Case Studies: Method, conflict of interest and corruption

Suppose you are an officer in-charge of implementing a social service scheme to provide support to old and destitute women. An old and illiterate woman comes to you to avail the benefits of the scheme. However, she has no documents to show that she fulfils the eligibility criteria. But after meeting her and listening to her you feel that she certainly needs support. Your enquiries also show that she is really destitute and living in a pitiable condition. You are in a dilemma as to what to do. Putting her under the scheme without necessary documents would clearly be violation of rules. But denying her the support would be cruel and inhuman. (a) Can you think of a rational way to resolve this dilemma? (b) Give your reasons for it.

Rakesh is a responsible district level officer, who enjoys the trust of his higher officials. Knowing his honesty, the government entrusted him with the responsibility of identifying the beneficiaries under a healthcare scheme meant for senior citizens. The criteria to be a beneficiary are the following : (a) 60 years of age or above. (b) Belonging to a reserved community. (c) Family income of less than ₹ 1 lakh per annum. (d) Post- treatment prognosis is likely to be high to make a positive difference to the quality of life of the beneficiary. One day, an old couple visited Rakesh’s office with their application. They have been the residents of a village in his district since their birth. The old man is diagnosed with a rare condition that causes obstruction in the large intestine. As a consequence, he has severe abdominal pain frequently that prevents him from doing any physical labour. The couple have no children to support them. The expert surgeon whom they contacted is willing to do the surgery without charging any fee. However, the couple will have to bear the cost of incidental charges, such as medicines, hospitalization, etc., to the tune of ₹ 1 lakh. The couple fulfills all the criteria except criterion ‘b’. However, any financial aid would certainly make a significant difference in their quality of life. How should Rakesh respond to the situation ?

You are heading a district administration in a particular department. Your senior officer calls you from the State Headquarters and tells you that a plot in Rampur village is to have a building constructed on it for a school. A visit is scheduled during which he will visit the site along with the chief engineer and the senior architect. He wants you to check out all the papers relating to it and to ensure that the visit is properly arranged. You examine the file which relates to the period before you joined the department. The land was acquired from the local Panchayat at a nominal cost and the papers show that clearance certificates are available from the two of the three authorities who have to certify the site’s suitability. There is no certification by the architect available on file. You decide to visit Rampur to ensure that all is in order as stated on file. When you visit Rampur, you find that the plot under reference is part of Thakurgarh Fort and that the walls, ramparts, etc., are running across it. The fort is well away from the main village, therefore a school here will be a serious inconvenience for the children. However, the area near the village has potential to expand into a larger residential area. The development charges on the existing plot, at the fort, will be very high and the question of heritage site has not been addressed. Moreover, the Sarpanch, at the time of acquisition of the land, was a relative of your predecessor. The whole transaction appears to have been done with some vested interest. (a) List the likely vested interests of the concerned parties. (b) Some of the options for action available to you are listed below. Discuss the merits and demerits of each of the options: (i) You can await the visit of the superior officer and let him take a decision. (ii) You can seek his advice in writing or on phone. (iii) You can consult your predecessor/colleagues, etc., and then decide what to do. (iv) You can find out if any alternate plot can be got in exchange and then send a comprehensive written report. Can you suggest any other option with proper justification?

As a senior officer in the Ministry, you have access to important policy decisions and upcoming big announcements such as road construction projects before they are notified in the public domain. The Ministry is about to announce a mega road project for which the drawings are already in place. Sufficient care was taken by the planners to make use of the government land with minimum land acquisition from private parties. Compensation rate for private parties was also finalized as per government rules. Care was also taken to minimize deforestation. Once the project is announced, it is expected that there will be a huge spurt in real estate prices in and around that area. Meanwhile, the Minister concerned insists that you realign the road in such a way that it comes closer to his 20 acres farm house. He also suggests that he would facilitate purchase of a big plot of land in your wife’s name at the prevailing rate which is very nominal, in and around the proposed mega road project. He also tries to convince you by saying that there is no harm in it as he is buying the land legally. He even promises to supplement your savings in case you do not have sufficient funds to buy the land. However, by the act of realignment, a lot of agricultural land has to be acquired, thereby causing considerable financial burden on the government, and also displacement of the farmers. As if this is not enough, it will involve cutting down of a large number of trees, denuding the area of its green cover. Faced with this situation, what will you do ? Critically examine various conflicts of interest and explain what are your responsibilities as a public servant.

Subash is Secretary, PWD in the State Government. He is a senior officer, known for his competence, integrity and dedication to work. He enjoys the trust and confidence of Minister Incharge of PWD and Programme Implementation. As a part of his job profile, he is responsible for policy formulation, execution of projects relating to infrastructure initiatives in the State. Besides, he oversees the technical and administrative aspects relating to planning, designing and construction etc. Subash’s Minister is an important Minister in the state and significant growth in urban infrastructure development and road network has been registered during his tenure. He is very keen for launching of ambitious road construction project in the near future. Subash is in regular touch with the Minister and is working various modalities of road construction project. Regular meetings, interactions and presentations are made by him to the Minister before a formal public announcement of the project is made by the Minister. Subash’s only son Vikas is in real estate business. His son from his own sources is aware that a mega road project is on the anvil and announcement in this regard is expected anytime. He is very keen to know from his father the exact location of the upcoming project. He knows that there would be quantum jump in the prices of land in the vicinity. Buying land at this stage at cheaper prices would pay him rich dividends. He is pleading with him (his father) day in and day out to share him location of the proposed project. He assured him that he would handle the matter discretely as it would not attract any adverse notice as he in the normal course, keeps on buying land as a part of his business. He feels pressurised because of constant pleadings by his son. Another significant aspect of the matter pertained to the extra/undue interest in the above project by the Minister PWD. His nephew was also having big infrastructure project company. In fact, the Minister has also introduced his nephew to him and indicated to him to take care of his nephew’s business interest in the forthcoming project. The Minister encouraged him to act fast in the matter as early announcement and execution of mega road project would enhance his status in the party and public life. In the above backdrop, Subash is in a fix as to the future course of action. (a) Discuss the ethical issues involved in the case. (b) Critically examine the options available to Subash in the above situation. (c) Which of the above would be most appropriate and why ?

