For Civil Services Main Examination

CASE STUDIESinETHICS, INTEGRITY

& APTITUDE

Foreword by

Mukund Kaushal, IPS (Retd)Former Secretary, Internal Security Ministry of Home A�airs, Government of India

Test Prep

Series

EDGER Rajagopalan’s

Answer Writing Methodologies

Solved Previous Years’ Papers

111 Real Life Case Studies

Brief Introduction to Ethics

A PREVIEW

2017

R RajagopalanFormer Professor

Indian Institute of Technology Madras

Foreword by

Mukund Kaushal, IPS (Retd.)Former Secretary, Internal Security

Ministry of Home Affairs, Government of India

CASE STUDIESin

ETHICS, INTEGRITY& APTITUDE

For Civil Services Main Examination

Published byOakbridge Publishing Pvt. Ltd.

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Copyright © Oakbridge Publishing Pvt. Ltd., 2017

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ISBN: 978-81-934734-1-2

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About the Author

R Rajagopalan holds a BE (Honours) degree in Mechanical Engineering from the University of Madras and M Tech and PhD degrees in Industrial Management from the Indian Institute of Technology (IIT) at Kanpur, India. He has taught for over 30 years at IIT Kanpur and IIT Madras, handling a variety of courses in engineering, management, environment, and social sciences.

At IIT Madras, Professor Rajagopalan was also the Director of the International Ocean Institute (IOI, India) and coordinated several international ocean and environment-related courses and workshops. He was a member of the Governing Board of the International Ocean Institute, Malta, during 2003–2009.

Professor Rajagopalan has published 15 books on environment for schools, colleges, the general reader, and the Civil Services Examination. His book Environment and Ecology, specially designed for the Civil Services Examination, has been extremely popular with the the aspirants.

Since 2008, Professor Rajagopalan has been a facilitator for a series of programmes on ‘Ethics in Public Governance’, organized by Initiatives of Change, Panchgani, and the IC Centre for Governance, Delhi. In these programmes he has addressed officers of the central services (IAS, IPS, and IRTS), state governments, municipal corporations, and public sector units.

About the Author Foreword

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Foreword

Foreword Foreword

It is not easy to write an ‘interesting’ book on a subject like ‘Ethics’ which can retain attention of readers specially civil service aspirants, who are a great variety of hard working young persons from different backgrounds and disciplines and sometimes in a hurry to understand the varied nuances of the subject. Professor R Rajagopalan’s methodology of sharing real life experiences of people who have handled the ethical challenges and dilemmas in their official capacity as well as their private lives, have made this complex subject easy to learn. The strength of these people was that they lived ‘ethics’ in their lives. He has very analytically deliberated the implications of the situations and options available before the protagonists. This has made it simple for the readers to understand the various crucial issues relating to ethics. It also gives an opportunity to the aspirants to place themselves in the same position and take a view on dealing with the challenges.

Professor Rajagopalan has collected a large variety of cases of ethical dilemmas from the domain of public governance, business world and some individual cases. He has taken pains to explain the process of critically analysing the case studies and its resolution. While introducing the concept of ethics and its dilemmas, he has raised a very relevant and key question- ‘why is it difficult to do the ‘right’ thing, always?’ This encompasses the complete domain of ethical challenges.

I have the privilege of knowing Professor Rajagopalan for the last nine years. He is a very simple and pleasant person with a serious and deep thinking mind. He is consistent and has the capacity to present a very complex and difficult issue in an easy to understand manner. He makes apt and convincing observations. Besides, his astute sense of humour is his strength. I marvel at his patience, perseverance and commitment in lending a story-like shape and substantive meaning to a large number of real life cases of ethical challenges from different walks of life.

I am sure civil service aspirants will find the book very useful and of great help in understanding this subject.

Mukund Kaushal, IPS (Retd.) Former Secretary, Internal Security

Ministry of Home Affairs, Government of India

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Preface

Preface Preface

Do spend a few minutes to read this Preface. It will help you use the book better.

Why would you need an exclusive book on case studies? ● 50% marks in GS IV Ethics paper are for case studies.

● Many of you may have already read notes/books or attended classes on Ethics, but may wish to hone your skills in analysing case studies.

● You may like to practise with a variety of case studies.

What are the special features of this book? ● An analysis of the pattern of cases that have appeared in the UPSC Ethics

Paper and a suggested strategy for tackling the case studies in Section B of the Paper.

● A set of guidelines for analysing any case and writing the answer.

● Cases covering all areas of the UPSC syllabus, including potential ones that have not figured so far in the Examination.

