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What is Vigilance. (KEEPING A WATCH) TO MAINTAIN THE INTEGRITY OF AN ORGANISATION, ITS PROCEDURES AND ITS EMPLOYEES OUR FOCUS PREVENTION OF FRAUDS & LEAKAGE OF REVENUE. List some of the Vigilance Activities. Preventive Examination of procedures to remove loop holes Regular and surprise

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what is vigilance
What is Vigilance

(KEEPING A WATCH)

TO MAINTAIN THE INTEGRITY OF AN ORGANISATION,

ITS PROCEDURES AND ITS EMPLOYEES

OUR FOCUS

PREVENTION OF FRAUDS & LEAKAGE OF REVENUE

list some of the vigilance activities
List some of the Vigilance Activities
  • Preventive
  • Examination of procedures
  • to remove loop holes Regular and surprise
  • inspections Monitoring the activities of the
  • employees through returns
  • Detective
  • Investigation of complaints or
  • any other information regarding
  • Irregularities
  • Punitive
  • Punishment to the guilty
list some of the articles of the constitution of india which concerns a government servant
List some of the articles of the Constitution of India which concerns a government servant
  • Article 309 - Recruitment and conditions of service of persons serving the Union or State
  • Article 310- Tenure of office of persons serving the Union or a State
  • Article 311 - Dismissal, removal or reduction in rank of persons employed in civil capacities under the Union or a state :
  • Article 320 - Functions of Public Service Commission
slide4
Who is authorised to frame rules to regulate the recruitment and conditions of service of Central Government Employees

The President

name the two essential features of the inquiry provided in article 311
Name the two essential features of the inquiry provided in Article 311
  • The Government servant has to be informed of charges; and
  • given reasonable opportunity to defend himself
when is central vigilance commission to be consulted
When a gazetted officer is involved and there is a vigilance angle

(i) corruption, cheating, bribery, misappropriation, fraud and lack of integrity; 

(ii)abuse of official power/authority for self gain or for anyone else; 

(iii)substantial loss to government as a result of grave/ deliberate negligence or indulgence in nepotism;

(iv)possession of disproportionate assets.

(v) flagrant violation of rules/ regulations/ procedures

When is Central Vigilance Commission to be consulted?
what are the two stages at which cvc is consulted
What are the two stages at which CVC is consulted?

(i) The first stage advice - Commission indicates the action to be taken against the Government servant, whose conduct has been investigated.

(ii) The second stage advice - Commission considers the report of the Inquiry officer and advises the disciplinary authority about the penalty to be imposed

what could be the likely financial impact if penalty of withholding increment is imposed
Illustration 1 (Slide 29)

Illustration 2 (Slide 30)

Illustration 3 (Slide 31)

What could be the likely financial impact if penalty of withholding increment is imposed
slide20
Proceedings can be initiated after retirement

Only with the sanction of the President

Only in respect of any event which took place within four years of such institution

Can an enquiry be conducted in respect of retired Govt servant for an act done by him during any period of his service
slide23
Subsistence Allowance

Article 21 (Part III of the Constitution)

What is the name of the allowance given to a Govt servant under suspension. Which Fundamental Right guarantees that?
which deductions are not permitted from the subsistence allowance
Which deductions are not permitted from the subsistence allowance?
  • Income tax, House Rent, Electricity & water charges, installments of repayment of loans and advances, if necessary at revised rates, CGHS contribution, and contributions towards CGE Group Insurance Scheme shall be deducted from the subsistence allowance.
  • Premium due to PLI, amount due to cooperative societies and refund of GPF advance can be deducted with the CONSENT of the Govt servant.
  • Subscriptions to GPF, amount due on court attachments and recovery of loss caused to the Govt cannot be deducted from the subsistence allowance.
give any two cases where no appeal is permissible
Give any two cases, where no appeal is permissible
  • Any order made by the President.
  • Any order of interlocutory nature or in the nature of step-in-aid of the final disposal of a disciplinary proceeding other than an order of suspension
  • Any order passed by an Inquiry Officer during the course of inquiry. (However, an appeal can be submitted against an order of IO rejecting request for engagement of a Defence Assistant from some outstation.)
do you think the disciplinary framework of government lays down control only on employees
No. Employees do enjoy certain protection. Enough care is taken to see that undue hardship is not caused to the GS and his / her family members.Do you think the disciplinary framework of government lays down control only on employees?
slide28
Application of Principles of Natural Justice

Protection under Article 311

Grant of Subsistence Allowance

Entitlement after death etc.

