In the labyrinth of life, we often find ourselves at a crossroads where decisions demand our attention. These decisions are not merely choices but reflections of our beliefs, values, and understanding of the world around us. At the heart of this decision-making process lie principles and rules, two distinct yet interconnected concepts that shape our actions and define our paths.

Today, we were discussing principles and rules when one of our friends sent a video clip on WhatsApp, which was a part of an interesting episode from Business Sutra by Devdutt Pattnaik. When it comes to navigating life, we often rely on principles and rules to guide us. But what exactly is the difference between the two?

Principles, those fundamental truths or propositions, are the bedrock upon which our belief systems are built. They serve as the guiding stars illuminating our journey, urging us to navigate through life with integrity, honesty, and empathy. Unlike rules, principles are abstract, flexible, and deeply personal. They resonate within us, driving us to act in alignment with our inner moral compass, regardless of external pressures or circumstances.

A principle is a fundamental truth or proposition that serves as the foundation for a system of belief or behaviour. It is a guiding concept that informs our decisions and actions. A principle internally motivates you to do the things that seem good and right. For example, the principle of honesty dictates that we should always tell the truth, even if it is difficult or uncomfortable.

Principles are broad, fundamental beliefs or values that guide our actions and decisions. They are often rooted in personal or societal beliefs and may be open to interpretation. For example, the principle of fairness may guide our decision-making in a variety of situations, but what is considered fair may vary from person to person.

Consider the principle of honesty. It transcends cultural boundaries and societal norms, compelling us to speak the truth even in the face of adversity. It’s not merely a rule to be followed but a guiding light illuminating the path of righteousness.

Rules, on the other hand, are the tangible manifestations of principles, the specific directives designed to enforce a particular code of conduct. While principles provide the overarching framework, rules serve as the guardrails, ensuring that our actions remain within the boundaries of what is deemed acceptable or appropriate by society.

However, rules, by their very nature, can be restrictive and rigid. They are often created by authority figures or institutions and enforced through coercion or punishment. While rules offer structure and consistency, they may fail to account for the complexity and nuances of real-life situations. In the pursuit of order and control, rules can stifle creativity and innovation, leading to a culture of compliance rather than critical thinking.

People develop principles by living with people with principles and seeing the real benefits of such a life. A rule externally compels you, through force, threat or punishment, to do the things someone else has deemed good or right. People follow or break rules.

History bears witness to the perils of excessive rule-based systems, particularly in authoritarian regimes where rules take precedence over principles. In such environments, individual autonomy is sacrificed at the altar of conformity, and dissent is silenced in the name of order. Yet, beneath the facade of compliance lies a simmering discontent, a yearning for freedom and self-expression.

While rules can be helpful in providing structure and consistency, they can also be limiting. They may not account for every possible scenario and can sometimes lead to rigid thinking. Principles, on the other hand, allow for more flexibility and creativity in decision-making.

In contrast, principles empower us to exercise judgment and discernment, allowing for a more nuanced approach to decision-making. They encourage us to question, to challenge, and to seek understanding beyond the confines of black and white. Principles foster empathy, compassion, and solidarity, bridging the divides that separate us and uniting us in our shared humanity.

So, which is better: principles or rules? The answer is that it depends on the situation. In some cases, following a set of rules may be necessary to ensure safety or maintain order. In other cases, relying on principles may allow for more nuanced decision-making and a better outcome.

Principles act as a guide to action while rules represent specific instructions based on the principles. Rules are means of establishing unambiguous decision-making methods. If you need to make a decision based on judgement, then it should be guided by principles.  Our dharma is our principle while the parampara or tradition is our rules. Every family or clan has traditions or a set of rules which may be different or distinct from one another, but the underlying principle or the dharma is the same.

That being said, both principles and rules play an important role in our lives. Principles provide us with a moral compass and help us make ethical decisions, while rules create structure and order in our daily lives.

A history of rigorous and aggressive regimes leads to the spiralling development of a rules-based system because success on the part of the authorities increases the propensity to create more rules. In every authoritarian regime, rules take precedence and principles are often forgotten or ignored.

The rules-based system provides detailed guidance, clarification and precise answers to questions. However, it reduces or eliminates the exercise of judgment and leads to de-skilling by requiring a ‘tick-box’ mentality, at the expense of judgment and a real understanding. It also causes complexity and delay in keeping abreast of change. It’s delusory to think that rules can totally eliminate the need for judgment. Most of the audit failures arose through a lack of judgment rather than non-compliance with rules.

Neither a rules-based approach nor a principles-based approach can prevent dishonest practice. Often, rules provide a vehicle for circumventing the intention of the approach and the process. Nevertheless, the principles-only approach may present enforcement difficulties because it provides insufficient structure as a basis for ensuring ‘compliance’.

Since our childhood, we are conditioned to rules through the process of education and training and then we continue to look for the rule as the starting point in answering a problem. Every parent, guardian, or teacher hopes that their kids or students will comply with and follow rules, even sometimes at the cost of their judgment. The principle that it’s best to do what others need you to do in a situation covers that.

In the pursuit of truth and fairness, we shall continuously evolve, otherwise, our principles and rules may become irrelevant with the passage of time or may not remain as fair as they should be. I prefer a dynamic rule-based system built on the foundation of fundamental principles and not a rigid, dogmatic, static, conservative rule-based system.

Rules are not necessarily sacred, principles are.

Franklin D Roosevelt

Ultimately, the choice between principles and rules is not a binary one but a continuum, where each has its time and place. In certain circumstances, rules may be necessary to maintain order and ensure the safety of individuals and communities. However, in the absence of principles, rules become tyrannical, oppressive forces that suffocate the human spirit.

As we navigate the complexities of life, let us not lose sight of our guiding principles, those timeless truths that illuminate our path and inspire us to be the best versions of ourselves. Let us embrace the wisdom of the ages, recognizing that true freedom lies not in the absence of rules but in the presence of principles that guide our hearts and minds towards a brighter tomorrow.