Rajesh is a Group A officer with nine years of service. He is posted as Administrative Officer in an Oil Public Sector undertaking. As an Administrative Officer he is responsible for managing and coordinating various administrative tasks to ensure smooth functioning of office. He also manages office supplies, equipment etc. Rajesh is now sufficient senior and is expecting his next promotion in JAG (Junior Administrative Grade) in the next one or two years. He knows that promotion is based on examination of ACRs/Performance Appraisal of last few years (5 years or so) of an officer by a DPC (Departmental Promotion Committee) and an officer lacking requisite grading of ACRs may not be found fit for promotion. Consequences of losing promotion may entail financial and reputational loss and set-back for career progression. Though he also puts his best efforts in official discharge of his duties, yet he is unsure of assessment by his superior officer. He is now putting extra efforts so that he gets thumping report at the end of financial year. As Administrative Officer, Rajesh is regularly interacting with his immediate boss, who is his reporting officer for writing his ACR. One day he calls Rajesh and wants him to buy computer-related stationery on priority from a particular vendor. Rajesh instructs his office to initiate action for procuring these items. During the day, the dealing Assistant brings an estimate of Rupees Thirty Five Lakhs covering all stationery items from the same vendor. It is noticed that as per delegated financial powers, as provided in the GFR (General Financial Rules) as applicable in that Organisation, expenditure for office items exceeding Rupees Thirty Lakhs requires sanction of the next higher authority (boss in the present case). Rajesh knows that immediate superior would expect all these purchases should be done at his level and may not appreciate such lack of initiative on his part. During discussions with office, he learns that common practice of splitting of expenditure (where large order is divided into a series of smaller ones) is followed to avoid obtaining sanction from higher authority. This practice is against the rules and may come to the adverse notice of Audit. Rajesh is perturbed. He is unsure of taking decision in the matter. (a) What are the options available with Rajesh in the above situation ? (b) What are the ethical issues involved in this case ? (c) Which would be the most appropriate option for Rajesh and why ?

You are working as an executive in a nationalised bank for several years. One day one of your close colleagues tells you that her father is suffering from heart disease and needs surgery immediately to survive. She also tells you that she has no insurance and the operation will cost about ₹ 10 lakh. You are also aware of the fact that her husband is no more and that she is from a lower middle class family. You are empathetic about her situation. However, apart from expressing your sympathy, you do not have the resources to fund her. A few weeks later, you ask her about the well-being of her father and she informs you about his successful surgery and that he is recovering. She then confides in you that the bank manager was kind enough to facilitate the release of ₹ 10 lakh from a dormant account of someone to pay for the operation with a promise that it should be confidential and be repaid at the earliest. She has already started paying it back and will continue to do so until it is all returned. (a) What are the ethical issues involved? (b) Evaluate the behaviour of the bank manager from an ethical point of view. (c) How would you react to the situation?

You are working as an Executive Engineer in the construction cell of a Municipal Corporation and are presently in-charge of the construction of a flyover. There are two Junior Engineers under you who have the responsibility of day-to-day inspection of the site and are reporting to you, while you are finally reporting to the Chief Engineer who heads the cell. While the construction is heading towards completion, the Junior Engineers have been regularly reporting that all construction is taking place as per design specifications. However, in one of your surprise inspections, you have noticed some serious deviations and lacunae which, in your opinion, are likely to affect the safety of the flyover. Rectification of these lacunae at this stage would require a substantial amount of demolition and rework which will cause a tangible loss to the contractor and will also delay completion. There is a lot of public pressure on the Corporation to get this construction completed because of heavy traffic congestion in the area. When you brought this matter to the notice of the Chief Engineer, he advised you that in his opinion it is not a very serious lapse and may be ignored. He advised for further expediting the project for completion in time. However, you are convinced that this was a serious matter which might affect public safety and should not be left unaddressed. What will you do in such a situation? Some of the options are given below. Evaluate the merits and demerits of each of these options and finally suggest what course of action you would like to take, giving reasons. (i) Follow the advice of the Chief Engineer and go ahead. (ii) Make an exhaustive report of the situation bringing out all facts and analysis along with your own viewpoints stated clearly and seek for written orders from the Chief Engineer. (iii) Call for explanation from the Junior Engineers and issue orders to the contractor for necessary correction within targeted time. (iv) Highlight the issue so that it reaches superiors above the Chief Engineer. (v) Considering the rigid attitude of the Chief Engineer, seek transfer from the project or report sick.