What are some of the positive elements you come across in the various provisions governing the service conditions
reduction by 3 stages for 3 years
Reduction by 3 stages for 3 years

9900

9700

9500

9300

9100

8900

8700

8500

Normal

progression

1-1-1997

1-1-1998

1-1-1999

1-1-2000

1-1-2001

1-1-2002

1-1-2003

During penalty

Period of penalty

slide30

Withholding of ONE

Increment for 3 years

Withholding of NEXT

Increment for 3 years

Withholding of NEXT

Increment for 3 years with CUMMULATIVE EFFECT

9700

9500

9300

9100

8900

8700

8500

1-1-2000

1-1-2001

1-1-2002

1-1-2003

1-1-2004

1-1-2005

1-1-2006

1-1-2007

Period of

penalty

Period of

penalty

Period of

penalty

1-1-2000

1-1-2001

1-1-2002

1-1-2003

1-1-2004

1-1-2005

1-1-2000

1-1-2001

1-1-2002

1-1-2003

1-1-2004

1-1-2005

Normal progression

During period of penalty

slide31

Reduction by 3 stages for 3 years

+no increments during the period of reduction

+ with cummulative effect

9900

9700

9500

9300

9100

8900

8700

8500

1-1-1997

1-1-1998

1-1-1999

1-1-2000

1-1-2001

1-1-2002

1-1-2003

1-1-2004

1-1-2005

1-1-1997

1-1-1998

1-1-1999

1-1-2000

1-1-2001

1-1-2002

1-1-2003

1-1-1997

1-1-1998

1-1-1999

1-1-2000

1-1-2001

1-1-2002

1-1-2003

Period of

penalty

Period of

penalty

Period of

penalty

Normal progression

During period of penalty

minor penalties rule 11
Censure

Withholding of Promotion

Recovery from Pay of whole or part of any pecuniary loss caused by him to the Government by negligence or breach of orders etc

Reduction to lower stage in the time-scale of pay for a period not exceeding three years, without cumulative effect and not affecting his pension

Withholding of increments

MINOR PENALTIES (Rule 11)

Go back

End

censure
This penalty may have indirect financial implications as the Govt servant may be at a disadvantage viz-a-viz a person with a clean record.

The penalty has no currency and the person can be considered for and given promotion immediately after imposition of penalty.

Censure

End

withholding of promotion
This penalty has indirect financial implications.

The Govt servant may not be recommended for promotion and even if recommended, he can be promoted only after the period of penalty is over.

The penalty remains in force for the specified period.

Withholding of Promotion

Go back

End

slide35
Financial implications of this penalty are limited to the amount decided to be recovered from his pay.

Promotion can be given during the currency of this penalty.

Recovery from Pay of whole or part of any pecuniary loss caused by him to the Government by negligence or breach of orders etc

End

Go back

slide36
The Govt servant suffers loss in pay and corresponding loss in allowances etc based on the stage of reduction.

The penalty lasts for the specified period.

Promotion cannot be given during the period of punishment. (ILLUSTRATION)

Reduction to lower stage in the time-scale of pay for a period not exceeding three years, without cumulative effect and not affecting his pension

End

withholding of increments
Financial impact of this penalty depends on

Whether ONE or NEXT increment is withheld.

the period for which the penalty is imposed.

whether the penalty will have cumulative effect, i.e., postpone his future increments

The period of punishment is as specified in the order imposing penalty

Promotion cannot be given during the currency of penalty

If the penalty is for a period of more than three years, or is with cumulative effect or is likely to adversely affect the pension, then inquiry under Rule 14 of CCA Rules is mandatory.

(ILLUSTRATION)

Withholding of increments

End

imposition of a minor penalty rule 16
Inform the Govt servant by a Memorandum giving him time to make his representation. Enclose Statement of imputation of misconduct or misbehaviour.

Record the findings on imputations of misconduct keeping in view the representation of the Govt servant, if any.

If imputations are proved, impose one of the minor penalties otherwise exonerate the Govt servant

Consult UPSC if necessary, before imposing penalty.

Oral inquiry can be held in exceptional cases.

Imposition of a Minor Penalty (Rule 16)

Go back

End

major penalties rule 11
Cases which call for major penalty

Reduction to a lower stage in the time scale of pay

Reduction to a lower time-scale of pay, grade, post or service

Compulsory Retirement

Removal from service

Dismissal from service

MAJOR PENALTIES (Rule 11)

End

Go back

reduction to lower stage in the time scale of pay
The Govt servant suffers loss in pay and corresponding loss in allowances etc based on the stage of reduction.

The penalty lasts for the specified period.

