Friday, May 24, 2013

NEITHER A CAGED PARROT, NOR AN UNRULY HORSE


What Should the Functional Independence of CBI Mean?
(The new law must define CBI 'autonomy' and government 'superintendence')

Exasperated with the "sordid saga" of the handling of the CBI's coal scam status report by all concerned, the Supreme Court asked the Central government to frame a law that would ensure the CBI enjoyed functional independence. The government accepted the need and appointed a group of ministers to frame such a law.

Luckily for the government, the apex court prescribed two basic principles that should govern the formulation of such a law. The CBI should become neither a "caged parrot", nor an "unruly horse".

The "caged parrot" part of the apex court's observations received much wider publicity than the "unruly horse" portion. This is unfortunate, as these ideas are closely linked. Indeed, they flow from each other. The CBI, like any other police agency, enjoys enormous power, which must be controlled to prevent misuse. But then, controlling the agency itself becomes a source of power that can be misused to serve partisan interests. The new law for the CBI must, therefore, respect and balance these two ideas.

The present law vests the superintendence of the CBI in the Central government, though a part of the control has also been transferred to the CVC. However, the word "superintendence" has not been defined in any law, making it easier for the government to misuse the organisation to serve partisan interests.

The court tried to interpret the word "superintendence" in the Hawala judgment. According to the judgment, superintendence over the functioning of the department "would not include within it the control of the initiation and actual process of investigation". The judgment did not succeed in insulating the CBI from the illegitimate control of the Central government. The statutory laws governing the CBI remained silent on what the term meant, and no mechanism was put in place to ensure there was a shield between the CBI's functioning and political expediency.

The new law must focus on defining the term and fine tune it by prescribing the areas that should strictly be the preserve of the CBI chief, and where the government should have the power to intervene. It should specify what the word "superintendence" will include and exclude.

Just as the idea of superintendence has remained undefined, so has the doctrine of operational independence of police. Even in a country like the UK, where operational independence is a fundamental principle of policing, it has no statutory basis. It was articulated in judicial pronouncements, the most famous being the judgment of Lord Denning in the Blackburn case in 1968. Even though the Royal Commission on Police had endorsed it in 1962, till date, it has no constitutional or statutory basis. It has evolved over a period of time as a convention, which is fully recognised and respected by the government, the community and the police.

Being independent in functioning, however, should not mean that the investigating agency becomes unaccountable for its performance and behaviour. To ensure that lack of control does not mean lack of accountability, the Patten Commission on Policing in Northern Ireland substituted the concept of operational independence with that of operational responsibility: "Operational responsibility means that it is the chief constable's right and duty to take operational decisions, and that neither the government nor the Policing Board should have the right to direct the chief constable as to how to conduct an operation. It does not mean, however, that the chief constable's conduct of an operational matter should be exempted from inquiry or review after the event by anyone. That should never be the case." The group of ministers must take cognisance of this principle of operational responsibility and give it a statutory wrap.

Selection for the post of director of the CBI is of great importance for the doctrine of operational independence to succeed. The present arrangements allow the government to select a person of their choice. Even if the selection is done by a collegium, it should not be done on the basis of majority opinion. Leaders of opposition must be included in the collegium to balance the weight of different views. While providing security of tenure, the new law must have a provision debarring the incumbent of the post from holding a government job after retirement.

Operational independence means that the CBI should have full authority to inquire or investigate an offence, irrespective of the status of the person accused of having committed that offence. The Single Directive, which requires the CBI to obtain permission from the government to make an inquiry if the alleged offender is of the rank of joint secretary and above, should be discarded by the new law.

The new law must also do away with provisions of existing law that require obtaining of sanction to prosecute, particularly if the CBI is equipped with a separate directorate of prosecution, as was suggested by the apex court in its Hawala judgment. The directorate of prosecution will decide if the case is fit for prosecution.

In short, the new law must guarantee that the Central government's control over the CBI is so exercised as to ensure that the agency's performance is in strict accordance with law. The government's role is to formulate policies, provide sufficient budget, set standards and monitor performance, but it cannot give any operational direction to the CBI chief. The new law must delineate the CBI's powers as well as functions, specify that investigation will be its exclusive preserve and not allow any provision that can provide impunity. It must prescribe mechanisms to ensure the CBI's accountability for its performance and conduct.


