VIGILANCE

MANUAL

Chief Vigilance Officer

(A Govt. of India Undertaking)

BEML Soudha, 23/1, 4th Main, S.R. Nagar, Bengaluru ‐ 27.
Ph: +91‐80‐22223066 | E‐mail: [email protected]
Website: www.bemlindia.com
 BEML India Network

LEH
NEW FRONTIERS. NEW DREAMS
JAMMU

•
NEW DELHI

GUWAHATI
UDAIPUR DHANBAD
•
SINGRAULI ASANSOL
... *· • KATNI • RANCHI
AHMEDABAD BHOPAL BILASPUR KOLKATA
*·
BHILAI
...... •
VIGILANCE MANUAL
NAGPUR •+ SAMBALPUR
...
CHANDRAPUR
BHACHELI
BHUBANESWAR
RAMAGUNDAM
MUMBAI
...
KOTHANGUDEM
*· ...
HOSPET HYDERABAD
...
VIJAYAWADA
VIZAG
PANJIM
 TARIKERE
BANGALORE
+•·• • KGF CHENNAI + Corporate
Corporate Ofce
Office &
& Marketing
Marketing HQ
HQ
MYSORE • Manufacturing
Manufacturing Plants
Plants
COCHIN NEYVELI • Regional Ofces
Regional Offices
MADURAI
• District Ofces
District Offices
PALAKKAD Activity Centers
• Activity Centers
* Service
Service Centers
Centers
Service HQ
+ Service HQ
* BEML
 Subsidiary (Steel
BEML Subsidiary (Steel Foundry)
Foundry)

Chief Vigilance Officer

Engineers at Pit Head
Mother Depots at KGF, Mysore, Bangalore and Palakkad
Parts Depot at Regional and District Ofces
BEML LIMITED
(A Govt. of India Undertaking)
Service Centers at Nagpur, Bilaspur, Kolkata, Singrauli, Hyderabad
BEML Soudha, 23/1, 4th Main, S.R. Nagar, Bengaluru ‐ 27.
Ph: +91‐80‐22223066 | E‐mail: [email protected]
Website: www.bemlindia.com
 PREFACE

I am delighted to Present the much needed new version of “BEML Vigilance Manual” to all of
You. The irst Edition was brought out in 1999. This Edition is an updated version, wherein,
certain new topics have been added. All the latest Revisions to the Rules, Instructions &
Circulars issued by Central Vigilance Commission, are also incorporated into this Edition, in
a user friendly format.
This Manual is intended to be a ready Reference with regard to various aspects of Vigilance
Administration in BEML.
Vigilance is watchfulness in every ambit of working. Vigilance is a wholesome approach to
Fight Corruption and Instill Integrity in Public Works. Vigilance Activities should Not be
restricted to Vigilance Department alone. Being Vigilant, is a Prime Responsibility of all the
Stake holders, the Management and all the Departments, with their Of icers and
Employees, without which, effective Vigilance cannot become a reality. Integrity of
Administration and Honesty of the of icials manning the Posts are indispensable factors in
ensuring good Governance. Achieving the highest echelon of Vigilance depends on the
Sincerity and Probity of the of icials holding various positions.
This Manual is the result of sincere efforts put‐in by the members of Vigilance Department,
whose valuable contribution is appreciable.
We are hopeful that this Manual would serve as a useful Reference material for all and
facilitate an effective Vigilance Administration.
FIRST EDITION : 1999
Suggestions for the improvement of the Manual are welcome. Inadvertent errors or
SECOND EDITION : 2017 omissions, if any, may be brought to our notice, which would be very much appreciated.