The impact of the penalty increases if increments are denied during the period of penalty. It is maximum if this is done with cumulative effect.

Promotion cannot be given during the period of punishment.

( ILLUSTRATION)

Reduction to lower stage in the time-scale of pay

Go back

End

reduction to a lower time scale of pay grade post or service
This penalty also puts the Govt servant at a considerable financial loss, which depends upon

the scale to which he is reduced

the period for which reduced

the pay allowed during reduction

the conditions for restoration to the original grade, scale post etc.

whether on restoration, the reduction will or will not have the effect of postponing the future increments of his pay.

the seniority on the original post after such restoration

The punishment remains in force during the period specified in the order imposing penalty.This penalty is generally a bar for future promotion. Promotion cannot be given during the currency of penalty.

Reduction to a lower time-scale of pay, grade, post or service

End

compulsory retirement
The Government servant is denied the right to continue in service till the age of superannuation, and the increments, promotions etc he might have earned during his remaining service.

The Govt servant remains entitled to the proportionate pension on the basis of the service rendered by him unless the penalty is coupled with reduction in pension and gratuity in terms of Rule 40 of CCS (Pension ) Rules, 1972 (which can be maximum one third of the normal entitlement and reduced pension cannot be below the minimum limit).

Right to leave preparatory to retirement is denied.

Leave encashment is also not admissible in case cut in pension has been made.

Compulsory Retirement
removal or dismissal from service
These are extreme penalties which can be imposed on a Govt Servant as these entail forfeiture of retirement benefits.

Dismissal imposes disqualification from future employment under Government.

However in certain deserving cases, relief in the form of Compassionate Allowance not exceeding the normal pension the Govt servant would have been entitled to and not less than the minimum pension or gratuity or both may be sanctioned.

Removal or Dismissal from service

End

cases for major penalty
Cases in which there is reasonable ground to believe that an offence has been committed but evidence forthcoming is not sufficient to launch prosecution in a court of law e.g.

Possession of disproportionate assets

Obtaining or attempting to obtain illegal gratification

Misappropriation of Govt property, money or stores

Obtaining or attempting to obtain any valuable thing or pecuniary advantage without valid consideration

Cases for major penalty

End

Contd

cases for major penalty contd
Falsification of Govt records

Gross irregularity or Negligence in performance of official duties with dishonest motives

Misuse of official position or power for personal gain

Disclosure of secret or confidential information

False claims on Govt like TA, Medical reimbursement etc

Cases for major penalty (contd)

End

Go back

steps for imposing major penalty
Prepare a Charge Sheet.

Get the Charge Sheet delivered to the Govt Servant.

If all the charges are admitted, record your findings and take further action.

If any charge is denied you can yourself conduct the oral inquiry or appoint an Inquiry Officer to conduct inquiry as per the procedure laid down in Rule 14.

Appoint a Presenting Officer to present the case on behalf of the Deptt during Oral Inquiry .

On receipt of the Inquiry Report take further action as may be necessary based on the findings of the Inquiry Officer.

Steps for imposing major penalty

End

Go back

imposition of penalty without holding inquiry rule 19
Procedure in Rule 14 to 18 need not be followed

when it is proposed to impose a penalty on the ground of conduct which has led to conviction in a court of law. However, an opportunity may be given for making a representation against the penalty proposed.

when the disciplinary authority is satisfied for reasons to be recorded in writing that it is not reasonably practicable to hold an inquiry.

When the President is satisfied that it would not be expedient to hold an inquiry in the interest of the security of the state.

Imposition of penalty without holding inquiry (Rule 19)

End

orders against which no appeal lies rule 22
Any order made by the President.

Any order of interlocutory nature or in the nature of step-in-aid of the final disposal of a disciplinary proceeding other than an order of suspension

Any order passed by an Inquiry Officer during the course of inquiry. (However, an appeal can be submitted against an order of IO rejecting request for engagement of a Defence Assistant from some outstation.)

Orders against which no appeal lies (Rule 22)

End

Go back

orders against which appeal can be submitted rule 23
Order of suspension or deemed suspension

Order imposing any of the penalties

Order enhancing any penalty

Order denying or varying pay & allowances, pension etc.

Order of stopping at Efficiency Bar

Order or reversion from a higher post otherwise then as a penalty

Order reducing or withholding pension, gratuity etc.

Order regarding regularisation of period of suspension or deemed suspension and pay and allowances for that period.

Orders against which appeal can be submitted (Rule 23)

End

Go back

appellate authorities rule 24
Authority specified in the Schedule or by a general or special order of the President

Group ‘A’ & ‘B’ officers can submit appeal to the Appointing Authority if order is made by a subordinate authority and to the President, if the order is by any other authority.