● Realistic cases: About half of the 111 cases are based on true stories, events, and news reports.

● All the cases from UPSC Ethics Paper of the years 2013-15 (with Suggestions for Analysis and Resolution)

● Model Answers to the Case Studies in the 2016 Ethics Paper

I assume that you have gone through (or you are now going through) the Ethics theory by reading a book/notes or attending a coaching class. This is not a replacement for a book on Ethics, only a supplement on case studies. It is primarily intended for practice with cases.

I have used a conversational approach in this book, addressing you directly. There is no rule that all textbooks or exam-prep books must only be in the third person. I believe that my method would help you understand the cases and their analysis better.

Many of the cases are based on true stories. Since I do not know the exact details and I do not wish to violate any person’s privacy, I have changed the names, location, etc., to protect the identities. I have also modified the cases in the interest of brevity and clarity. I have written or rewritten every case in my own words.

x Preface

What is the plan of this book? ● This Preface is followed by an analysis of all the cases that have appeared in

the UPSC Examination since 2013. I have classified them into meaningful categories and I also suggest an examination strategy for you.

● Chapter 1 is a short introduction to Ethics. If you have already studied the subject, you can skip this chapter. Or, you can use it for a quick revision.

● Chapter 2 discusses the possible expectations of UPSC with regard to cases and suggests a set of guidelines for tackling any case you may encounter in the examination.

● The remaining chapters are cases in different categories with suggestions for analysis.

● The Appendices include:

o All the cases in the UPSC Ethics Paper 2013 to 2015 with suggestions for analysis and resolution.

o Complete model answers for the cases in the Ethics Paper of 2016.

What is the best way of using this book? ● Focus on Chapter 2, which describes how you should handle case studies in

the examination. ● Study the Model Answers given in the Appendix. ● Practise, practise, and practise with the cases in the other chapters using the

guidelines given in Chapter 2. ● You can pick up any case to practise your skill, but focus more on Chapters

3 and 4.

What are the sources of the case studies in this book? ● Newspapers, books, websites, and videos, including true stories from India

and abroad. ● True stories of ethical officers. ● Some cases created out of my life experience.

What about the theory part of the Ethics paper? I am now working on a main book for the General Studies Paper IV (Ethics,

Integrity and Aptitude) covering the theory on this subject. The book will soon be published by OakBridge.

How can you keep up with the latest examination questions and other developments?

Access my special blog for this book:

https://ethics-ias.blogspot.com/

How am I qualified to write books on Ethics? Since 2008, I have been a facilitator in a large number of programmes entitled ‘Ethics in Public Governance’ for officers of IAS and other central services as well as those from the state governments and public sector units. These programmes are organized by the Initiatives of Change, Panchgani, and the IC Centre for Governance, Delhi.

Preface xi

Terms and notations:

● The term ‘Ethics Paper’ is used to denote the General Studies Paper IV (Ethics, Integrity and Aptitude) of the UPSC Civil Services Examination.

● The term ‘UPSC Case’ refers to a case that appeared in the Ethics Paper in some year.

● The cases from the Ethics Papers are identified thus:

o UPSC 2016 — Q. No. 10 means Question No. 10 in the UPSC Ethics Paper of 2016.

● Cases created for this book are numbered thus:

o Case A-05 means Case No. 5 under the Category A (the categories are explained in the section ‘Analysis of UPSC Cases’ that follows this Preface.)

I hope that you will return to this book even after the examination. The process of analysing and resolving the cases in this book could lead to an examination of your life and a possible way of living a good life.

Please give me feedback on the presentation and contents of this book and, in particular, on the guidelines for analysis. My email id is: rrgopalanethics@gmail.com.

Bangalore R. Rajagopalan

Acknowledgments

I am grateful to the following individuals, who have taught me a lot about ethics and also permitted me to use ideas from their life experiences and prepared case studies:

● Sri Prabhat Kumar, IAS (Retd), former Cabinet Secretary and Governor of Jharkhand; currently President, IC Centre for Governance, Delhi.

● Sri Mukund Kaushal, IPS (Retd), former Police Commissioner Delhi, DG CRPF, and former Secretary, Internal Security, Union Home Ministry; currently Vice-President, IC Centre for Governance, Delhi. (I thank him also for writing the Foreword to this book.)

● Sri Shanti Narain, former Member, Railway Board, and currently Secretary-General, IC Centre for Governance, Delhi.

● Dr Ravindra Rao, Director, Initiatives of Change, Panchgani.

● Sri Kiran Gandhi, Trustee, Initiatives of Change, Panchgani.

