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

[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 the previous 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 returns of 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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pseudonymous

Contains 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.
2.
3.
4.

Send complaint a closed/secured envelope.

To Central Vigilance Commission
Envelop must mention Complaint under The Public Interest Disclosure.
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 complaints on
behalf of administrative 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 rule
but 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
vigilance division- headed by Chief Vigilance
Officer (CVO).
This CVO maintains liaison between department vs
CVC (+CBI).

+/- Lokayukta
state vigilance
commission=>Anticorruption 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:
Administrative
Angle

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=>
vigilance/criminal
angle=>

Preliminary enquiry=>departmental proceedings

=>punishment.
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 illgotten money from contractors. Then blah blah blah
WRONG APPROACH
1. Dev should file RTI
to the land record
office of given state
to find ownership of
the farm house.
2. Should personally
visit 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.

RIGHT APPROACH

1. Disproportionate asset= vigilance angle. Dev

should forward the complaint to vigilance
division=>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
WRONG APPROACH

RIGHT APPROACH

1. Should immediately
suspend Prem Chopra
and order inquiry.
first is Technical/Administrative Angle: should
2. Should forward the
inspect the building quality by himself. If prima facie
complaint to local
mischief appears=> vigilance angle.
police / vigilance
commission.
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Complaint: Prem Chopra secretly takes bribes from contractors via his wifes SBI
bank account. Then blahblah blah..
WRONG APPROACH
Dev should write a letter
to SBI manager to get
detailed transections
Prems 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.

RIGHT APPROACH
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..
WRONG APPROACH

Dev should immediately

callup Prem and seek his
explanation / warn /
reprimand / suspend him
etc.

RIGHT APPROACH
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 departmental
inquiry 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.
WRONG APPROACH

RIGHT APPROACH

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 initiate
disciplinary 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 for
allotment 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)

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

CVC/CBI first, and thus violating the sacred conduct 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-typesactions-case-studies.html

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

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