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Vigilance Measures. Why Vigilance. Vigilance connotes Watchfulness Vigilance to be given a rightful place in the Management since it is one of the essential components for management. Why Vigilance….

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Vigilance Measures

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Vigilance Measures

Why Vigilance

  • Vigilance connotes Watchfulness

  • Vigilance to be given a rightful place in the Management since it is one of the essential components for management

Why Vigilance…

  • `vigilance’ is liked neither by an honest officer nor a dishonest officer, yet its absence will be harmful to the organization.

    • In the long run, it will be in the good health of the organization.

  • The purpose of vigilance is not to wait for lapses to be committed and then try to conduct post mortem.

Types of Vigilance

  • Preventive Vigilance

    • Helps us to avoid commission of offences by officials through proper surveillance.

    • Calls for constant review of rules, procedures and practices.

    • Helps management to get optimum results from the different activities.

  • Punitive Vigilance

    • Takes care of enforcing necessary punishment after the irregularity/fraud is detected.

Components of Preventive Vigilance

  • Identification of areas where surveillance is necessary

  • Maintenance and preservation of records/data

  • Carrying out visits and inspections from Vigilance angle

  • Formation of vigilance squads and surprise visits

Components of Preventive Vigilance…..

  • Analysis of visit/inspection reports and identify new areas requiring surveillance

  • Review of Rules and Procedures based on the above analysis

  • Implementing suggestions based on review

Vigilance Tools available

  • Surprise Visits – to Post Offices and Mail Offices

  • Annual Inspections – Questionnaire

  • Squad Visits – Divisional, Regional and Circle

  • Review at various levels and follow up

  • Review of Rules and Procedures based on DLIR/CLIRs

Areas for Preventive Vigilance

  • Financing of post offices and RMS units

  • Savings Bank and Savings Certificates

  • Money orders

  • Mails

  • Inspections/visits

  • Buildings and their security

  • Computerized office

  • Miscellaneous


Why frauds take place?

  • Lack of preventive measures

  • Non-observance rules

  • Laxity in Supervision

  • Lacunae in Rules and operating procedure

  • Lenient approach against minor irregularities

  • Improper induction of technology

Kinds of frauds

  • Savings Bank transactions

  • Treasury / Sub Accounts (Cash & Stamps)

  • Money Orders/Bogus Money Order

  • Franking Machine

  • Postal Life Insurance

  • Theft & Dacoity

  • Computer related

  • Mails






Details of offence, violation of rule

Manner in which it is committed


Period of fraud

Criminal intention

Ingredients for detection of fraud

Object of Investigation

  • Detection of source of the fraud

  • Identification of modus operandi

  • Examination material objects used in the fraud & their preservation

  • Assessment of

    • extent of loss

    • damage to image of PO

    • extent of customer dissatisfaction

Object of Investigation….

  • Identification of failures & lapses that abetted the fraud

  • Detection of related frauds

  • Fixing of responsibility

    • Main offenders

    • Active abettors

    • Passive abettors (contributory negligence)

Object of Investigation….

  • Assessment of compensation/ claim to be paid

  • Decision on whether to report to police

  • Immediate action taken to prevent further fraud/ distruction of documents

  • Gathering evidence for departmental action

  • Remedial measures to avoid recurrence

  • Suggested amendments to rules

  • Restoration of faith of customer

Seizure and verification of documents

  • Recording the statement of the main offender based on the records, statement of customers/complainant and statements of witnesses

  • Recording the statement of supporting staff including subsidiary offenders

  • Seizure of all related documents

  • Preparation of inventory wherever necessary

Exercise 2.1

Past Work Verification

  • Verification of work of official done in last one year from date of commission of fraud

    • Savings Bank:

      • Cent per cent

    • MO & others:

      • Some % as per the quantum of frauds suspected minimum of 20%

Past work verification….

  • On completion of past work verification submit final report containing following information

    • Total amount of fraud involved

    • List of officials amounting contributory negligence

    • Claim applications

    • Any other items requires attention

Receipt of report and its scrutiny at CO

  • Report is received at CO from the concerned Divisional Head

  • It should be scrutinized as to whether all the ingredients explained in the previous slides have been included.

  • Whether the report was received without any delay.

  • The observations to be communicated to DO

  • Prompt action taken to issue restoration sanction.

Limit of handling Loss & Fraud

Components of DLIR/CLIR

  • Introduction – Profile of the place

  • How the fraud came to light

  • Departmental enquiry -commencement & completion

  • Total amount involved and net loss

  • Adjustment of loss/ particulars of recovery

  • Modus Operandi

  • Principal Offender – Biodata with past history

  • Criminal prosecution

  • Preservation of Records

Components of CLIR/DLIR….

  • Visits and Inspection

  • Contributory negligence – Divl office, Sub Divisional office, Account office, HO, SBCO

  • Settlement of claims

  • Lacunae in Rules

  • Action taken so far – 100% verification,Issue of Charge sheet etc

  • Action to be completed.