● Sri Sudhir Gogte, Trustee, Initiatives of Change, Panchgani.

● Sri Seenu Iyengar, Course Director, Initiatives of Change, Panchgani.

● Sri S.C. Vishwakarma, Sri Sanjay and Sri K.S. Singh, Executives of Coal India Ltd for permitting me to use their stories.

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Pattern of Case Studies in the Ethics Paper and an Examination Strategy

Pattern of Case Studies in the Ethics Paper and an Examination Strategy Pattern of Case Studies in the Ethics Paper and an Examination Strategy

Is there a pattern in the cases that have appeared in the Ethics Paper? The Ethics Paper is still evolving and it is perhaps too early to look for a pattern. However, we need a strategy right now. So let us analyse the cases that appeared in the Ethics Paper from 2013 to 2016 as well as the three cases in the Sample Paper released by UPSC when the paper was introduced.

In most of the UPSC cases, there is a leading character or a protagonist, who has the responsibility and authority to take action under the given circumstances. Such a protagonist is most often a public official and in some cases a business executive.

In other cases, the protagonist is a citizen or an employee, who is not the authority, but faces all the same an ethical issue at work or in the society. Finally, there are cases in which an individual faces an ethical dilemma in personal life.

The protagonist could be ‘you’ with a designation and authority. In some cases, ‘you’ are asked to advise the protagonist.

In many instances, at the end of the case, some options are suggested for the protagonist. Sometimes, you are also asked to come up with more options. You are required to list the merits and demerits of each option. At the end, you must recommend one or more options, justifying your choice.

How do we then classify the UPSC cases? I have classified the UPSC cases under the following categories, based on who the protagonist is:

Table A: Classification of Cases in the Ethics Paper (2013-2016)

Cat. Category Description No. of Cases

Year (Q. No.)

A Government officials facing ethical issues at work

13 Sample paper (6) 2013 (9, 10, 12, 13) 2014 (11, 13) 2015 (10, 12, 13, 14) 2016 (11, 12)

B Business executives facing ethical issues at work

4 2014 (12) 2015 (9, 11) 2016 (13)

xiv Pattern of Case Studies in the Ethics Paper and an Examination Strategy

Cat. Category Description No. of Cases

Year (Q. No.)

C Individuals facing ethical issues at workplace and in personal life

6 Sample paper (4, 5) 2013 (11, 14) 2016 (9, 14)

D Public Policy issues 4 2014 (9, 10, 14) 2016 (10)

E Other Areas of Applied Ethics 0 No questions so far

Total 27

Questions in Category D are not really case studies, since there are no characters and no story. They are almost like theory questions on policy issues. Strangely, three of the six questions in Section B of the 2014 Paper were on such public policy issues. This is not likely to happen again.

Category E includes other areas such as international ethics and medical ethics. Please note that some cases could fall in more than one category.

What are some examples of UPSC cases in each category? A. A public official facing an ethical issue:

● Addressing faulty construction in a municipality

● Facing pressure in recruitment from a senior official ● Facing pressure to disclose sensitive information

● Responding to social prejudice in villages

● Facing public and private ethics

B. A business executive facing an ethical issue:

● Responding to demand for bribe by government official

● Facing social issues in setting up an industry

C. An individual facing an ethical issue at workplace or in personal life:

● Responding to unethical practice in company

● Responding to sexual harassment at workplace

● Facing the issue of a friend copying in the examination

D. Public Policy issues:

● Issues of environment versus development

● General issues of ethics in public service

● Issues of displacement due to development

Pattern of Case Studies in the Ethics Paper and an Examination Strategy xv

What does Table A tell us? ● The maximum number of cases is under Category A. This is to be expected,

since UPSC wants to test your ethical outlook and standards as a potential civil servant.

● Cases in personal life and those in other areas such as international ethics and medical ethics have not appeared so far in the Ethics Paper. These are potential areas for questions.

How does this book use the classification shown in Table A? The number of cases under each category in this book roughly follows the proportion in Table A:

Table B: Cases by Category in this Book

Category Protagonist/Topic No. of Cases

A Public officials 51

B Business executives 15

C Individuals 20

D Public policy issues 15

E Other areas 10

Total 111

In addition, the 27 cases in the Ethics Papers of 2013-2016 have been classified and analysed.

What should be your preparation strategy for the case studies? I suggest the following strategy:

● Practice case analysis in the following order:

o Cases of government officials facing ethical issues

o Cases of business executives facing ethical issues

o Cases involving Public Policy issues

o Cases in other areas

● Study the documents related to ethics in public governance such as the ARC II Report on Ethics in Public Governance, and the Code of Conduct Rules for Civil Servants.

