In any hierarchical system - like the military, police or a corporate setup -
the chain of command is of utmost importance in keeping the order and discipline
intact. The superiors pass orders down the line which are supposed to be
followed by the subordinates without any objections under normal circumstances.
But when these orders turn out to be illegal, a major ethical and legal dilemma
presents itself. This paper delves into compliance with unlawful orders from
higher-ups, investigating details of legal frameworks, ethical deliberations as
well as practical consequences in an attempt to offer deeper insights into this
quagmire.
Legal Framework and Historical Context:
The idea of "superior orders" is an old one - sometimes known in legal circles
as "command responsibility" or "the Nuremberg Defence." It was brought sharply
into focus during the Nuremberg Trials that followed World War II when Nazi
officials and officers were put on trial for war crimes. They claimed they were
just following orders from above. But the court did not accept this defence; it
set a precedent that those who commit illegal acts while following illegal
orders cannot be absolved of their responsibilities. The principle has a rich
historical background: superior orders.
The principle is generally upheld by contemporary legal systems. For instance,
the Rome Statute of the International Criminal Court - among other international
laws - clearly delineates that compliance with superior orders does not
exonerate one for acts related to war crimes, genocide or crimes against
humanity. In this light, many domestic laws place an obligation on individuals
to defy unlawful orders. These elements feature in legal frameworks and depict
various dimensions that underscore both individual responsibility
and culpability irrespective of directives from superiors.
Ethical Considerations:
Ethically speaking, the issue of compliance with illegal orders is not a
straightforward one. Two major ethical theories, deontology and consequentialism,
shed light on this issue from two different angles. Deontological ethics, often
linked with the philosopher Immanuel Kant, posit that individuals have certain
moral duties to act based on specific principles irrespective of the outcomes
that may follow. In light of this view, following illegal orders runs counter to
these moral duties that stand for upholding justice and respecting human rights
- regardless of what the consequences might be.
On the other hand, consequentialism - an ethical theory that judges the morality
of actions based on their outcomes - could imply that there are situations where
following orders may actually help prevent greater harm. But this method is
filled with moral risks; it does not often succeed in rationalizing involvement
in unlawful deeds that result in harm or inequity.
Organizational Culture and Psychological Factors:
Rigid hierarchical organizations often develop cultures where the act of
questioning authority is frowned upon. This culture can exert pressure on
subordinates to obey orders without questions even when they think those orders
are unlawful. Research in social psychology like that of Stanley Milgram's
obedience experiments shows that individuals will often comply with authority
figures due to social pressures and fear of consequences, even when it goes
against their ethical beliefs.
Real-World Implications:
Military Context:
In the military, following orders is a fundamental principle that ensures
coordination and discipline within the ranks. However, the discussion on blind
obedience versus critical thinking has been a topic of interest among military
scholars and leaders. On one hand, unquestioning obedience is necessary during
combat situations where split-second decisions can be a matter of life or death.
On the other hand, promoting a culture where superiors are always right
regardless of the situation can lead to unethical practices being condoned
within the organization. It is important for military institutions to strike a
balance between obedience and independent thinking among their personnel to
ensure both effectiveness in operations and moral conduct.
In the military realm, illegal orders can involve acts such as torture or
extrajudicial executions that kill civilians. Soldiers are taught to obey
orders; it is necessary for the efficiency of the work and unity in action.
However, when the orders are illegal and they do comply with them, this leads to
war crimes and violation of others with atrocities.
The My Lai Massacre during
the Vietnam War stands as a dark instance where American soldiers were directed
to eliminate hundreds of unarmed Vietnamese civilians by their seniors - even
though they later became condemned for that incident by many, it also brought
out the issues of whether soldiers have moral or legal responsibilities not to
follow illegal orders that lead them into perpetrating crimes.
Law Enforcement:
Misconduct within the policing arena could see illegal orders take shape: think
evidence fabrication, unwarranted brute force and racial profiling. An eerie
compliance might be born from an officer's loyalty to their superior - or worse
still, retaliation dread. You may have heard of the term "Blue Wall of Silence";
it symbolizes this unspoken code amidst police officers where one does not blow
the whistle on a colleague's slip-ups or misbehaviour, thus weaving a web for
impunity to thrive.
Take a closer look at those high-profile cases of police brutality and you'll
uncover nuggets where men in uniform towed lines - be it illegal or unethical
directives; these were met with public uproar as trust towards law keepers waned
even further.
The law prohibits superior officers from issuing illegal orders to subordinates,
and subordinates are not obligated to obey such directives. This principle is
reflected in government conduct rules, which emphasize the importance of written
orders.
Rule 3 of the 1968 All-India Service (Conduct) Rules, applicable to IAS and IPS
officers, mandates that directives from superiors should generally be in
writing. If oral directions are unavoidable, superiors must confirm them in
writing immediately.