(This article was published in the Indian Express dated May 25, 2013)
 

Friday, May 10, 2013

LIBERATING THE CAGED BIRD

The ALLURE IS NOT FALSE
(A Rejoinder to Mr Harish Khare )                                                              
                                                                                               
I read Mr. Khare’s article “The false allure of liberating CBI” published in the Hindu of May 7, 2013 with great interest but with greater anguish.

Mr Khare thinks that the clamour for making the CBI functionally independent is nothing but a “misconceived hypocrisy.”  He cites the example of politicians decrying the misuse of CBI by the party in power but doing exactly the same when they return to rule. “No Prime Minister in his or her right political senses would let rivals control an asset like the Central Bureau of Investigation,” he says. Mr Khare is correct in his assessment, but is wrong in drawing conclusions that are clearly invalid.

Being the premier investigating agency of the country, the CBI should be treated as an asset of the country and not of the PM or the ruling party. Why do they treat the CBI as an asset? The answer is simple- so that they can misuse it for political gains.  They  use it to support some and threaten others.

What is the conclusion that Mr Khare draws from the great reluctance on the part of the PM to relinquish control over the organisation?  He feels that it would be a “great misinterpretation of the constitutional scheme of things (sic) of powers if a section of the judiciary were to …. prise the CBI from the political executive.” Nobody is trying to do that- neither the judiciary nor the “noisemakers.”  Both recognise the CBI to be a part of the executive, and in our system of governance, the minister concerned is responsible to Parliament for its efficient and honest functioning.  The Supreme Court had clearly recognised in its havala case judgement and reiterated it in its recent hearing in the coal scam that the government was within its right to exercise general oversight and  provide broad guidance and  policy directions to the organisation.  However, the apex court on both occasions clearly maintained that any interference by the executive in CBI’s investigations was contrary to provisions of law and this would be treated as illegitimate interference.  It is this basic distinction between the legitimate and illegitimate interference in the CBI’s work that Mr Khare conveniently overlooks.

Why is it important to recognise and decry government’s  interference in investigation work?  Mr Khare’s article frames the terms of debate wrongly and avoids discussing this important concern.

Illegitimate interference in the investigation work of CBI is harmful for three reasons.  One, it obstructs the rule of law, which requires that laws are enforced in a fair and impartial manner. This cannot be ensured if interference in CBI’s investigation work subjects the investigating  team to wrong types of pulls and pressures and undercuts their will to act courageously in conformity with law.  We saw it happening recently when the Director CBI had no compunction in showing the agency’s status report to the government. 

Two,it hampers the professional growth of the organisation.  The government to ensure that its directions to investigating officers are implemented in letter and spirit sometimes adopts unfair personnel policies.  Appointments, postings, promotions, transfers, rewards and punishments are decided not always on merit but on extraneous considerations.  This shatters the morale of honest officers and encourages the wrong ones to curry favour of those in power.  An officer of the team investigating coal scam was transferred and had to be recalled at the behest of the apex court. It is the part of the same story when CBI officers are accommodated by the government in gubernatorial or other important assignments after retirement.

Three, it damages the image of the organisation.  As the citizens have lost confidence in their local police forces, it is important that they have their faith in a central agency to seek  justice.  Unfortunately, over a period of time, the CBI’s image has been badly dented.  Calling it the Central Burial of Investigation or the Congress Bureau of Investigation may sound funny, but the harm it does to the image and professional esteem of the organisation is immense.  Some crooked politicians take advantage of this public perception.  Even where action taken against them is perfectly legitimate and is as per law, they invariably pose as victims of political vendetta and witch-hunting.

According to Mr. Khare, “in normal circumstances, the Prime Minister would have perhaps sought the Law Minister’s resignation for having committed a grave impropriety, but these are not normal times.”  One is tempted to ask: why are these not “normal times” or circumstances?  There is no emergency in the country. To consider these times abnormal simply because the “BJP has bayed for the Law Minister’s blood a bit too loudly” is abnormal reasoning.