When you read a case and answer the questions, apply the guidelines given in Chapter 2.

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BRIEF CONTENTS

About the Author v Foreword vii Preface ix Pattern of Case Studies in the

Ethics Paper and an Examination Strategy xiii

Chapters

1. Introduction to Ethics and Ethical Dilemmas 1

2. Methods of Case Analysis and Resolution 5

3. Category A: Case Studies of Public Officials (Set I) 17

4. Category A: Case Studies of Public Officials (Set II) 43

5. Category B: Case Studies of Business Executives 73

6. Category C: Case Studies of Individuals 89

7. Category D: Ethical Issues in Public Policy 103

8. Category E: Case Studies from Other Areas of Applied Ethics 109

Appendices A. Cases from UPSC Ethics Paper 2013-15 by Category (with

Suggestions for Analysis and Resolution) 119

B. Model Answers to the Case Studies in the 2016 Ethics Paper 143

●————●

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CONTENTS

Chapters

1. Introduction to Ethics and Ethical Dilemmas 1

What is this chapter about? 1

What is meant by ethics? 1

What are morals and values? 2

Why is ethics important in the context of governance in general and the civil services in particular? 2

What is ethical human conduct? 3

Why is it difficult to do the ‘right’ thing always? 3

2. Methods of Case Analysis and Resolution 5

What is this chapter about? 5 What could the UPSC be expecting from your responses to the case

studies? 5 What are the ways of approaching the case studies in the Ethics

Paper? 6 Why is it difficult to analyse the cases that appear in the Ethics

Paper? 7 What are the most common features of the cases in the

Examination? 7 What kind of options or choices does the protagonist have in the

cases? 7 How should you begin and proceed with the analysis? 8 What are the guidelines for writing the answer? 9 How to approach the cases under Policy Issues (Category D)? 10 What should be your touchstones while coming up with the best

option or options for the protagonist? 15

xx Contents

What are the laws, regulations and rules you should be familiar with in order to carry out an informed analysis and resolution of cases? 15

How can you be original and creative in your responses to the cases? 16

Any other points to note? 16

3. Category A: Case Studies of Public Officials (Set I) 17

What is this chapter about? 17 What are the ground rules you could follow while resolving the

cases involving public officials? 17 How can a public official be sure that he or she has made an ethical

decision? 18 Case Studies 18 Case A-01: Choosing between friendship and fairness 18 Case A-02: Handling an unsolicited gift 19 Case A-03: Accept dirty money for a good cause? 19 Case A-04: There is no free lunch! 19 Case A-05: Protect an erring family member? 20 Case A-06: Recovering excess payment made to staff 20 Case A-07: Applying election rules on a powerful politician 21 Case A-08: Moving from strict discipline to mutual trust 21 Case A-09: A creative resolution of an ethical dilemma 21 Case A-10: Involving community in development 22 Case A-11: Facing a questionable directive from a senior officer 22 Case A-12: To stand up or not? 23 Case A-13: Follow the rules or follow the guru? 23 Case A-14: Handling absenteeism as well as over-commitment 24 Case A-15: Follow the predecessor in unethical conduct? 24 Case A-16: Administering a Naxal area 25 Case A-17: Doing social work outside the office 25 Case A-18: Be over-cautious and slow or simple and quick? 26 Case A-19: Giving a fair chance to all for promotion 27 Case A-20: Being cautious for the sake of safety 27

Contents xxi

Case A-21: Prejudice in the promotion process? 28 Case A-22: Being unfair to minorities or preventing questionable

claims? 28 Case A-23: Cleaning up a ration card system 29 Case A-24: Blowing the whistle on the misdeeds of the powerful 29 Case A-25: Facing long-standing corruption 30 Suggestions for Case Analysis and Resolution 30

Resolution of Case A-01: Choosing between friendship and fairness 30

Resolution of Case A-02: Handling an unsolicited gift 31

Resolution of Case A-03: Accept dirty money for a good cause? 32

Resolution of Case A-04: There is no free lunch! 32

Resolution of Case A-05: Protect an erring family member? 32

Resolution of Case A-06: Recovering excess payment made to staff 33

Resolution of Case A-07: Applying election rules on a powerful politician 33

Resolution of Case A-08: Moving from strict discipline to mutual trust 33

Resolution of Case A-09: A Creative Resolution of an Ethical Dilemma 34

Resolution of Case A-10: Involving community in development 34

Resolution of Case A-11: Facing a questionable directive from a senior officer 35