Subordinates receiving oral directions must seek written confirmation as soon as
possible, and superiors are obligated to provide it. This rule serves as a
safeguard against illegal orders being disguised as oral instructions. It
discourages superiors from issuing illegal orders, as they would be reluctant to
put them in writing.
Even if a superior officer issues a written illegal order, subordinates are not
required to obey it. Obedience does not protect a subordinate in court; the
written order will not serve as a defence. Despite these rules, subordinates
still often obey illegal oral orders, which are rarely confirmed in writing.
Actual Practice:
While international treaties protect subordinate officers from repercussions for
disobeying unlawful orders, many comply with illegal directives out of fear of
retaliation. This fear stems from the possibility of being subjected to a 'witch
hunt,' where superiors seek out and punish disobedience through fabricated
accusations. Although such persecution is a risk inherent in the profession, it
is preferable to obeying illegal orders. The potential consequences of
compliance, including criminal prosecution, far outweigh the minor inconvenience
of disobedience.
Corporate Environment:
Illegal orders in the business or corporate realm might entail activities like
financial fraud, environmental degradation, or even morally corrupt labour
practices. It is not uncommon for employees to oblige these orders out of fear
for job security or coercion to achieve certain benchmarks. An example that
illustrates this point vividly would be the case of the Enron scandal; here
lower-level employees found themselves partaking in illegal accounting
malpractices simply because it was a directive from high-ranking officials.
This
eventuality spiralled into what is now considered one of the biggest corporate
collapses ever recorded in history - bearing tangible outcomes such as massive
financial repercussions coupled with legal penalties post-scandal, not to
mention an erosion of public trust on corporate governance forever after.
Mechanisms to Address Compliance with Illegal Orders:
To reduce the risk of compliance with illegal orders, organizations can take
some steps:
- Policies and Trainings: Establishing clear policies that define illegal orders and the responsibilities of subordinates in relation to them is a key component. Regular training on legal and ethical standards will help embed these policies into the organization.
- Protection of Whistleblowers: The protection of whistleblowers who denounce illegal or immoral practices is an incentive for others to follow suit without fear of reprisals; among the legal frameworks that provide this kind of protection is the Whistleblower Protection Act in the United States.
- Ethics Committee and Hotlines: Independent ethics committees and anonymous reporting hotlines are reliable safe channels through which employees can raise their concerns.
- Leadership Accountability: It is imperative to hold superiors responsible for giving illegal instructions. This includes transparent probes and taking appropriate disciplinary actions against those who breach legal and ethical standards.
- Promoting a Culture of Integrity: Organizations need to work towards fostering a culture where ethical conduct takes precedence over mindless compliance. Promoting open discussions coupled with a spirit of critical analysis can help employees find their voice in challenging or reporting illegal orders.
Safeguards for Disobeying Illegal Order of Superior:
Indian Penal Code (IPC) Section 76 states that in a mistaken belief that he is
bound by law, a person is not responsible for any act which would otherwise be
an offence, if the mistake of fact is the only reason and not the mistake of
law. It means that people are immune from criminal liability for acts performed
in good faith under the misconception of a legal obligation, although it does
not shelter those who follow orders even when aware that they are illegal.
Enacted in 2014, the Whistleblower Protection Act offers a shield to those who
dare to stand against corruption and malpractice within the government and
public sectors. It stands as a guard against any retaliation and promises the
anonymity of the brave whistleblower.
In the Indian Armed Forces, the duties to obey lawful orders and the right to
refuse illegal orders are outlined under the Armed Forces Act. Members of the
military are taught that it is their duty to recognize orders which are illegal
and immoral and then disobey them.
In India, the courts have recognized the principle that individuals should not
comply with illegal orders. As an illustration, the Supreme Court of India has
decided that a person cannot justify his action of doing something which is not
permitted by law merely on the ground that he was following an illegal order.
In the case of
R.S. Nayak v. A.R. Antulay, AIR 1986 SC 2045, the Supreme
Court has held that the superior's direction is no defence in respect of
criminal acts, as every officer is bound to act according to law and is not
entitled to protection of a superior's direction as a defence in the matter of
commission of a crime. So, if a person obeys an illegal order of a superior, he
is doing it at his own peril.
Conclusion:
Refusal to comply with superior illegal orders presents a number of difficulties
that are both legal and ethical, as well as practical. Although it is true that
the functionality of hierarchical organizations is dependent on a chain of
command, individuals must weigh this against their moral and legal duties.
Throughout history, legal doctrines and ethical systems have time and again come
in favour for those who go against the wrong commands. So, it is important that
an organization develops an ethical culture where issues of ethics are given top
priority - coupled with strong reporting mechanisms and holding people
accountable - will reduce compliance with bad directions, create justice and
build trust within the organization.
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