroller and Auditor General (CAG) auditing government expenditure.
Answer: (c)
Vertical accountability involves citizens directly holding the government accountable. Options (a), (b), and (d) are examples of horizontal accountability, where one state institution checks another. Social audit, involving community participation, is a prime example of vertical accountability.
Hint: Remember the key difference between horizontal and vertical accountability.
Mains Descriptive Questions
UPSC CSE Mains GS-II 2021
1. "Judicial Legislation is antithetical to the doctrine of separation of powers as envisaged in the Indian Constitution. In this context, justify the filing of a large number of Public Interest Litigations (PILs) questioning the Executive and Legislative decisions."
Hint: Balance the concept of judicial overreach with the necessity of PILs for justice and accountability when other branches fail.
UPSC CSE Mains GS-II 2018
2. "In the context of the reforms in the Indian financial system, analyze the role of the Comptroller and Auditor General of India (CAG) as a guardian of the public purse."
Hint: Focus on CAG's constitutional role, types of audits, and impact on financial accountability. Discuss recent shifts and challenges.
UPSC CSE Mains GS-II 2017
3. "The concept of collaborative governance model, with greater citizen participation, has gained currency across the world. Analyze the opportunities and challenges of this model in the Indian context."
Hint: Relate this to social accountability mechanisms like social audits, CRCs, and Gram Sabhas. Discuss both positives and hurdles.
Original Mains Question 1
1. "While India possesses a robust constitutional and institutional framework for accountability, its effective implementation often falls short. Critically examine the challenges faced by key anti-corruption and investigative agencies (CBI, ED, Lokpal) in upholding probity in public life and suggest measures to enhance their autonomy and effectiveness." (15 Marks, 250 Words)
Hint: Focus on specific challenges for each agency and provide actionable reform measures for their independence and efficiency.
Original Mains Question 2
2. "Social accountability mechanisms have emerged as powerful tools for empowering citizens and improving governance at the grassroots level. Discuss the process and benefits of 'social audit' in India, particularly in the context of welfare schemes, and identify the key challenges hindering its widespread success." (10 Marks, 150 Words)
Hint: Detail the steps of a social audit, its advantages (especially for MGNREGA), and the practical difficulties in its implementation.
Social Accountability: Citizen Power
Concept & Significance
Mechanisms through which ordinary citizens and civil society organizations can participate directly or indirectly in holding the state accountable. It involves a bottom-up approach to governance.
Significance:
Social Audit: Process & Impact
Social Audit Process
A community-led examination of government programs and fund utilization.
Benefits & Challenges
Mandated for MGNREGA, it has shown tangible benefits but faces systemic hurdles.
Benefits (MGNREGA Example):
Challenges:
Citizen Report Cards (CRCs)
Concept: Assess public service performance from users' perspective (quality, accessibility, responsiveness).
Benefits: Provides comparative data, identifies service delivery gaps, informs advocacy, creates pressure for improvement. (Pioneered by PAC, Bengaluru).
Community Score Cards (CSCs)
Concept: Community-based monitoring tool; facilitates dialogue between service providers and communities to jointly monitor quality.
Benefits: Fosters local ownership, improves communication, promotes problem-solving, builds trust.
Media & Civil Society Role
Role of Media
Role of Civil Society Organizations (CSOs)