Resolution of Case A-12: To stand up or not? 35

Resolution of Case A-13: Follow the rules or follow the guru? 36

Resolution of Case A-14: Handling absenteeism as well as over-commitment 36

Resolution of Case A-15: Follow the predecessor in unethical conduct? 36

Resolution of Case A-16: Administering a Naxal area 37

Resolution of Case A-17: Doing social work outside the office 37

Resolution of Case A-18: Be over-cautious and slow or simple and quick? 38

xxii Contents

Resolution of Case A-19: Giving a fair chance to all for promotion 38

Resolution of Case A-20: Being cautious for the sake of safety 38

Resolution of Case A-21: Prejudice in the promotion process? 39

Resolution of Case A-22: Being unfair to minorities or preventing questionable claims? 39

Resolution of Case A-23: Cleaning up a ration card system 40

Resolution of Case A-24: Blowing the whistle on the misdeeds of the powerful 40

Resolution of Case A-25: Facing long-standing corruption 41

4. Category A: Case Studies of Public Officials (Set II) 43

What is this chapter about? 43 Case Studies 43 Case A-26: Facing public protest over the cutting down of trees 43

Case A-27: Trapped by a free ticket 44

Case A-28: Undermining the authority of a senior officer 44

Case A-29: Being silent makes things worse later 45

Case A-30: Facing pressure to present false accounts 46

Case A-31: Protecting evidence 46

Case A-32: Doing everything to get a high rating 47

Case A-33: Remaining ethical in the face of threats 47

Case A-34: Ban illegal agriculture or be tolerant? 48

Case A-35: On toilets becoming store rooms 48

Case A-36: Diverting funds for a good cause 49

Case A-37: Demolish a building for a good cause? 49

Case A-38: Cleaning up a corrupt department 50

Case A-39: Everyone has a toilet and everyone is in debt 50

Case A-40: Save the tiger or save the tribals? 51

Case A-41: Acting against female foeticide 51

Case A-42: Eliminating manual scavenging 52

Case A-43: Facing pressure from an unethical Chief Minister 53

Case A-44: Standing up to a corrupt politician 54

Case A-45: Acting against a multi-national corporation 54

Contents xxiii

Case A-46: Being fair and neutral in communal issues 55

Case A-47: Special favour to the Governor’s son? 55

Case A-48: Responding to an unethical directive by the Chief Minister 55

Case A-49: Resisting an unethical directive by a minister 56

Case A-50: Receiving a gift from a businessman 57

Case A-51: Benefiting from one’s own recommendation 57 Suggestions for Case Analysis and Resolution 58 Resolution of Case A-26: Facing public protest over the cutting

down of trees 58

Resolution of Case A-27: Trapped by a free ticket 59

Resolution of Case A-28: Undermining the Authority of a senior officer 59

Resolution of Case A-29: Being silent makes things worse later 60

Resolution of Case A-30: Facing pressure to present false accounts 60

Resolution of Case A-31: Protecting evidence 60

Resolution of Case A-32: Doing everything to get a high rating 61

Resolution of Case A-33: Remaining ethical in the face of threats 61

Resolution of Case A-34: Ban illegal agriculture or be tolerant? 62

Resolution of Case A-35: On toilets becoming store rooms 63

Resolution of Case A-36: Diverting funds for a good cause 63

Resolution of Case A-37: Demolish a building for a good cause? 63

Resolution of Case A-38: Cleaning up a corrupt department 64

Resolution of Case A-39: Everyone has toilet and everyone is in debt 64

Resolution of Case A-40: Save the tiger or save the tribals? 65

Resolution of Case A-41: Acting against female foeticide 65

Resolution of Case A-42: Eliminating manual scavenging 66

Resolution of Case A-43: Facing pressure from an unethical Chief Minister 66

Resolution of Case A-44: Standing up to a corrupt politician 67

Resolution of Case A-45: Acting against a multi-national corporation 68

xxiv Contents

Resolution of Case A-46: Being fair and neutral in communal issues 68

Resolution of Case A-47: Special favour to the Governor’s son? 69

Resolution of Case A-48: Responding to an unethical directive of the Chief Minister 69

Resolution of Case A-49: Resisting an unethical directive of a Minister 70

Resolution of Case A-50: Receiving a gift from a businessman 70

Resolution of Case A-51: Benefiting from one’s own recommendation 71

5. Category B: Case Studies of Business Executives 73

What is this chapter about? 73

What are the principles we can use while resolving ethical dilemmas in business? 73

