Mrunal [Ethics] Complaints_ Sources, Types, Actions, Case Studies » Mrunal

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4/30/2014 Mrunal [Ethics] Complaints: sources, types, actions, case studies Mrunal

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[Ethics] Complaints: sources, types, actions, case studies

1. Prologue

2. Sources of Complaint

1. From Anonymous/ pseudonymous

2. From Whistleblowers

3. Oral Complaints

4. From Civil Society

5. From Media Reports

3. Classifying the complaints

1.#1: Vigilance Angle

2. #2: Administrative Angle

3. #3: Criminal Angle

4. Case studies

Prologue

In theprevious article we checked conduct rules: meaning, examples, case studies

moving to the next topic: Complaints: sources and types

Sources of Complaint

An officer comes to know about any misconduct/ mischief of his subordinates via

complaint. Here are the major sources of complaint:

1. Direct complaint to Administrative authority (i.e. public/NGO/MP/MLA

anyone- making complaint to the officer or his boss)

2. Direct complaint to Vigilance Commission, Lokayukta, Police, CBI, ACB.

3. Visit, inspection, raid, audit, surprise check, stock-verification (by the officer or

some other officer)

4. Scrutiny of annual property statements, Income tax returnsof his subordinates

5. Press/Media reports. And nowadays- even social networking sites.

6. PIL, Writ petitions in the court

7. Reports of legislative Committees like the Estimates / Public Accounts,

Committee on Public Undertakings. Debates on the floor of parliament / state

legislature.

From Anonymous/ pseudonymous

anonymous contains no name / address
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pseudonymousContains name and address but no person exists on that given

address.

CVC has issued following directive:

1. Anonymous/pseudonymous complaints have become a convenient loophole for

blackmailing public officials. Theyre are denied promotions/career benefits

while investigation is pending.=breaks the staff morale.2. Therefore CVC has instructed all Departments, PSUs and nationalized banks not

to take action on anonymous/pseudonymous complaints.

3. However, if they want to look into any verifiable facts alleged in such

complaints, they should refer the matter to Vigilance Commission.

From Whistleblowers

At the moment, Whistleblower bill is pending Rajya Sabha. but

Government of India has already authorized the Central Vigilance Commission(CVC) as the Designated Agency to receive written complaints from

whistleblowers.

limitation: protection only for the Central Government / PSUs / bodies owned

by Central government

if the employee wishes to unearth scam in his department without disclosing his own

identity, he should

1. Send complaint a closed/secured envelope.

2. To Central Vigilance Commission3. Envelop must mention Complaint under The Public Interest Disclosure.

4. He must his name and address in the beginning or end of complaint. (because

CVC will not entertain anonymous/ pseudonymous complaints)

5. The details of the complaint should be specific and verifiable.

If CVC receives such letter, itll be treated as whistleblower. CVC will order the

inquiry against department/PSU- without disclosing identity of the whistleblower.

Oral Complaints

While normally a public servant should to address all the instruction,

communications, order through proper official channel and writing.

However, there is no objection in entertaining a direct oral complaint about

corruption or other kinds of malpractice.

All the genuine complainants should be given protection against harassment or

victimization.

Whenever a public/staff member furnishes any information orally in confidence,

the confidence should be respected.


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From Civil Society

Administrative authorities should welcome the cooperation from NGOs, civil

society, press and public to combat corruption and irregularities.

But should not make distinction between one organization/person from another.

(e.g. Anna Hazzare makes complaint then officer quickly takes follow up action

but when some less known activist/NGO comes, officer takes the matter

casually.)NGOs or private citizens should not be authorized to receive complaintson

behalf ofadministrative authorities. (because theyre not covered under conduct

rules. may use this privilege for blackmailing others employees.)

Whenever a public organization furnishes any information in confidence, the

confidence should be respected.

From Media Reports

1. Responsible newspapers do not usually publish wild allegations against

individuals.2. Therefore, Prompt action is necessary to deal with such reports to instill

confidence in the public.

3. The editors and reporters of the more responsible newspapers may receive

information about corruption through their numerous contacts, and should be

able to help fight corruption.

4. Administrative authorities should welcome their help and should deal with any

information given to them in an appropriate manner.

5. Although How far a particular reporter /NGO is trustworthy = a matter of

judgment depending on a number of factors =difficult to lay down a general rulebut Administrative authority should not put blind trust on anyone.

