7341890 whistle blower final
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WHISTLE BLOWER POLICY
Group No. 10
Chandra kant 16
Pushkar 23
Prashant 27
Magan 57
Satyameva Jayate!
Lives of great men all remind us
We can make our lives sublime,
And, departing, leave behind us
Footprints on the sands of time...
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³ A man does what he must
inspite of personal
consequences,inspite of obstacles and
dangers and pressures
That is the basis for all
morality... ³
Satyendra Dubey
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Born in 1973 in the village of Shahpur in the
Sewan district of Bihar. B.Tech f r om IIT Kanpur in 1990.
Passed Indian Engineering Service (IES) in
1994 and joined the Ministry
of Sur
f acetransport in Delhi.
Join National Highway Authority of
India (NHAI) in July 2002 as an Assistant
Pr o ject Manager at Koder ma
Forced contractor to suspend three
engineers.
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Contracted f ir m L&T for GQ pr o ject
subcontracted work to smaller low technology
gr oup contr olled by local maf ias.
NHAI off icials showed a great hurry in giving
mobilisation advance to selected contractors
for f inancial consideration. Transf erred to Gaya.
At Gaya he exposed large-scale f louting of
NHAI rules regarding sub-contracting. Appointed as Pr o ject Director Koder ma
Pr o ject Implementation Unit (PIU) handling
the 5,200-km stretch at Gaya.
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Letter To Prime Minister
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Mobilisation of advances to selectedcontractors for f inancial consideration by
NHAI off icials.
Poor monitoring of the f inal use of money. Sub-contracting by the primary contractors.
"A dream project of unparalleled importance to the
Nation but in reality a great loot of public money because of very poor implementation at every state."
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The Investigation
CBI f inally concluded that it was a case of an
attempted r obbery
Curr ent Status
Supreme Court is currently overlooking
investigations into the corruption charges
initially raised by the Dubey letter.
Several off icial have been indicted and a
technical team is overseeing the actual
construction
Assassinated on November 27, 2003
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Law ministry was about to intr oduce legislation
to pr otect whistleblowers. Dubey's murder drew several pr otests in India and
abr oad
S. K. Dubey Foundation for Fight AgainstCorruption in India was launched.
Satyendra K Dubey Memorial Award, to be givento an IIT alumnus.
Whistleblower of the year award f r om the London-based Index of sensorship.
Transparency International's Annual integrityaward and the Service Excellence award f r om the
All India Management Association.
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" My conscience is my biggest virtue, my wealthiest
treasure and my best guide or friend. I always do
what my conscience tells or compels me to do. Iwant to keep this candle of humanity ever glowing in
my heart .µ
± S K Dubey
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Socrates knew that he had done
right and had been treated unfairlyby the court. He then faced anunenviable choice: to turn down
the offer to escape and face hispunishment as a good citizen, or toleave Athens for sanctuaryelsewhere and continue to lead hisown life with its pleasures and
satisfaction.
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He chose to stay and be executed onthe ground that there are matters
more important than even life itself. That which is most worth living for
may also be worth dying for.
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I would rather die after spoken about my manners than speak in your
manners and live. The difficulty is not to avoid death but
avoid un-righteousness for that runs
faster than death. Be a good cheer about death, and know
your character, no evil can happen to a
good
man. The un-examined life is not worth
living.
««
..Socrates««««.
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What is whistle blowing?
Whistle blowing is the disclosure by
organizational members (for mer or
current) of illegal, immoral or illegitimate
practices under the contr ol of their
employers, to persons or organizations
that may be able to aff ect action.
Making infor mation available to public or other external authorities.
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Kinds of Whistle blowing
Internal Whistle blowing is made to
someone within the organization.
Personal Whistle blowing is blowing thewhistle on the off ender, here the charge is
not against the organization or system but
against one individual.
The impersonal, External Whistle Blowing.
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There are four f actors in pr ocess:
Occurrence of misdeed or illegal activity in orgz
Perception that either the management can
prevent it or that it has been initiated by
management or certain employees.
Presence of an individual or gr oup of people
who want some action against the illegal activity.
Individuals or gr oup expose the pr oblem to theauthorities who can take action.
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Perception towards whistleblower
Those did not blow the whistle f eel guilty
of immorality.
They d
oubt the l
oyalty
of the whistleblower to the employer.
The whistleblower is perceived as a traitor,
as someone who has damage the f ir m -
the working f amily to which he/she
belongs.
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CRITERIA FOR JUSTIFIABLE
W
HISTLEB
LOW
ING: The f ir m thr ough its pr oduct or policy will do
serious and considerable har m to the public.
Once an employee identif ies a serious threat
he should report it superior and make his
moral concern known. Unless he or she does
so, the act of Whistle blowing is not
justif iable. If superior does nothing eff ective, the
employee should take the matter up the
managerial ladder.