  • SQF is to be attached to the CLIR

Exercise 2.2 - Group activity

Each group will scrutinize the given report and present to the class




  • Non-vigilance Cases

    • Unauthorized absence

    • Lack of devotion to duty

    • Negligence

    • Insubordination

  • Vigilance Angle

    • Bribery

    • Corruption

    • Forgery

    • Falsification of records

    • False claims

    • Disproportionate assets

Sources of Information

  • Complaint

    • Genuinely signed

    • Anonymous

    • Pseudonymous

  • Inspection/Squad report/Audit reports

  • Newspaper reports

  • Other sources

    (While dealing with such complaints CVC guidelines should be kept in view)

Action on receipt of information of misconduct


Warning/Dies non

Disciplinary action


  • Disciplinary proceeding is contemplated or is pending

  • Official has engaged himself in activities prejudicial to the interest of the security of the State

  • Criminal case is under investigation, inquiry or trial


  • Detained in custody, whether on criminal charge or otherwise, for a period exceeding 48 hours

  • Conviction for an offence and imprisonment exceeding 48 hours

Who can suspend?

  • The appointing authority

  • Any other authority to which the A.A. is subordinate

  • Disciplinary authority

  • Any other authority empowered by the President of India.

Put off duty

  • When there is prima facie case

  • Offence should be so serious in nature likely to lead to removal / dismissal

  • Appointing authority, the Authority to which Appointing authority is subordinate may order

Put off duty…

  • IP / ASP can order put off duty of BPM, but should be ratified by divisional supdt within 15 days

  • Subsistence allowance at 25%

  • All suspension and put off duty cases are reviewed by review committee periodically.

Review of suspension

  • Order of suspension shall be reviewed by the competent authority on the recommendations of the Review Committee constituted for this purpose.

  • The composition of Review Committee is furnished in the next slide.

  • An order of suspension shall not be valid after 90 days unless it is extended after review before the expiry of 90 days.

Composition of Review Committee

Review of suspension…..

  • Review committee will take a view regarding revocation/continuation of suspension keeping in view the following

    • The facts & circumstances of the case

    • Unduly long suspension

    • Putting the employee concerned to undue hardship

    • Involving payment of subsistence allowance

  • No review is necessary in case of deemed suspension.


  • No dismissal or removal by authority subordinate to appointing authority

  • No dismissal or removal or reduction in rank without inquiry in which:-

    • charge should be communicated to the Govt. Servant concerned.

    • should be given reasonable opportunity of being heard in respect of charges; and

    • penalty may be imposed only on the basis of evidence adduced during such inquiry

Exceptions in Art 311

  • Conviction on a criminal charge

  • Not reasonably practicable to hold inquiry

    • Appointing authority to be satisfied

    • Reasons to be recorded in writing

  • In the interest of the security of the state

    • President/ Governor to be satisfied

Procedure for MINOR PENALTY- Rule 16

  • Rule 16 of CCS (CCA) Rules 1965

  • Memorandum to the official indicating that action is proposed to be taken

  • Statement of imputations of misconduct

  • Provide opportunity to make representation

  • Inquiry to be held at the discretion of the Disciplinary Authority

  • Inquiry obligatory if it is proposed to withhold increments

    • for more than 3 years

    • with cumulative effect

  • Recording a finding on each of the imputation of misconduct , issue & communication of punishment orders


  • Charge sheet for imposition of minor penalty in two parts

    • Forwarding memorandum

    • Statement of imputations

Essence of Conduct Rules - 1964

  • 3(1)(i) Absolute integrity

  • 3(1)(ii)Devotion to duty

  • 3(1)(iii) Doing nothing unbecoming of a Government Servant

  • 3(2)(i) supervisor to ensure integrity and devotion to duty of all Govt.servants

  • 22 : Remaining in intoxicated state in public

Violation of Departmental rules

  • In Articles of charges the departmental rule which has been violated apart from conduct rule violated may be mentioned.

Drafting of Charge sheet - Major

  • Charge sheet for major penalty in four parts

    • Annexure I – Articles of charge

    • Annexure-II – Statement of imputation to furnish elaborate details of the Article of charge covering all the documents and witnesses

    • Annexure-III – List of documents

    • Annexure-IV - List of witnesses

  • Selection of charges – simple, precise, easy to understand, easy to prove – should not be vague

Steps in major penalty

  • Issue charge sheet and communicate under acquittance

  • Consider representation received

  • If charges are admitted unconditionally action be taken to finalize the case

  • If charges are denied holding inquiry is necessary

Steps in major penalty…

  • Receipt of IA’s report by disciplinary authority

    • Ensure all documents enlisted have been received

    • Ensure inquiry has been done in proper manner

  • Can agree or disagree with the findings of IA

    • If disagree he should record reasons

Steps in major penalty…

  • A copy of inquiry report is supplied to CO

    • CO to submit representation within 15 days

  • Recording findings on each imputation

  • Disciplinary authority can

    • Exonerate the CO

    • Impose penalty

Steps in major penalty…

  • Issuing final speaking order of punishment

  • Communicate the orders under acquittance

Exercise 2.3 - Group activity

Each group will scrutinize the charge sheet given to them and present their findings to the class

Thank you

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