Case B-01: Dealing with an offer of confidential information 74

Case B-02: Taking advantage of a client’s ignorance 75

Case B-03: Confession of the finance officer 75

Case B-04: Smuggling in a spare part 75

Case B-05: Testing an employee’s honesty 76

Case B-06: Collecting a commission for referring patients to a lab 76

Case B-07: Doctors influenced by a pharmaceutical company 76

Case B-08: Discovering a product flaw after the start of production 77

Case B-09: Discovering a big fraud 77

Case B-10: Digging up contamination 78

Case B-11: Circumventing emission norms of automobiles 78

Case B-12: A fifteen-minute ethical lapse 79

Case B-13: Falling performance level of a good manager 79

Case B-14: To publish or hold a damning report? 80

Case B-15: Bringing back ethics in a large company 80

Suggestions for Case Analysis and Resolution 81

Resolution of Case B-01: Dealing with an offer of confidential information 81

Resolution of Case B-02: Taking advantage of a client’s ignorance 82

Resolution of Case B-03: Confession of the Finance Officer 82

Contents xxv

Resolution of Case B-04: Smuggling in a spare part 82

Resolution of Case B-05: Testing an employee’s honesty 83

Resolution of Case B-06: Collecting a commission for referring patients to a lab 83

Resolution of Case B-07: Doctors influenced by a pharmaceutical company 83

Resolution of Case B-08: Discovering a product flaw after the start of production 84

Resolution of Case B-09: Discovering a big fraud 84

Resolution of Case B-10: Digging up contamination 85

Resolution of Case B-11: Circumventing emission norms of automobiles 85

Resolution of Case B-12: A fifteen-minute ethical lapse 85

Resolution of Case B-13: Falling performance level of a good manager 86

Resolution of Case B-14: To publish or hold a damning report? 86

Resolution of Case B-15: Bringing back ethics in a large company 87

6. Category C: Case Studies of Individuals 89

What is this chapter about? 89

Cases at the Workplace 89

Case C-01: Borrowing money from dormant account 89

Case C-02: Dealing with a drinking boss 90

Case C-03: Betrayed by a colleague 90

Case C-04: Handling the low performance of an employee in trouble 90

Case C-05: Resolving the conflict between work and activism 91

Case C-06: Improper use of working hours 91

Case C-07: Meeting the threat from an advertiser 92

Case C-08: Which rates higher? Friendship or loyalty to company? 92

Case C-09: Helping a friend 92

Case C-10: Being loyal to employer 93

Case C-11: Honouring an oral commitment 93

Case C-12: Giving free internet access to poor students 93

xxvi Contents

Case C-13: Lying to a customer 94

Case C-14: Making the mother the boss of her daughter 94

Case C-15: Bereaved employee’s work affected by his activism 94

Cases in Personal Life 95

Case C-16: Buying cigarettes for a chain smoker 95

Case C-17: The case of the missing shoes 95

Case C-18: Employing a minor girl as a maid 95

Case C-19: Atheist working for a temple 96

Case C-20: Buying pirated films, copying notes 96

Suggestions for Case Analysis and Resolution 96

Resolution of Case C-01: Borrowing money from dormant account 96

Resolution of Case C-02: Dealing with a drinking boss 97

Resolution of Case C-03: Betrayed by a colleague 97

Resolution of Case C-04: Handling the low performance of an employee in trouble 97