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Whistleblower must have accessible
documented evidence that would convince
a reasonable, impartial observer.
The employee must have good reason to
believe that by going public the necessary
changes will be br ought about.
Morally justif iable whistle-blowing are
easier, saf er and more eff icacious.
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Certain issues for whistleblowing Violation of any law or regulations, including but not limited to
corruption, bribery, thef t, f raud, coercion and willf ul omission. Pass back of Commission/benef it or conf lict of interest.
Pr ocurement f rauds.
Mismanagement, Gr oss wastage or misappr opriation of company f unds/assets.
Manipulation of Company data/records. Stealing cash/company assets; leaking conf idential or
pr oprietary infor mation.
Unoff icial use of Company¶s material/human assets.
Activities violating Company policies including Code of Ethicsand Conduct.
A substantial and specif ic danger to public health and saf ety.
An abuse of authority.
An act of discrimination or sexual harassment.
The above list is only illustrative and should not be consideredas exhaustive.
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Whistleblowing in East &West
Whistleblowers are murdered or victimised.
Whistleblowers Pr otection Act of 1989, U.S.
Public interest disclosure by f ederal employees.
Sarbanes-Oxley Act of 2002, U.S.
Legal pr
otecti
on t
owhistle bl
owers in publiclytraded companies.
Public Interest Disclosure Act of 1998, U.K
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Clause 49 of the Listing Agreement betweenlisted companies and the Stock Exchanges hasbeen recently amended which, inter alia,
pr ovides for a non-mandatory requirement for all listed companies to establish a mechanism called 'Whistle Blower Policy' for employees to report to the management instances of
unethical behaviour, actual or suspected, f raudor violation of the Company's code of conductor ethics policy.
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WHISTLE BLOWER POLICY
The Whistle Blower policy is for elimination
of malpractices in the system.
T
orep
ort
for:
± Violation of a Law or Regulation by the
Company.
± Financial Malpractices
± A danger to public health or saf ety
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PURPOSE
± To report to the management about violation
of the company¶s policy ± To build and strengthen a culture of
transparency and trust in the organization.
± To disclose alleged wr ongf ul conduct to theteam members of the whistle blower policy
APPLICABILITY
± employees & ex-employees of diff erent dept.
MAKING A DISCL
OSURE
± Either thr ough phone or writtencommunication, complete with relatedevidence.
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DISCLOSURE INVESTIGATION
Ascertaining the correctness and trueness of the
complaint & recommending necessary correctivemeasures as follows:
i) Closing the complaint if wr ongf ul conduct remains
largely unsubstantiated.
ii) If the complaint found correct on investigation,action against concerned persons suggested.
iii) To overcome system weakness/making it more
stringent recommending installation of other
policies, codes or pr ocedures.
iv) Management takes appr opriate action
immediately.
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CONFIDENTIALITY ± Disclosure of wr ongf ul conduct may be submitted on
a conf idential basis or anonymously and will be kept
conf idential.
PROTECTION AGAINST VICTIMIZATION. ± No adverse action shall be taken against an
employee or business associate in ³knowing
retaliation´ who makes any good-f aith disclosure of
suspect or wr ongf ul conduct.
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Whistle Blower Policy for Tata Companies
1. Pr ef ace
2. Def initions3. Scope
4. Eligibility
5. Disqualif ications
6. Procedur e7. Investigation
8. Protection
9. Investigators
10. Decision11. Repor ting
12. Retention of documents
13. Amendment
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Pr ef aceR eporting Concerns
³Every employee of a Tata Company shall
promptly report to the management any
actual or possible violation of the Code or
an event he becomes aware of that could
affect the business or reputation of his or
any other Tata Company.´
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y Scope
Whistle Blowers should not act on their own in conducting any investigative
activities, nor do they have a right to
participate in any investigative activitiesother than as requested by the Ethics
Counsellor or the Audit Committee or the
Investigators.
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Disqualif icationsW
histleB
lo
wers, who m
ake threeo
r mo
rePr otected Disclosures, which have beensubsequently found to be mala f ide,f rivolous, baseless, malicious, or reported
otherwise than in good f aith, will bedisqualif ied f r om reporting f urther Pr otected Disclosures under this Policy. Inrespect of such Whistle Blowers, the
Company/Audit Committee would reserveits right to take/recommend appr opriatedisciplinary action.
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Protection
The Company will take steps to minimizediff iculties, which the Whistle Blower may
experience as a result of making the Pr otected
Disclosure. Thus, if the Whistle Blower is
required to give evidence in criminal or disciplinary pr oceedings, the Company will
arrange for the Whistle Blower to receive advice
about the pr ocedure, etc.
Any other Employee assisting in the saidinvestigation shall also be pr otected to the same
extent as the Whistle Blower.