According to Mr Khare, moderation should be the recipe not only for the opposition but also for the judiciary.  “If there was a time for moderation in judicial pronouncements and comments, it is now,” Mr. Khare cautions.  He feels that excessive “judicial meddlesomeness” has driven the “political supervision of the CBI” underground. The “communication and command rites are performed away from the public gaze.”  Mr Khare is blissfully wrong.   The citizens in this country have never been aware of any time in history when the central government’s supervision of the agency has been over ground.  Political supervision of the agency has always been a closed door affair.  It has been so not because of judicial activism, but because of attempts on the part of every government to misuse the agency for political gains.

The conclusion that a ”legitimate relationship of consultative advice — between the political executive and an investigating agency — has been rendered somewhat suspect” is not correct.  Legitimate use of the agency by the central government is recognised in law and by the High Courts and the Supreme Court.  What has been questioned is the illegitimate interference in the work of the agency.

The need to make the CBI an effective and an impartial organisation  is urgent .  It deserves to be discussed dispassionately, unaffected by personal prejudices.  Mr. Harish Khare’s analysis is found wanting in this respect.  “How much easier it is to be critical than to be correct!”

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The above was written in response to Mr. Harish Khare's article published in the Hindu dated May 07, 2013.  The article is reproduced below:

The false allure of liberating CBI



Harish Khare

A law minister’s mistakes cannot be used to introduce an institutional imbalance by creating an autonomous policeman through judicial interventio

As a nation we remain self-absorbed in our own hypocrisies. And perhaps there is no greater misconceived a hypocrisy than the notion that the Central Bureau of Investigation (CBI) should be — and, can be — functionally independent of the political executive of the Union. But our politically correct commentators and other noisemakers are obsessed with an “autonomous” CBI as a panacea for misgovernance; and, the politicians, when in opposition, decry the “political misuse” of the agency but once in office cheerfully lord over the CBI. Let us only recall how after L.K. Advani had manoeuvred to become the deputy prime minister during the National Democratic Alliance (NDA) regime, he strenuously tried to grab the CBI and bring it under his control, but that old fox, Atal Behari Vajpayee, was shrewd enough not to let go of this investigative instrument. Indeed, no Prime Minister in his or her right political senses would let rivals control an asset like the Central Bureau of Investigation. 

Time for moderation
 
Therefore, it would be a great misinterpretation of the constitutional scheme of things of powers if a section of the judiciary were to seize upon the Union Law Minister’s supercilious stupidities to prise the CBI from the political executive. Admittedly, the incumbent Law Minister is punching way above his weight and has over the last few months demonstrated himself to be lacking that fine balance of temperament and competence that is so essential in a sensitive ministerial assignment. In normal circumstances, the Prime Minister would have perhaps sought the Law Minister’s resignation for having committed a grave impropriety, but these are not normal times. The Bharatiya Janata Party (BJP), in its present, destructively self-righteous mood, has bayed for the Law Minister’s blood a bit too loudly. An Opposition that does not believe in moderation cannot hope to shame the ruling party into doing the right thing. 

Neither the BJP’s practised cussedness nor the United Progressive Alliance’s habitual obduracy should weigh heavily with the judiciary; there is certainly no reason for the judiciary to get too distracted by the political noise in the matter of the so-called coal allocation scam to try and manufacture an artificial and unsustainable “autonomy” for the CBI. If there was a time for moderation in judicial pronouncements and comments, it is now. 

It was P.V. Narasimha Rao who cynically used the CBI to embroil his rivals within the Congress Party in the Hawala case. So blatant was this misuse of prime ministerial authority that the late Justice J.S. Verma seized a PIL case to pronounce a new doctrine of maximalist distrust. The court, quoting from its earlier verdict (in the case of Union of India and others versus Sushil Kumar Modi and others, 1997), insisted on ensuring “performance of the statutory duty by the CBI and the other government agencies in accordance with the law for the proper implementation of the rule of law. To achieve this object, a fair, honest and expeditious investigation into every reasonable accusation against each and every person reasonably suspected of involvement in the alleged offence has to be made strictly in accordance with the law.” 

Since the Hawala case, an entire generation of higher judges has been in thrall of the idea of laying down what the CBI can and cannot do. The Hawala ruling prompted a new Central Vigilance Commission regime and for a while we applauded ourselves for having struck a blow against corruption among public servants. But given our addiction to this or that hypocrisy, we pretend that such judicial interventions have had a long-term salutary effect on matters that are essentially political in nature. 