Resolution of Case C-05: Resolving the conflict between work and activism 98

Resolution of Case C-06: Improper use of working hours 98

Resolution of Case C-07: Meeting the threat from an advertiser 98

Resolution of Case C-08: Which is higher? Friendship or loyalty to company? 99

Resolution of Case C-09: Helping a friend 99

Resolution of Case C-10: Being loyal to employer 100

Resolution of Case C-11: Honouring an oral commitment 100

Resolution of Case C-12: Giving free internet access to poor students 100

Resolution of Case C-13: Lying to a customer 100

Resolution of Case C-14: Making the mother the boss of her daughter 101

Resolution of Case C-15: Bereaved employee’s work affected by his activism 101

Contents xxvii

Cases in Personal Life 101

Resolution of Case C-16: Buying cigarettes for a chain smoker 101

Resolution of Case C-17: The case of the missing shoes 102

Resolution of Case C-18: Employing a minor girl as a maid 102

Resolution of Case C-19: Atheist working for a temple 102

Resolution of Case C-20: Buying pirated films, copying notes 102

7. Category D: Ethical Issues in Public Policy 103

What is this chapter about? 103

Issue D-01: Farmer suicides 103

Issue D-02: Supporting SC/ST students in the IITs 104

Issue D-03: Mutual tolerance among religions and castes 104

Issue D-04: Unsustainable growth 105

Issue D-05: Man-animal conflict 105

Issue D-06: Right to information 105

Issue D-07: Demand for the formation of new states 105

Issue D-08: Politician—bureaucrat relationship 106

Issue D-09: Prohibition 106

Issue D-10: Paid news and fake news 106

Issue D-11: Misleading advertisements 107

Issue D-12: Capital punishment 107

Issue D-13: Rights of LGBTQ community 107

Issue D-14: Black money, foreign accounts, and disproportionate wealth 108

Issue D-15: Euthanasia 108

8. Category E: Case Studies from Other Areas of Applied Ethics 109

What is this chapter about? 109

Cases in medical ethics 109

Case E-01: Permitting abortion 109

Case E-02: Taking a second opinion 110

Cases in international affairs 110

Case E-03: Climate change commitments 110

Case E-04: Fishing for trouble in Palk Bay 111

xxviii Contents

Case E-05: The curse of oil in Ogoniland 111

Case E-06: Trade with country with poor human rights record 112

Case E-07: Paying bribes abroad 112

Case E-08: A poor country in urgent need of an expensive drug 113

Case E-09: Diverting enemy bombs to another area 113

A general ethical issue 113

Case E-10: Saving one life directly and saving many lives indirectly 113

Suggestions for Case Analysis and Resolution 114

Cases in medical ethics 114

Resolution of Case E-01: Permitting abortion 114

Resolution of Case E-02: Taking a second opinion 114

Cases in international affairs 115

Resolution of Case E-03: Climate change commitments 115

Resolution of Case E-04: Fishing for trouble in Palk Bay 115

Resolution of Case E-05: The curse of oil in Ogoniland 115

Resolution of Case E-06: Trade with country with poor human rights record 116

Resolution of Case E-07: Paying bribes abroad 116

Resolution of Case E-08: A poor country in urgent need of an expensive drug 116

Resolution of Case E-09: Diverting enemy bombs to another area 117

Appendices

A. Cases from UPSC Ethics Paper 2013–15 by Category (with Suggestions for Analysis and Resolution) 119

Category A: Government officials facing ethical issues at work 119

Category B: Business executives facing ethical issues at work 132

Category C: Individuals facing ethical issues at workplace and personal life 136

Category D: Public Policy Issues 139

B. Model Answers to the Case Studies in the 2016 Ethics Paper 143

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SampleCase Studies

Case Studies in Ethics Integrity and Aptitude

Case A-05: Protect an erring family member?

Thomas has recently joined as an Assistant Collector of a district. His parents and younger brother live with him. His brother, who is a college student, has recently got into some bad company and has taken to drinking. Tonight, he and three of his friends were picked up by the police after a drunken brawl. The brother told the police who he was and they have just called Thomas. They have not filed a case yet.

The options before Thomas are:

1. Ask the police to let his brother go and charge the others.

2. Ask the police to release all of them with a warning.

3. Let his brother and the friends face the consequences, even if that would upset Thomas’s parents.

Does Thomas have other options too? What are the consequences of each option? Which option would you recommend to him and why?

Case A-06: Recovering excess payment made to sta�

Smitha is the MD of a public sector company. One month, when bonus was to be paid to the employees, a slightly wrong formula was entered into the computer system by a clerk in the payroll department. This resulted in overpayment to many employees. The excess amount was small in each case, ranging from ` 100 to ` 500. The total came to about ` one lakh in the overall salary bill of about ` one crore.

The company had been doing well and the employees, most of whom were dedicated workers, were proud of their company and their contribution.

Smitha’s options are:

1. Recover the excess payment from the next month’s salary.

2. Since the overpayment was not much, retain the goodwill by getting the Board’s permission for adopting the formula used by the payroll division as a one-off exemption.

3. Suspend the concerned clerk and conduct an enquiry against him.

Are there other options before Smitha? What are the consequences of each option? Which one would you recommend and why?

Category B: Case Studies of Business Executives

Case B-08: Discovering a product �aw after the start of production

Sahana is a scientist with a chemical company. Some months ago, a new pesticide developed by the company was approved and production had begun. Sahana has been testing the product samples and she finds that it could harm human beings. The original version of the product had not shown this effect, but the version under production is a slightly modified version. The new version could harm the health of farmers who spray the pesticide on their fields.

When Sahana reports her findings to her boss Raman, he orders an internal peer review of Sahana’s work. He wants to make sure that Sahana’s findings are reliable. The review would take some weeks, but meanwhile the production and distribution of the pesticide is going on. Raman and the top management believe that any hasty stoppage of production would affect the image of the company. Sahana and some of her colleagues try, but fail, to convince the management to stop production.

