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….

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Vigilance measures

Vigilance Measures


Why vigilance

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 vigilance1

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

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

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 vigilance1

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

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

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


Vigilance measures

Investigation


Why frauds take place

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

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


Ingredients for detection of fraud

WHAT

HOW

BY WHOM

WHEN

WHY

Details of offence, violation of rule

Manner in which it is committed

Responsibility

Period of fraud

Criminal intention

Ingredients for detection of fraud


Object of investigation

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 investigation1

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 investigation2

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

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


Vigilance measures

Exercise 2.1


Past work verification

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 verification1

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

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

Limit of handling Loss & Fraud


Components of dlir clir

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

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

Exercise 2.2 - Group activity

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


Disciplinary proceedings

Disciplinary

Proceedings


Misconduct

Misconduct

  • 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

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

Action on receipt of information of misconduct

Counseling

Warning/Dies non

Disciplinary action


Suspension when

SUSPENSION- When

  • 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


Deemed suspension

DEEMED SUSPENSION

  • 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

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

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 duty1

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

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

Composition of Review Committee


Review of suspension1

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.


Safeguards under art 311

SAFEGUARDS under ART 311

  • 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

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

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


Drafting of charge sheet

DRAFTING OF CHARGE SHEET

  • Charge sheet for imposition of minor penalty in two parts

    • Forwarding memorandum

    • Statement of imputations


Essence of conduct rules 1964

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

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

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

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 penalty1

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 penalty2

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 penalty3

Steps in major penalty…

  • Issuing final speaking order of punishment

  • Communicate the orders under acquittance


Exercise 2 3 group activity

Exercise 2.3 - Group activity

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


Vigilance measures

Thank you


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