Group ‘C’ & ‘D’ officers can submit appeal to the Authority to which the authority which made the order is immediately subordinate.

In case the penalty imposed by an authority other than President, is in respect of activities connected with the work as office bearer of an association etc, the Govt servant can file an appeal directly to the President.

Appellate Authorities (Rule 24)

End

submission of appeal
Every person has to submit the appeal separately and in his own name.

Appeal has to be submitted to the authority to which the appeal lies, with a copy to the authority which made the order appealed against.

Appeal should contain all the grounds relied upon, but should not contain any disrespectful or improper language.

The authority which made the order, should immediately forward the appeal alongwith its comments and records of the case without waiting for any directions from the appellate authority.

Submission of appeal

End

review rule 29 a
The President can on his own or otherwise review any order, when any new material evidence, which could not be produced or was not available when the order was passed and which changes the entire nature of the case has come or is brought to his notice.

If on review, punishment is proposed or proposed to be enhanced, the charged officer should be given a reasonable opportunity to represent and if major penalty is proposed, inquiry should be conducted, if not already done.

Review (Rule 29-A)

End

what is suspension53
An administrative action for debarring a Govt servant from his powers and duties.

Temporary deprivation of office pending regular disciplinary proceedings

Relationship of servant and master does not end. All conditions of service continue to apply.

No reduction in rank. Lien retained

Not a penalty

Appeal can be preferred

What is suspension?

End

who can suspend
Appointing authority or any authority to which it is subordinate

Disciplinary Authority

Any other authority empowered in this behalf by the President by a general or special order

Who can suspend?

End

when can a govt servant be suspended
When a disciplinary proceeding is contemplated or pending against him

When in the opinion of the competent authority, he has engaged himself in activities prejudicial to the interest of the security of the state

When a case against him in respect of any criminal offence is under investigation, inquiry or trial

When he is involved in dowry death and case is registered under section 304(B) of IPC he shall be suspended as soon as he is arrested, irrespective of the period of detention, or as soon as the charge sheet is filed against him,whichever is earlier.

When can a Govt servant be suspended?

End

circumstances which justify suspension
When the Govt servant is likely to hamper the proceedings e.g. tempering with the evidence

When his continuation in office is likely to affect office discipline

When he is involved in a scandal and it is necessary to demonstrate Govt’s intention to deal firmly with the situation

When his continuation in office is against public interest

Circumstances which justify suspension

End

deemed suspension rule 10 2
From the date of detention, if a Government servant is detained in custody for a period exceeding 48 hours

From the date of conviction, in case of conviction leading to imprisonment for a period exceeding 48 hours

Order of suspension is deemed to have continued on and from the date of punishment, if penalty of dismissal, removal or compulsory retirement imposed on a person under suspension is set aside in appeal or review and further action is ordered

From the date of punishment, if penalty of dismissal, removal or compulsory retirement is set aside by a Court and further inquiry is ordered

Deemed suspension [Rule 10(2)]

End

entitlements during suspension
For the first three months

Subsistence allowance equal to leave salary on half pay leave

DA on the subsistence allowance

HRA, CCA as admissible before suspension

After three months, subsistence allowance can be increased or decreased up to 50% of the original subsistence allowance depending upon whether the period of suspension has been prolonged due to reasons directly attributable to the Government servant.

Only some of the normal deductions are permitted from subsistence allowance

Entitlements during suspension

End

deductions from subsistence allowance
Income tax, House Rent, Electricity & water charges, installments of repayment of loans and advances, if necessary at revised rates, CGHS contribution, and contributions towards CGE Group Insurance Scheme shall be deducted from the subsistence allowance.

Premium due to PLI, amount due to cooperative societies and refund of GPF advance can be deducted with the CONSENT of the Govt servant.

Subscriptions to GPF, amount due on court attachments and recovery of loss caused to the Govt cannot be deducted from the subsistence allowance.

Deductions from subsistence allowance

End

administrative effects
Govt servant is not supposed to attend office or mark attendance. Entry card is withdrawn.

Scooter or car advance cannot be granted.

HBA can be granted.

Govt servant can function as Defence Assistant

Leave cannot be granted.

LTC can be granted only to the family members.

Govt servant retains lien on his post.

Govt servant cannot be sent on training, deputation etc.

Administrative effects

End

Go back

(Contd)

administrative effects contd
Resignation of a Govt servant under suspension can be accepted only in public interest if:-

charges do not involve moral turpitude.

available evidence is not likely to lead to removal or dismissal.

the proceedings are likely to be very protracted and it would be cheaper to the Govt to accept the resignation.