What should Sahana do now?

Case B-09: Discovering a big fraud

With an MBA degree in Finance, you joined the leading firm of auditors Arjun and Anderson. Within a few months you have made a mark in the company with your competence. You are asked to handle a major client called Total Gas, which has a high reputation in the energy industry. Its stock prices have been soaring.

Within a few weeks you realize that there was something wrong with the accounts of Total Gas. In reality, the company was losing money heavily, but it transferred the losses to fake companies that did not appear in the Total Gas account books. You realize that Total Gas was paying huge fees to Arjun and Anderson to do some ‘creative’ accounting so that the company was only showing profits. Some private banks were also involved in this deception.

You raise the matter with your immediate boss, who is a senior partner in Arjun and Anderson. Your boss asks you not to worry about the matter, but just do what you are asked to.

What are your options and their pros and cons? What should you do and why?

Case Studies in Ethics Integrity and Aptitude

Resolution of Case A-05: Prote ct an erring family member?

1. Option 1 is clearly unethical and hence unacceptable. It will also mar the reputation of Thomas forever.

2. Option 2 is recommended, especially if the group had not hurt anyone or damaged any property and all the four were students with no criminal records. It would be wise and compassionate to give them a

second chance. But Thomas should follow it up with counselling for his brother and his friends and help them give up their bad habits.

3. Option 3 will show Thomas as an ethical officer, but it is not a compassionate handling of the case.

Resolution of Case A-06: Recovering excess payment made to sta�

Smitha has other options too:

4. Explain the mistake to the staff (or the union) and invite suggestions.

5, Adjust the excess payment when the next bonus or arrears of dearness allowance are paid.

On the whole, the aim must be to retain the goodwill. Option 2 seems the best. Instead of taking action against the clerk, Smitha should give the person a written warning. Then the person would be careful not to repeat the mistake.

Case Studies in Ethics Integrity and Aptitude

Resolution of Case B-08: Discovering a product �aw after the start of production

Ethical issues:

Continuing the production of a product with possible harmful effects.

Failure to follow the Precautionary Principle.

Not going by scientist’s recommendation.

Not giving importance to public safety.

Sahana’s options:

1. Do nothing and wait for the peer review to be completed.

2. Continue her efforts to get the production stopped.

3. Turn a whistle-blower and take the issue to the media and the public.

Recommended: Option 2 and, if it fails, Option 3.

Resolution of Case B-09: Discovering a big fraud

Options before you:

1. Follow your boss’s advice and keep quiet.

2. Raise the issue at a higher level at the risk of displeasing the boss.

3. Turn a whistle-blower and expose the fraud.

Recommended: Option 2 first and, if it fails, Option 3.

This is based on a true story that became a big scandal in the US. Ultimately, several executives of the company ended up in jail.

Case Studies in Ethics, Integrity & Aptitude is a unique book for the aspirants of the Civil Services Main Examination.

The book covers cases from all the areas mentioned in the syllabus of General Studies Paper IV of the Civil Services Examination (CSE). Given that 50% of marks in this Paper are for case studies, this book will help the aspirant hone the skills needed for resolving ethical cases. It is primarily intended for practising with a variety of case studies.

Key Features

111 realistic cases based on true stories, events, and news reports Analysis of the pattern of cases that have appeared in General Studies

Paper IV of CSE A suggested strategy for tackling the case studies asked in the Paper A set of guidelines for analysing any case and writing the answer Cases covering all areas of the UPSC GS Paper IV syllabus: Government o�cials facing ethical issues at work Business executives facing ethical issues at work Individuals facing ethical issues at work and in personal life Public policy issues Other areas of applied ethics Suggested answers of the cases asked in the question papers of the

years 2013–15 Model Answers to the Case Studies asked in the question paper of 2016 The book is supported by the author’s blog

Readers can visit the author’s blog (https://ethics-ias.blogspot.com/) for more cases and latest developments related to Ethics in Governance and also to seek clari�cations on the topics covered in the book.

R Rajagopalan, a former Professor at IIT Madras, has been a facilitator in a large number of programmes entitled Ethics in Public Governance for o�cers of the IAS and other central services as well as those from state governments and public sector units. These programmes are organized by Initiatives of Change (IC), Panchgani, and the IC Centre for Governance, Delhi.

Professor Rajagopalan is also the author of the very popular book Environment and Ecology: A Complete Guide for the Civil Services Preliminary and Main Examinations.

ISBN: 978-81-9347-341-2

`245/-9 788193 473412