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

Contains name and address but no person exists

pseudonymous
on that given address.

CVC has issued following directive:

1. Anonymous/pseudonymous complaints have become a

convenient loophole for blackmailing public officials. They’re 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 Commission
3. 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, it’ll 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.

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 ofadministrative authorities. (because
they’re 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, we’ve learned about various source of complaints.
 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  +/- Lokayukta
matters in all ministries,  state vigilance
departments, PSUs, Nationalized commission=>Anti-
banks, sci-edu-culture etc. bodies, corruption bureau
funded by the Union Government. (ACB)
 All such departments/PSUs/Bodies  Vigilance division in
have a vigilance division- headed each department.
by Chief Vigilance Officer (CVO).
 This CVO maintains liaison between
 department vs CVC (+CBI).

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. Doesn’t 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,
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:  e.g. late attendance, disobedience,

Administrative insubordination, negligence of duty, technical
Angle 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.

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

#3: Criminal accident of government vehicle etc.
Angle  Forward to local police.

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

administrative and criminal). Next step is:

Administrative Preliminary enquiry=>departmental

angle=> proceedings =>punishment.

Discreet/regular
vigilance/criminal
enquiry=>FIR=>investigation=>court
angle=>
proceedings =>punishment.

we’ll see about them in detail, in the next article. for the moment, let’s
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.
 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
doesn’t 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. 1. Disproportionate asset= vigilance
2. Should personally angle. Dev should forward the
visit that complaint to vigilance division=>ACB.
farmhouse and 2. ACB will first launch discreet enquiry
inquire the for disproportionate assets, once
neighbors / substantial matter is found, they’ll
chowkidars / real lodge FIR, make raid on his house,
estate agents bank account, lockers and his game
about the owner. will be over. He’ll be prosecuted
3. should seek under prevention of corruption act.
explanation from 3. then, Dev should suspend
Prem him=>launch disciplinary action.
4. Should
immediately
suspend Prem
Chopra and order
inquiry.

Complaint: Prem Chopra used substandard material in construction

of municipal building. then blah blah blah

WRONG APPROACH RIGHT APPROACH

1. Should
immediately
suspend Prem
first is Technical/Administrative Angle:
Chopra and order
should inspect the building quality by
inquiry.
himself. If prima facie mischief
2. Should forward
appears=> vigilance angle.
the complaint to
local police /
vigilance
 commission.

Complaint: Prem Chopra secretly takes bribes from contractors via

his wife’s SBI bank account. Then blah…blah blah..

WRONG APPROACH RIGHT APPROACH

 Vigilance angle. Besides Dev

 Dev should write a letter
to SBI manager to get
detailed transections
Prem’s Wife’s bank
account.
 Then he should verify if
there is any pattern of
money donations by
local contractors.=>
suspend Prem
Chopra=>order
inquiry=>dismiss him.
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, they’ll lodge FIR, make
raid on his house, bank
account, lockers and his game
will be over. he’ll 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
doesn’t want to file FIR to protect his daughter’s honor… then
blah..blah..blah..

WRONG APPROACH RIGHT APPROACH

 Dev should  Criminal angle. Besides incident

immediately callup happened outside Dev’s office,
Prem and seek his during off-duty hours. Dev cannot
explanation / warn / go around inquiring private citizen
reprimand / suspend witnesses.
him etc.  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.
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 sister’s wedding / ill mother’s cancer treatment and requests
DevAnand to cut money from Prem Chopra’s salary and give it to him.

WRONG APPROACH RIGHT APPROACH

 These matters are

outside Dev’s authority.
He cannot directly cut
money from Prem’s
 Dev should immediately callup
salary and give it to
Prem and seek his explanation
Ranjith.
/ make preliminary enquiry by
 He should advice Ranjith
himself and make payment to
to seek relief from court.
Ranjith from Prem Chopra’s
 If court rules in favour of
salary.
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 should inform Guru

about the existing
mechanism to protect
whistleblowers, and ask
1. Dev / Guru should Write
him to forward the
anonymous / pseudonymous
documentary evidence to
complaint to CBI/CVC/PMO
CVC under that.
etc. (wrong because they are
2. If Guru is still afraid, Dev
not required to act on such
should ask him to handover
anonymous complaints)
the documents, file
complaint under whistle
blower protection
mechanism to CVC himself.

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. We’ll see about that in the next article.