Published by Designed & Printed by

CORPORATE VIGILANCE YAKSHI COMMUNICATIONS
BEML Soudha, 23/1, 4th Main, S.R. Nagar # 3, 7th Cross, Railway Parallel Road
Aug 2017
Bengaluru - 560 027. Ph: 080-22223066 Kumara Park West, Bengaluru - 560 020.
Bengaluru ‐ 27 (Vidya Bhushan Kumar, IFS)
E-mail: [email protected] Ph: 080-2346 0877/78
Chief Vigilance Of icer
Website: www.bemlindia.com E-mail: [email protected]
BEML Limited

e-mail for Changes/Updation of Manual: [email protected]

VIGILANCE MANUAL
 MESSAGE

I am glad to see that the Vigilance Department of BEML Limited has taken the initiative to
bring about a Comprehensive Vigilance Manual covering the entire gamut of Preventive
and Punitive Vigilance.
Vigilance is essentially a Management Function. Vigilance should not be considered in a
limited way to prevent Corruption, but has to be seen as a part of the overall Risk
Management mechanism of an organization. Systems are structured in such a manner that
enhances Ef iciency and Effectiveness of Our Organisation. By preventing the leakage of
Revenue, the whole Organisation becomes accountable to the Stake Holders.
I congratulate the Chief Vigilance of icer and his team for bringing out a very useful “BEML
Vigilance Manual”.
Wish You All the Very Best.

Aug 2017 (Deepak Kumar Hota)

Bengaluru ‐ 27 Chairman & Managing Director
BEML Limited

VIGILANCE MANUAL
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VIGILANCE MANUAL
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VIGILANCE MANUAL VIGILANCE MANUAL

 - - - - - - -c Amendment Sheet
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Chapter ‐ 1
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Sl Page Chapter No Issue Recommended by INTRODUCTION

Reason for Change Date
No. No. & Para No. Date Name & Signature
PARA CONTENTS PAGE
1.1 Purpose 03
1.2 Issuing Authority 03
1.3 Amendments and Revisions 03
1.4 Objectives 03
1.5 Scope of Vigilance Manual 03
1.6 Responsibility of Implementation 04
1.7 Supporting Manuals 04
1.8 Limitation 04

Chapter ‐ 2
VIGILANCE IN PUBLIC SECTOR UNDERTAKING
PARA CONTENTS PAGE
2.1 Introduction 07
2.2 Vigilance in Public Sector Undertaking 07‐08
2.3 Vigilance Angle 08‐09
2.4 Motto of Vigilance 09
2.5 Corruption 10
2.6 Public Servant 10
2.7 Fraud 10
2.8 Bribe 10
2.9 Misconduct 10
2.10 Misappropriation 10
2.11 Illegal 10
2.12 Wrongful Gain 10
2.13 Wrongful Loss 11
2.14 Disproportionate Assets 11
2.15 Principles of Natural Justice 11

VIGILANCE MANUAL VIGILANCE MANUAL

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Chapter ‐ 5
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NEWFRONTIIS.tfilDREN.45

VIGILANCE ORGANISATION VIGILANCE IN BEML

PARA CONTENTS PAGE PARA CONTENTS PAGE
3.1 Introduction 15 5.1 Corporate Vigilance Vision 39
3.2 Administrative Vigilance Division 15 5.2 Vigilance Organization 39
3.3 Central Vigilance Commission 15‐19 5.3 Vigilance Of icials 39‐40
3.4 CTE 19‐20 5.4 Model Code of Conduct – General 40
3.5 CDI Unit 20 5.5 Preventive Checks 40‐41
3.6 Annual Report 20 5.6 Personal Conduct 41
3.7 Chief Vigilance Of icer 20‐21 5.7 Establishment and Vigilance Set Up in BEML 41‐42
3.8 Central Bureau of Investigation 21‐22 5.8 Duties and Responsibilities 42‐44
5.9 HOD of Vigilance Department in the Divisions 44‐49
Chapter ‐ 4 5.10 Asst. Vigilance Of icer / Vigilance Of icer in Divisions 49‐50
CHIEF VIGILANCE OFFICER’S APPOINTMENT, 5.11 Authority for Carrying Out Vigilance Work in BEML 50‐51
ROLE AND FUNCTION 5.12 Protection to Vigilance Of icials for Acts Done in Good Faith 51
PARA CONTENTS PAGE 5.13 Protection Against Victimisation of Of icials of Vigilance Units 51‐52
4.1 Background 25
5.14 Functional and Administrative Control Over Vigilance Of icials 53
4.2 Procedure for Appointment 25
5.15 Detailing of Vigilance Staff in Committees and Non‐Vigilance Activities 53
4.3 Appointment of CVO in the Ministries / Departments 25
5.16 Appointment of Vigilance Of icers in Departmental Inquiry Committee 53
4.4 Appointment of CVO in Public Sector Undertakings 25‐26
5.17 Duties of the Vigilance Of icers and Staff in 53
4.5 Tenure of CVO 26
Departmental Inquiry Committees
4.6 Short‐Term Arrangement in the Post of CVO 26
5.18 Administrative Vigilance 53
4.7 Association of CVO With Sensitive Matters 26‐27
5.19 Functions of the Chairman, Divisional Vigilance Committee 53‐54
4.8 Permanent Absorption of CVO In PSU 27
5.20 Constitution and Functions of Divisional Vigilance Committee 54‐56
4.9 Assessment of the CVO’s Work 27
5.21 Access to Documents 56
4.10 Role And Functions of CVO 27‐28
4.11 Preventive Vigilance 28‐31
4.12 Punitive Vigilance 31‐34
4.13 Surveillance and Detection 34‐35
4.14 Review Meetings/Structured Meeting Of CVO With CMD 35
4.15 Reports and Returns 35