At the same time, an Administrative authority cannot shy away from responsibility just

because nobody made a specific complaint for example:

1. Newspaper interviews a noted environmentalist, who talks about declining

population of sparrows in the state and apathy of forest department. Chief

Conservator of Forest (CCF) chooses to ignore thinking,nobody made

specific complaint to my office, besides these jholachhap NGO cum

environmentalist always blame everything on our forest department.2. Local MLA makes a statement in the assembly about how city is becoming

unsafe place for working women, there is traffic congestion and nuisance of real

estate mafias and so on. Police Commissioner chooses to ignore thinking,

these opposition MLAs always keep repeating the same tape in assembly. All

is well in my city.

Classifying the complaints

So far, weve learned about various source of complaints.


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Suppose DevAnand is head of the office. (Revenue, police, forest, post,

education, social welfare, irrigation .whatever.) And He finds the name of his

Office / subordinate / staff member in any such complaint/information. What

should he do?

first make sure it is not anonymous/pseudonymous complaint. Then Dev should

further classify it according to the angle:

#1: Vigilance Angle

Vigilance hierarchy

Just a brief overview

@Union @State

CVC=>CBI

They look after vigilance/corruption matters in all

ministries, departments, PSUs, Nationalized banks,sci-edu-culture etc. bodies, funded by the Union

Government.

All such departments/PSUs/Bodies have a

vigi lance division- headed by Chief Vigilance

Officer (CVO).

This CVO maintains liaison between department vs

CVC (+CBI).

+/- Lokayuktastate vigilance

commission=>Anti-

corruption bureau

(ACB)

Vigilance division

in each department.

Whenever complaint has vigilance angle, boss (Administrative authority) should

forward it to Vigilance division in the headquarter. Further action based their advice.

Vigilance angle is definitely present in following situation:

1. Bribes: giving/ demanding/accepting bribes

2. Obtaining valuable thing, without consideration from person he has official

dealings with.

3. Disproportionate assets.

4. misappropriation, forgery, cheating, tempering official records

Vigilance angle may be present in:

1. officer makes excessive delay in clearing a file/project/work (perhaps because

he is lazy or because he wants bribes)

2. Doesnt keep his superiors informed in time.

3. uses his discretionary powers in excess, where no public interest is evident

4. Gross negligence or willful negligence,

5. reckless decision making,


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6. blatantly violates rules, procedures and manuals

in all such Issues, vigilance division will decide future course of action which is:

conduct enquiry by itself /departmental officers/ CBI/ ACB depending on jurisdiction

and gravity of allegation.

Absence of vigilance angle = does not mean that the concerned official is not

liable to face the consequences of his actions.

Even if no vigilance angle is present (or proved), official will still face

disciplinary action under the service conduct rules that we saw in previous

article.

Anyways, so far we saw complaints involving vigilance angle. Now the other types:

#2:AdministrativeAngle

e.g. late attendance, disobedience, insubordination,

negligence of duty, technical irregularities,

sleeping on duty etc.in such cases, boss (Administrative authority)

himself has to take action. If his enquiry reveals any

vigilance/criminal angle, he should forward matter

accordingly + take disciplinary action for violation

of conduct rules.

#3: Criminal

Angle

e.g. theft of office computer, cable wires, accident

of government vehicle etc.

Forward to local police.

So far, Complaint is received=>classified in three angles (vigilance, administrative and

criminal). Next step is:

Administrative

angle=>

Preliminary enquiry=>departmental proceedings

=>punishment.

vigilance/criminal

angle=>

Discreet/regular enquiry=>FIR=>investigation=>court

proceedings =>punishment.

well see about them in detail, in the next article. for the moment, lets check some

case studies

Case studies

in the following cases, DevAnand is a Superintending Engineer in PWD

department and has received complaint about his junior engineer Prem Chopra.

and Dev has to decide- what to do with the complaint.


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Rule of thumb: If the nature of complaint is such that Dev will have to make

enquiries to private citizen, examining non-official records, bank lockers,

conducting search-seizures etc. = he doesnt have such investigation powers like

a police officer.

in such situation, He should better forward the matter to vigilance division

(=>ACB, CBI) / local police.

Complaint: Prem Chopra has acquired a large farmhouse in another state using ill-gotten money from contractors. Then blah blah blah

WRONG APPROACH RIGHT APPROACH

1. Dev should file RTI

to the land record

office of given state

to find ownership of

the farm house.

2. Should personallyvisit that farmhouse

and inquire the

neighbors /

chowkidars / real

estate agents about

the owner.

3. should seek

explanation from

Prem

4. Should immediately

suspend Prem

Chopra and order

inquiry.

1. Disproportionate asset= vigi lance angle. Dev

should forward the complaint to vigilancedivision=>ACB.

2. ACB will first launch discreet enquiry for

disproportionate assets, once substantial matter is

found, theyll lodge FIR, make raid on his house,

bank account, lockers and his game will be over.

