Accountability and Ethical Governance

IASNova Smart-Prep Module for UPSC Ethics (GS-IV)

1. Meaning & Importance of Accountability in Public Administration

Accountability means that public officials are answerable for actions, decisions, performance, and use of public funds. They must justify actions before citizens, government institutions, courts, Parliament, media, and regulatory authorities.

Dimensions of Accountability

• Answerability – obligation to justify decisions
• Enforceability – sanctions for wrongdoing
• Responsiveness – taking corrective action
• Transparency – open public scrutiny
• Responsibility – ethical conduct beyond legality

Why Accountability Matters

• Prevents corruption & abuse of power
• Strengthens democracy & trust
• Ensures ethical use of public money
• Improves efficiency & service delivery
• Reduces arbitrariness in decision-making

flowchart LR
  classDef green fill:#E8F8F5,stroke:#148F77,color:#117864;
  classDef blue fill:#D6EAF8,stroke:#2E86C1,color:#1B4F72;

  A["Accountability"]:::green --> B["Answerability"]:::blue
  A --> C["Transparency"]:::blue
  A --> D["Responsiveness"]:::blue
  A --> E["Enforceability"]:::blue
  

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2. Types of Accountability Relevant for UPSC

A. Administrative Accountability

• Internal controls (SOPs, manuals, service rules)
• Vigilance mechanisms & inspections
• Departmental discipline
• Review & monitoring

flowchart TB
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;
  classDef o fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;

  A["Admin Accountability"]:::g --> B["Vigilance"]:::o
  A --> C["Departmental Controls"]:::o
  A --> D["Monitoring"]:::o
  

B. Legal Accountability

• Constitution & statutory obligations
• Judicial review
• Tribunals, commissions
• RTI Act

flowchart LR
  classDef b fill:#D6EAF8,stroke:#2E86C1,color:#1B4F72;
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["Legal Accountability"]:::b --> B["Rule of Law"]:::g
  A --> C["Judicial Review"]:::g
  A --> D["RTI"]:::g
  

C. Financial Accountability

• Budget control
• CAG audits
• PAC oversight
• Scrutiny of procurement & contracts

flowchart TB
  classDef f fill:#FDEDEC,stroke:#C0392B,color:#922B21;
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["Financial Accountability"]:::g --> B["CAG Audit"]:::f
  A --> C["Budgetary Control"]:::f
  A --> D["Procurement Oversight"]:::f
  

D. Political Accountability

• Answerability to Parliament/Assemblies
• Questions, debates, motions
• CAG reports examined by PAC
• Electoral accountability

flowchart LR
  classDef p fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["Political Accountability"]:::p --> B["Parliamentary Oversight"]:::g
  A --> C["Electoral Control"]:::g
  

E. Social Accountability

• Social audits
• Public hearings
• Citizen monitoring
• Community scorecards

flowchart TB
  classDef y fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["Social Accountability"]:::y --> B["Social Audits"]:::g
  A --> C["Public Hearings"]:::g
  A --> D["Community Monitoring"]:::g
  

F. Professional Accountability

• Ethical codes of conduct
• Competence & impartiality
• Adherence to values: integrity, objectivity
• Commitment to public interest

flowchart LR
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;
  classDef o fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;

  A["Professional Accountability"]:::g --> B["Integrity"]:::o
  A --> C["Objectivity"]:::o
  A --> D["Impartiality"]:::o
  

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3. Barriers to Accountability in Public Governance

A. Excessive Discretion & Opaqueness

• Opaque decision-making
• Poor documentation
• Delayed RTI responses
• Complex procedures encourage misuse

flowchart LR
  classDef r fill:#FDEDEC,stroke:#C0392B,color:#922B21;
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["Excessive Discretion"]:::r --> B["Opaque Decisions"]:::r
  B --> C["Weak Accountability"]:::g
  

B. Weak Institutional Capacity

• Shortage of trained personnel
• Delays in courts & tribunals
• Poor grievance redressal

flowchart TB
  classDef r fill:#FDEDEC,stroke:#C0392B,color:#922B21;
  classDef y fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;

  A["Weak Capacity"]:::r --> B["Backlogs"]:::y
  A --> C["Slow Redressal"]:::y
  

C. Corruption & Collusion

• Abuse of delegated authority
• Bribery & patronage networks
• Collusion with private lobbies

flowchart LR
  classDef r fill:#FDEDEC,stroke:#C0392B,color:#922B21;

  A["Corruption"]:::r --> B["Collusion"]:::r
  B --> C["Breakdown of Accountability"]:::r
  

D. Political Interference

• Frequent transfers
• Pressure to favour specific groups
• Undermines professional autonomy

flowchart TB
  classDef r fill:#FDEDEC,stroke:#C0392B,color:#922B21;

  A["Political Interference"]:::r --> B["Loss of Autonomy"]:::r
  B --> C["Weak Governance"]:::r
  

E. Low Citizen Awareness

• Limited awareness of rights
• Low digital literacy
• Fear of retaliation

flowchart LR
  classDef y fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;

  A["Low Awareness"]:::y --> B["Weak Community Monitoring"]:::y
  B --> C["Reduced Accountability"]:::y
  

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4. Ethical Governance – Meaning, Features & Significance

Ethical governance means governing with integrity, transparency, fairness and concern for public interest, ensuring just outcomes for all citizens, especially the vulnerable.