VIGILANCE MANUAL VIGILANCE MANUAL

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PARA CONTENTS PAGE

PREVENTIVE VIGILANCE
6.28 Transfer of Such Of icers 80
PARA CONTENTS PAGE
6.29 Periodicity of Circulation by the C.B.I 80
6.1 Guidelines on Vigilance Clearance and Related Matters 59
6.30 Maintenance & Custody of the List 80
6.2 Con irmation of an Of icer 59
6.31 Agreed List of Suspected Of icers 80‐81
6.3 Promotion 59
6.32 Job Rotation 81‐82
6.4 Resignation 59‐60
6.33 Surprise Checks in Sensitive Areas 82
6.5 Voluntary Retirement 60‐61
6.34 Job Rotation in Sensitive Areas 82‐83
6.6 Retirement on Superannuation 61
6.35 CTE Type Inspection 83‐84
6.7 Nomination of Of icers for Foreign Deputation 61‐63
6.36 Selection of Works 84‐85
6.8 Forwarding of Applications for Other Posts 63‐64
6.37 Purpose of Intensive Examination 85
6.9 Rotation of Of icials Working in Sensitive Posts 64
6.38 Requisition of Records 85
6.10 Annual Immovable Property Return 64
6.39 Role of CVO in Intensive Examination 85‐86
6.11 Issue of Identity Certi icate (IC) Or No Objection Certi icate (NOC) 65
6.40 Whistle Blower Policy 86‐87
for Issue of Ordinary Passport.
6.41 Vigilance Study Circle (VSC) 87
6.12 Prior Permission to Visit Abroad 66
6.42 Vigilance Awareness Week 87‐89
6.13 Moral Turpitude 67‐68
6.43 Vendor Development 89
6.14 Pendency of Departmental / Disciplinary Proceedings 68
6.44 E‐Procurement 89‐90
6.15 Contemplation of Disciplinary Case 68
6.45 Updation of Manuals/Procurement Manuals 90
6.16 Institution of Judicial Proceedings 68
6.17 Vigilance Clearance in BEML 68‐72
6.18 Integrity Pact 72‐74
6.19 Implementation Procedure 74‐75
6.20 Role / Functions of IEM 75‐76
6.21 Appointment of IEM 76‐77
6.22 Review System 77
6.23 Of icers of Doubtful Integrity List 77‐78
6.24 Purpose of the List 78
6.25 Procedure for Preparation of the List 78‐79
6.26 Action on the List 79
6.27 Retention Period 79‐80