It is also an unfortunate fact that since the mid-1990s, there has been no Central government strong enough nor a Prime Minister so assured of the support of his own party and coalition partners that he would protest encroachment of the executive’s prerogatives. Judicial interventions have only encouraged the PIL-industry to make a nuisance of itself at the behest of corporate rivals. 

Lok Pal debate
 
In the recent Lok Pal debate, the government and the Opposition were silently united in rejecting the demand that the CBI be brought under the proposed ombudsman. It was a rare display of political common sense so essential to sustained statecraft. 

Undoubtedly, the political class is a rather unattractive lot and the middle classes are always willing to set policemen “free” from the presumed clutches of the elected politician. It is an attractive proposition that the “professional” police officer would an honest, scrupulous, law-abiding and justice-dispensing public servant, and would hold his own against the errant politician. Hence, periodic judicial efforts to intervene or “oversee” investigations. 

All these essays in judicial meddlesomeness have produced only a massive hypocrisy: the political supervision of the CBI got driven underground, while everybody pretends that the agency has been set “free.” A legitimate relationship of consultative advice — between the political executive and an investigating agency — has been rendered somewhat suspect; therefore, the communication and command rites are performed away from the public gaze. Whatever the colour of the government in New Delhi, its political managers were always anxious — and, rightly so — to ensure that the agency was not manipulated by rivals. 

There is a history to this anxiety. Since the Allahabad High Court judgment against Indira Gandhi in 1975, sections of the judiciary have been happy to entertain political rivals from using courts to settle scores and contests which otherwise should be sorted out in the electoral arena or in Parliament. A judicial pronouncement — even an oral observation would do — is seized upon to demand this or that functionary’s ouster from office. Every judicial pronouncement is seized upon to unleash a furious debate, generate indignation and anger, feeding distrust and discontent among the citizens towards lawfully constituted constitutional authority. 

This over-reliance on finding a judicial solution to the abuse of power by ministers and bureaucrats has come at the expense of Parliament as the ultimate institution of accountability and democratic legitimacy. Rather than raise matters of ministerial transgressions in Parliament and make the Prime Minister explain his colleagues’ misdemeanours, the Opposition disrupts and stalls the functioning of the legislative institution. Political partisanship strangulates any debate over the merit or demerit in an alleged misdeed. Political leaders, from Prime Minister downward, are no longer willing to sit in moral judgment over this minister’s or that bureaucrat’s presumed guilt, because everyone assumes that sooner or later, the matter would end up in a court of law. The notions of democratic accountability and political responsibility stand considerably diluted. 

Accountability
 
Given the context of this political culture of suspicion and accusation, it would be tempting to judicially “liberate” the CBI. This can only produce an institutional inequilibrium of the most unhelpful kind. Any democratic society should be very suspicious of a policeman, however competent a professional he may be, with powers to determine political life and death. As it is, we have yet to evolve a code of conduct for an ever enlarging plethora of regulators and independent commissions. Everyone goes about hypocritically believing that we have found the magic formula to make honest appointments of honest individuals to such “institutions.” 

Once an appointment has been wangled, then it is entirely open to an incumbent to take a maximum or a minimal view of his or her brief. We are becoming wise to another aberration: the potential — and, in a few cases, the reality — of a corporate house suborning these so-called “independent” authorities. Before we succumb once again to the allurement of installing unelected gods as our saviours, let us just remember that it is easy to proclaim and grab “independence” but it is much more difficult a task to produce the requisite institutional culture, anchored in balance, fairness and rectitude. That balance can be produced and enforced only by democratic processes of accountability. This balance can neither be produced nor imposed by a court. 

(Harish Khare is a senior journalist, political analyst and former media adviser to Prime Minister Manmohan Singh. He is currently a Jawaharlal Nehru Fellow).