Key Features of Ethical Governance

• Public interest above private gain
• Transparency in decision-making
• Fairness, equity and non-discrimination
• Responsiveness and compassion
• Rule of law + moral values (integrity, honesty)
• Zero tolerance for corruption
• Citizen-centric service orientation

Why Ethical Governance Matters

• Builds trust in institutions
• Promotes social justice
• Reduces arbitrariness & misuse of power
• Improves service quality & outcomes

flowchart TB
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;
  classDef o fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;

  A["Ethical Governance"]:::g --> B["Public Interest"]:::o
  A --> C["Transparency"]:::o
  A --> D["Fairness & Equity"]:::o
  A --> E["Zero Corruption"]:::o
  

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5. Instruments of Accountability & Ethical Governance

A. RTI Act

• Empowers citizens to seek information
• Reduces secrecy & arbitrary decisions
• Strengthens participatory democracy

flowchart LR
  classDef b fill:#D6EAF8,stroke:#2E86C1,color:#1B4F72;

  A["RTI Act"]:::b --> B["Information Access"]:::b
  B --> C["Transparency & Accountability"]:::b
  

B. Social Audits

• Community verification of records (e.g., MGNREGA)
• Detects leakages & fake beneficiaries
• Strengthens grassroots democracy

flowchart TB
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["Social Audit"]:::g --> B["People Verify Records"]:::g
  B --> C["Exposes Corruption & Leakages"]:::g
  

C. Lokpal & Lokayukta

• Investigate corruption complaints against public functionaries
• Provide independent anti-corruption mechanism

flowchart LR
  classDef r fill:#FDEDEC,stroke:#C0392B,color:#922B21;
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["Complaints of Corruption"]:::r --> B["Lokpal / Lokayukta"]:::g
  B --> C["Inquiry & Action"]:::g
  

D. CAG (Comptroller & Auditor General)

• Audits government receipts & expenditure
• Reports to Parliament for discussion & action

flowchart TB
  classDef b fill:#D6EAF8,stroke:#2E86C1,color:#1B4F72;

  A["Public Money Spent"]:::b --> B["CAG Audit"]:::b
  B --> C["Report to Legislature"]:::b
  

E. Vigilance & Whistleblower Mechanisms

• CVC, departmental vigilance
• Whistleblower Protection Act
• Encourages reporting of wrongdoing

flowchart LR
  classDef y fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;

  A["Whistleblower"]:::y --> B["Reports Misconduct"]:::y
  B --> C["Vigilance Inquiry"]:::y
  

F. Citizen’s Charter

• Defines service standards
• Promotes time-bound delivery
• Supports grievance redressal

flowchart TB
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["Citizen's Charter"]:::g --> B["Service Standards"]:::g
  B --> C["Improved Responsiveness"]:::g
  

G. E-Governance Tools

• Online portals, dashboards, real-time monitoring
• Reduces human interface & leakage
• Creates digital audit trails

flowchart LR
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;

  A["E-Governance"]:::g --> B["Less Discretion"]:::g
  B --> C["Higher Transparency"]:::g
  

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6. Strengthening Accountability & Ethical Governance – Reform Framework

A. Legal & Institutional Reforms

• Strengthen anti-corruption laws
• Enhance autonomy of oversight bodies
• Streamline grievance redressal

B. Civil Service Reforms

• Fixed tenure for key posts
• Merit-based postings & promotions
• Performance-linked appraisal

C. Ethical Capacity Building

• Ethics & EI training
• Value-based recruitment
• Role-modelling by senior leaders

D. Citizen Empowerment & Participation

• Awareness of rights & tools (RTI, social audit)
• Community participation in monitoring

E. Technology & Digital Tools

• Digital dashboards, online portals
• End-to-end workflow tracking
• Open data for public scrutiny

F. Cultural & Organisational Change

• Tone-from-the-top by leaders
• Reward ethical behaviour
• Protect whistleblowers

flowchart TB
  classDef g fill:#E8F8F5,stroke:#148F77,color:#117864;
  classDef o fill:#FEF5E7,stroke:#E67E22,color:#6E2C00;

  A["Reform Measures"]:::g --> B["Stronger Laws & Institutions"]:::o
  A --> C["Civil Service Reforms"]:::o
  A --> D["Ethics Training"]:::o
  A --> E["Citizen Participation"]:::o
  A --> F["Digital Governance"]:::o
  A --> G["Ethical Culture"]:::o
  

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7. SMART SUMMARY – Quick Revision Table

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