VIGILANCE MANUAL VIGILANCE MANUAL

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COMPLAINTS AND INVESTIGATIONS ANNEXURES, FORMATS AND CIRCULARS

PARA CONTENTS PAGE Letter &
Annexure Date Subject Ref Pg Page No
Circular No
7.1 Introduction 93
7.2 Anonymous / Pseudonymous Complaints 94 1 CVC vide Of ice Order 12.04.2014 Vigilance Angle‐ 118
No. 23/04/04 & De inition
7.3 Registration of Complaints 94‐95 Of ice Order No. 21.12.2015
74/12/05
7.4 Complaint Handling Policy 95‐98
2 O.M. No. 14.01.1998 Sanction for 120
7.5 Preliminary Inquiry (P.I.) 98‐99 142/10/97‐AVD.I Prosecution
7.6 Registration of Regular Case (RC) 99‐100 3 Order No. 4/2/09 27.02.2009 Govt of India Resolut 121
7.7 Investigation Procedure (Questionnaire) 100‐101 ‐ion on Public Interest
Disclosures & Protect
7.8 Investigation Technique 101‐104 ‐ion of Informer
7.9 Regular Case (RC) Report 104‐105 4 Order No. 57/8/04 31.08.2014 Time limit for Investi 122
‐gation of Complaints
7.10 Vigilance Report 105‐107
5 15(7)/98(GL‐009) GM 25.09.1998 Model Vigilance 123
7.11 Action on Investigation Report 107‐109 Structure for PSU
7.12 Prior Consultation of CVO in Disciplinary Proceedings 109‐110 6 Circular No 16/3/06 28.03.2006 Protection Against 125
7.13 BEML Portal – Complaint Registration 110‐111 Victimisation of
of icials of the
Vigilance Units
7 O.M. No.321/77/91‐ADV.III 09.06.1992 127
8 Circular No. 1542 03.09.2013 Functions of Chairman, DVC 128
9 Omno. 22011/5/86‐ 10.04.1989 Con irmation of 130
Estt.(D) Order
10 DoPT OM no. 14.09.1992 Promotion 136
22011/4/91‐Estt.(A)
11 DoPTO.M. No. 31.05.1994 Acceptance of 140
28034/4/94‐Estt.(A) Resignation
12 Clause 6.14.1 of CVC 2005 142
Vigilance Manual 2005
13 No. 25013/7/77‐Estt. (A) 26.08.1977 Scheme of Voluntary 143
Retirement
14 25013/3/79‐Ests. (A) 28.07.1979 148
15 No. 25013/10/85‐Estt. (A), 05.07.1985 149
16 25013/3/2003‐Estt. (A), 17.06.2003 150
17 Sub Rule 4 of the Rule 9 & Provisional Pension 151
Sub‐Rule3 of Rule 39 of
the CCS(Leave) Rules, 1972

VIGILANCE MANUAL VIGILANCE MANUAL

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Letter & Subject Ref Pg Page No Letter & Subject Ref Pg Page No
Annexure Date Annexure Date

18
I Circular No
OMsno.11012/11/
I I
14.12.2007 Nomination of
I I 152 35
Circular No
No.104/76/2011‐ 18.10.2013 Guidance regarding 210
2007‐EsttA Of icers for Foreign AVD.I Handling of Complaints
in Ministries/Departments
19 OMsno.11012/11/ 27.09.2011 Deputation 155
2007‐EsttA 36 Circular No. 10/5/09 18.05.2009 Adoption of 212
Integrity Pact
19 A BEML circular 19.05.2006 Acquisition of movable, 156 37 Orders No. 41/12/07 04.12.2007 217
No: 1235 immovable, and valuable
properties by of icers. 38 Circular No 43/12/07 28.12.2007 219