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DecisionIf an investigation leads the Audit
Committee to conclude that an impr oper or
unethical act has been committed, the
Audit Committee shall direct the
management of the Company to take such
disciplinary or corrective action as the
Audit Committee deems f it
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Examples of whistleblowers:
Satyendra Dubey ± NHAI
S.D.Shinde ± MbPT
Arun Bhatia - IAS
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S.D. Shinde
³The officer is
very sincere
but extrainquisitive´.
-An entry in annual
conf idential report (ACR)
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Notewor thy disclosur es and
instances of victimisation
Exposed pilf erage of imported oil between 1994and 1997.
Reported thef t of chemicals (tetracycline) to thepolice in 1997
Blew the cover on illegal clearance of ship-stores & other materials f r om foreign goingvessels using forged documents.
Discovered and reported a case of f raud in1998, relating to import of machinery worth Rs.6cr ores, involving undeclared & excess cargo.
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Caught Shri Sayyed Karim, red-handed, whiletrying to sneak out 150 gold bars valued at about
Rs.70 lacs in 1999.
Submitted conf idential reports about illegalencr oachment in MbPT premises.
In early 2003, he was chargesheeted on f rivolousgr ounds such as for assisting customs & CBI (inviolation of Customs Act, CVC Manual & Major Port Trusts Act) by his corrupt superiors in MbPT) & suspended in November, 2003.
In July, 2004 another f rivolous chargesheet wasissued to him.
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In February 2005, Shri S.D.Shinde submitted awell researched report on increase in thef t &smuggling activities in the port area.
5 FIRs were registered as a consequence of thisreport and another subsequent report by animporters¶ association about short landing in 14containers.
As a result conspiracy was hatched against ShriS.D.Shinde by those very cr ooks who wereinvolved in these thef ts, with the connivance of other corrupt MbPT and police off icials.
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He was not responsible for guarding the
area where the thef ts occurred since he
was posted as a security incharge of
MbPT hospital till he was arrested.
He was booked as a chief conspirator as a
result of which his anticipatory bail was
denied and he was f alsely arrested &
chargesheeted.
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Arun Bhatia
³I n I ndia, youcannot fulfill your mandate by not
confronting thesystem. Honesty means to enforce
honesty in thesystem´.- In interview to virtualpune.com
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Transf er is an instrument not only of
harassment but also of silencing pr otest
within the system.
In 26 years of service (excluding the
training period and service in the UN),
Bhatia was removed f r om his post(transf erred) 26 times.
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Corruption & mismanagement
detected & addr essed
1972 ± CEO, ZP, Osmanabad
± Political transf ers and victimisation of school
teachers.
± Illegal sanctioning of works not pr osecuting
village, misappr opriating public f unds etc.
± Transf erred within a year.
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1982 ± Collector, Dhule
± Filed 42 cases against off icials of various
departments for corruption in the EmploymentGuarantee Scheme.
± Transf erred af ter a year violating therecommendation of the High Powered
Legislature Committee appointed to report onthe corruption.
1984 ± Collector, Mumbai city
± Detected and reported corruption in the
implementation of the Urban Land Ceiling Act. ± Detected illegal construction and lodged
police cases against builders in respect of FSIviolations.
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± Departmental enquiry started against Bhatia
for making allegations against senior off icers.
± Pr omotion was denied and Bhatia went to
court, def eated the government, and obtained
his pr omotion in 1991.
1993 Commissioner, FDA,Maharashtra.
± Took action against Glaxo for recycling of
rejected drugs f r om their f actory.
± Was abruptly and prematurely transf erred.
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1997-98 Commissioner, Pune Division.
± Dismissal of Talathis & Circle off icers.
± Irregularity in the Irrigation department.
Fake evaluation report.
Issue of work orders without opening of tenders.
Allotment of excess work.
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1999 - Commissioner, PMC.
± Dissolution of PMC - Illegal recruitment of
staff by politicians.
± Stopped selective demolition and demolishedillegal buildings of inf luential persons.
± FIR against the Chief Secretary for corruption.
± Transf erred f r om the PMC af ter 7 days, thecitizens went to the High Court, def eated thegovt. and had the transf er cancelled.
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RECOMMENDATIONS
Clause 49 of the listing agreement should make
³Whistle blower policy´ mandatory.
Authorities similar to CVC at the State level.
Jurisdiction of authority to include Prime Minister
and the Chief Ministers.
Whistleblower pr otection for IAS & IPS off icers .
A superior who does not act even when anirregularity is br ought to his notice by a
subordinate be held accountable.
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Guardian authority should pr otect whistleblowers
f r om for mal & infor mal retaliatory measures.
Scandalised public servant should not have to
exhaust all the innumerable hierarchical levelswithin government or wait indef initely for these
level to respond.
Gagging clause of the employment contract
should be declared void in respect of public
interest disclosure.
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H onesty is the first chapter in
the Book of wisdom --
Let it be our endeavor to merit
the character of a just nation
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