Hell be prosecuted under prevention of corruption

act.

3. then, Dev should suspend him=>launch

disciplinary action.

Complaint: Prem Chopra used substandard material in construction of municipal

building. then blah blah blah


1. Should immediately

suspend Prem Chopra

and order inquiry.

2. Should forward the

complaint to local

police / vigilance

commission.

first isTechnical/Administrative Angle: should

inspect the building quality by himself. If prima facie

mischief appears=>vigilance angle.


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Complaint: Prem Chopra secretly takes bribes from contractors via his wifes SBI

bank account. Then blahblah blah..


Dev should write a letter

to SBI manager to get

detailed transectionsPrems Wifes bank

account.

Then he should verify if

there is any pattern of

money donations by

local contractors.=>

suspend Prem

Chopra=>order

inquiry=>dismiss him.

Vigilance angle. Besides Dev has no power

to get bank account details of a private citizen.

Forward matter to vigilance division=>ACB.ACB will first launch discreet enquiry for

disproportionate assets, once substantial

matter is found, theyll lodge FIR, make raid

on his house, bank account, lockers and his

game will be over. hell be prosecuted under

prevention of corruption act.

then, Dev should suspend him=>launch

disciplinary action.

Complaint: Dev is the Superintending Engineer in PWD department. Local resident

Madan Puri complaints how junior engineer Prem Chopra misbehaved with his

daughter during Navratri night. But he doesnt want to file FIR to protect his daughters

honor then blah..blah..blah..


Dev should immediately

callup Prem and seek his

explanation / warn /

reprimand / suspend him

etc.

Criminal angle. Besides incident happened

outside Devs office, during off-duty hours.Dev cannot go around inquiring private

citizen witnesses.

So, he should suggest the father to lodge

complaint with local police and assure him

that police and press donot divulge identity

of female in such cases.

if police arrests Prem Chopra, then Dev should

transfer/suspend him and order departmentalinquiry for violation of conduct rules.

Complaint: Dev is the Superintending Engineer in PWD department. Local resident

Ranjith comes to his office and complaints any of the following, about his junior

engineer Prem Chopra,

1. Prem sold me his old laptop knowing fully well that it was faulty. Now laptop

stopped working completely. I asked him to return money but he refuses.


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2. Prem is living as paying guest in my house but has not paid rent for last three

months.

+Ranjith also mentions how desperately he needs money for his younger sisters

wedding / ill mothers cancer treatment and requests DevAnand to cut money from

Prem Chopras salary and give it to him.


Dev should immediately callup Prem and

seek his explanation / make preliminary

enquiry by himself and make payment to

Ranjith from Prem Chopras salary.

These matters are outside

Devs authority. He cannot

directly cut money from

Prems salary and give it to

Ranjith.

He should advice Ranjith to

seek relief from court.

If court rules in favour of

Ranjith, Dev could initiatedisciplinary action against

Prem Chopra for violating

conduct rules.

Whistle-blowing

Dev is an under-secretary in coal ministry- well known among the staff as an honest,

upright officer. One day GuruDutt, the PA to Coal minister comes to see him. Guru

talks about a secret deal going on between the minister and certain industrialists forallotment of blocks for hefty bribes.how the secretary and upper echelon of

bureaucracy is also involved in this scam. Guru also shows him incriminating

documentary evidences that prima facie prove all of his allegations. However Guru

fears reprisal and hence afraid to lodge complaint. What should Dev do?

wrong approach right (atleast for the exam!)

1. Dev / Guru should Write anonymous

/ pseudonymous complaint to

CBI/CVC/PMO etc. (wrong because

they are not required to act on such

anonymous complaints)

1. Dev should inform Guru about the

existing mechanism to protect

whistleblowers, and ask him to

forward the documentary

evidence to CVC under that.

2. If Guru is still afraid, Dev should

ask him to handover the

documents, file complaint under

whistle blower protection

mechanism to CVC himself.


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http://mrunal org/2013/11/ethics complaints sources types actions case studies html/print/

Following approaches debatable for directly talking to outsiders, without going to

CVC/CBI first, and thus violating thesacredconduct rules.

1. Leak the story to media.

2. Leak the story to some NGO, ask them file PIL/writ petition in court.

Anyway, so far we learned about various types of complaints. The next stage is:

preliminary enquiry/ discreet enquiry / regular enquiry / formal investigation. Well

see about that in the next article.

URL to article: http://mrunal.org/2013/11/ethics-complaints-sources-types-

actions-case-studies.html

Posted By Mrunal On 18/11/2013 @ 23:19 In the category Ethics

Mrunal [Ethics] Complaints_ Sources, Types, Actions, Case Studies » Mrunal

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