In above cases, resignation can be accepted with the approval of Minister-in-charge in case of Gr.A and B officers and Head of Deptt in case of other officers.

Sealed cover procedure has to be followed if a Govt servant under suspension becomes eligible for consideration for promotion etc.

Administrative effects (contd)

(contd)

End

other administrative effects
Permission for Voluntary retirement during suspension can be denied by the competent authority.

On attaining the age of superannuation the suspended Govt servant will be retired. Subsistence allowance shall stop. He will be paid only provisional pension.

Leave encashment can be withheld if there is possibility of some money becoming recoverable as a result of the proceedings.

Permission can be given to appear in Departmental Examination, but promotion will be considered only after finalisaiton of the proceedings.

Other Administrative effects

End

revocation of suspension
Suspension remains in force till it is revoked.

Order can be revoked at any time by the competent authority.

Suspension automatically comes to an end if penalty of dismissal, removal or compulsory retirement from service is imposed.

In case of death during suspension, it is presumed that there was no suspension at all and full pay and allowances are to be paid.

Revocation of suspension

End

action after reinstatement rule 10
An order for regularisation of period of suspension has to be issued. The period has to be treated as duty if the suspension was wholly unjustified.

An order regarding pay and allowances payable for the period of suspension has also to be issued. Full pay and allowances may be given if the suspension was wholly unjustified.

Action after reinstatement(Rule 10)

End

action against pensioners
Misconduct committed while in service including the period of reemployment

Misconduct committed after retirement

Action against pensioners

End

misconduct committed while in service including the period of reemployment
Competent authority and action that can be taken

Proceedings instituted before retirement

Institution of proceedings after retirement

Misconduct committed while in service including the period of reemployment

End

grave misconduct or negligence committed while in service rule 9
Competent Authority - President

Possible action –

Withholding of pension or gratuity, or both, in full or in part, permanently or for a specified period

Recovery from pension or gratuity of the whole or part of any pecuniary loss caused to the Govt

UPSC has to be consulted before issue of final orders.

If only part of pension is withheld, it cannot be less that Rs.1275 per mensem

Grave misconduct or negligence committed while in service – Rule 9

End

proceedings instituted before retirement
Disciplinary Proceedings for major penalty, instituted while in service shall be continued as if the Govt servant was still in service

If proceedings were instituted by an authority subordinate to the President, it shall report its findings to the President

Proceedings instituted before retirement

End

institution of proceedings after retirement
Proceedings can be initiated after retirement

Only with the sanction of the President

Only in respect of any event which took place within four years of such institution

Proceedings shall be conducted by the authority specified by the President, according to the procedure for dismissal of the Govt servant while he was in service.

Proceedings shall be deemed to be instituted on the date of issue of statement of charges or the date of suspension, if the Govt servant had been placed under suspension before retirement, whichever date is earlier.

Institution of proceedings after retirement

End

misconduct or serious crime committed after retirement rule 8
Competent Authority - Authority which was competent to remove the pensioner, while he was in service

Possible action – Withholding or withdrawl of pension, in full or in part, permanently or for a specified period

A show cause notice has to be given specifying the action proposed to be taken in the case of misconduct

UPSC has to be consulted before issue of final orders, if order is to be issued in the name of the President

If only part of pension is withheld or withdrawn, remaining pension cannot be less that Rs.1275 per mensem

An appeal lies to the President, if order is passed by an authority other than the President.

Misconduct or serious crime committed after retirement (Rule 8)

End

punishment power to impose
Is a statutory power

Cannot be delegated

Cannot be taken over by superior

Involves exercise of discretion

Independently

Based on relevant considerations

With due application of mind.

Punishment – power to impose

Go back

End

punishment when can be given
For good and sufficient reasons

After following the prescribed procedure.

Punishment – when can be given?

Go back

End

punishment deciding quantum of
Gravity of the misconduct

Extenuating circumstances, if any

Track record of the officer.

Punishment – deciding quantum of

Go back

End

punishment lenient
Sets a bad example

Diminishes the gravity of the charges

Invites aspersions.

Punishment - lenient

Go back

End

punishment severe
Kills initiative

Creates dead wood

Creates general atmosphere of phobia

Smells of vindictiveness.

Punishment - severe

End

punishment order for imposing
Should be signed by the competent authority only

Should reflect due application of mind

Should be a speaking order

Should be carefully drafted – cannot be modified by the same authority

Punishment – order for imposing

Go back

End