Friday, May 3, 2013

REVISITING THE HAVALA CASE JUDGEMENT

 FROM HAVALA SCAM to COAL GATE, FULL CIRCLE for SUPREME COURT

Non-implementation of the 1997 judgment in the money laundering case shows that freeing the CBI from political interference is a challenge even for the apex court

“Our first exercise will be to liberate CBI from political interference.” This is what the Supreme Court said while deliberating the coal scam status report. It is not the first time that the court will be embarking on such a project. A similar exercise was undertaken after the hawala case judgment on December 17, 1997. It is important to revisit that judgment in this context.

The gist of the allegations made in the hawala case petition was that financial support was given to terrorists by clandestine means using tainted funds from “hawala” transactions. The CBI had failed to investigate this properly and prosecute those involved. This was done to protect people who were influential and powerful.

The court adopted the procedure of “continuing mandamus” that allowed it to issue interim orders from time to time. One order was similar to what was done in the coal scam. It asked the CBI not to report the progress of investigations to the person occupying the highest office in the executive.

Four points

The final judgment of the court comprised various directions to establish institutional and other arrangements aimed at insulating the CBI from “extraneous influences.” Four of these were important. One, the judgment transferred the superintendence over the CBI from the government to the Central Vigilance Commission (CVC). Two, it said that selection for the post of CBI Director should be made by a committee headed by the CVC, with the Union Home Secretary and Secretary (Personnel) as members. Three, the CBI Director should have a minimum tenure of two years, regardless of the date of his superannuation. Four, the CBI would no longer be required to obtain permission from the government before investigating allegations against officers of the rank of joint secretary as the Single Directive was declared null and void.

None of these directives was implemented honestly. Control over the CBI was not fully transferred. The CVC Act of 2003 allowed the CVC to exercise superintendence only over corruption cases registered by the Delhi Special Police Establishment (DSPE). The CVC Act resulted in introducing a system of dual control over the CBI — one exercised by the CVC in respect of corruption cases and the other by the Central government in respect of other cases. The court agreed that since the Minister concerned was answerable to Parliament for the efficient functioning of the premier investigation agency, he must have the power to (i) review the working of the agency (ii) give it broad policy directions regarding investigation and prosecution of cases (iii) appraise the quality of work of its officers, and (iv) call for information about the progress of cases. It is this part of the hawala case judgment which the present court may review. However, the hawala case judgment did mention that none of these powers “would extend to permit the Minster to interfere with the course of investigation and prosecution in any individual case.”

Single Directive

The government has always succeeded in selecting its own man to head the organisation because all the three officers who constitute the committee to select the CBI chief are bureaucrats who are generally willing to toe the government’s line. Besides constituting this committee, the CVC Act did not lay down the procedure for selection of the head of the organisation.
The security of tenure, which was guaranteed by the judgment, did not work because the government succeeded in dangling the carrot of post-retirement benefits before the CBI chief. The last person was recently made the Governor of Nagaland — bringing the number of IPS officers occupying gubernatorial posts to eight. The judgment did not say, as was done by the National Police Commission, that the head of a police organisation should not be eligible for any government post after retirement.

Lastly, the hawala case judgment declared the Single Directive null and void. The court found it bad in law. It required a police agency to seek permission from the executive to initiate investigation into a criminal offence, which is contrary to law. It also violated the canon of equality in the application of laws. The CVC Act of 2003 infracted these basic principles of legal jurisprudence by resurrecting the Single Directive.

That the judgment and the measures it prescribed failed to free the CBI from political interference is obvious from recent developments — the present CBI Director showing the coal scam investigation report to the Law Minister and other functionaries of the government. In fact, even before this case occurred, Justice J.S. Verma, the author of the hawala case judgment, had realised that the CBI continued to be influenced by political considerations in its work. This is what he wrote in an article titled “The Incredible CBI” published in a leading daily on April 11, 2009: “The blame cannot be laid elsewhere. It is too much of a coincidence that in sensitive matters, the outcome of the CBI’s investigation invariably depends on the political equation of the accused with the ruling power, and it changes without compunction with the change in that equation.”

The hawala case judgment is not the only one, which has not been implemented fully, either in letter and in spirit. The Supreme Court’s judgment in Prakash Singh delivered on September 22, 2006, also remains unimplemented in most States.

The Supreme Court has to think out of the box not merely to make recommendations to “liberate” the CBI but also to ensure their implementation.

(This article was published in the Hindu dated May 3, 2013)