19 B BEML circular 25.04.2017 Declaration of Assets & Liabili 157 39 Circular No. 18/05/08 19.05.2008 220
No : 1632 ‐ties and intimation/Obtaining
40 Circular No. 18/05/08 05.08.2008 221
sanction during buying/
disposal of properties. 41 Circular No.3/2/07 23.02.2007 Investigation of 223
20 AB 14017/101/91‐ 14.05.1993 Forwarding of 159 Complaints
Estt(RR) Application 42 Circular No. 01/01/ 23.01.2015 Procedure for Dealing 224
21 CVC letter no. 98/VGL/60 15.04.1999 Rotation of of icials 161 2015(98/DSP/09) with Complaints
22 CVC letter no. 98/VGL/60 02.11.2001 working in Sensitive 162 43 General bulletin 30.01.2015 BEML Complaint 225
Posts 1581 Handling Policy
23 Para 2.13 (v) of CVC 2005 163
Vigilance Manual, 2005 44 No.000/VGL/18 23.05.2000 Schedule of Time Limit in 231
Conducting Investigations
24 Rule18(1) (ii) of CCS CCS(Conduct) 164
45 No.21/8/09 06.08.2009 References to Commission 233
(Conduct) Rules 1964 Rules 1964
for First Stage Advice
25 OM no. 05.10.2009 Issue of Identity 167 46 No.98/VGL/51 11.08.2009 Special Chapter on Vigilance 235
VI/401/01/05/2008 Certi icate (IC) OR Management in PSE
26 Section 6(2) of the NOC for issue of 169
Passport Act 1967 Ordinary Passport
FORMATS
27 O.M. no. 05.10.2009 Prior Permission to 170
11013/7/94‐Estt (A) visit Abroad Reference Page
Format Description
Page No No
28 O.M. no. 11013/8/ 07.11.2000 171
2000‐Estt (A) 01 Annual Property Scrutiny Format 236
29 No. 11013/7/2004‐ 05.10.2004 172 02 Vigilance Complaint Register Format 237
Estt (A)
30 Supreme Court in the 11.11.1974 Moral Turpitude 173 03 Investigation/Preliminary Inquiry Report Format 238
case of Allahabad Bank 04 Fact Veri ication Report Format 241
31 Observations of Allaha 13.03.1997 Pendency of 201
05 Monthly Report Format 243
‐bad High Court in State Departmental /
of U.P. v. Jai Singh Dixit Disciplinary 06 Vigilance Clearance Formats 257
(1976) 2 LLJ(ALL)246 Proceedings (a) For the PESB interview / selection
32 Rule 9 (6) (b) of CCS Institution of Judicial 206 (b) For other purposes like con irmation/promotion /
07 258
(Pension) Rules Proceedings
outside employment,
33 General Bulletin 19.04.2011 Vigilance Clearance for 207
08 (c) For the purpose of obtaining Passport /Visa / 259
No 1228 executives/ Employees
Travel to be made by the individual (With Appendix)
34 005‐VGC‐101 11.08.2005 handling of Pseudonymous 209
/ Anonymous Complaints 09 CTE format 262

VIGILANCE MANUAL VIGILANCE MANUAL

 - - - - - - -c GLOSSARY OF TERMS
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RO/DO Regional Of ice/ District Of ice
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ACR Annual Con idential Report RC Regular Case

AIPR Annual Immovable Property Report RDA Regular Departmental Action

ACC Appointment Committee of Cabinet SOP Standard Operating Procedure

AVD Administrative Vigilance Division SD Security Deposit

BG Bank Guarantee TA/DA Travelling Allowance/Dearness Allowance

CTE Chief Technical Examiner VRS Voluntary Retirement Service

CTEO Chief Technical Examiners’ Organisation VCl Vigilance Clearance

CCS Central Civil Service VC Vigilance Commissioner

CO Charged Of icer VO Vigilance Of icer

CBI Central Bureau of Investigation

CVC Central Vigilance Commission
CMD Chairman and Managing Director
CVO Chief Vigilance Of icer
DoPT Department of Personnel and Training
DPE Department of Public Enterprise
DSPE Delhi Special Police Examiner
EMD Earnest Money Deposit
FVR Fact Veri ication Report
IC Identity Certi icate
IO Investigating Of icer
IP Integrity Pact
IPC Indian Penal Code
IEM Independent External Monitor
MoD Ministry Of Defence
NOC No Objection Certi icate
ODI Of icer of Doubtful Integrity
OM Of ice Memorandum
PIDPI Public Interest Disclosure and Protection of Informers
PDO Part Disposal Order
PI Preliminary Inquiry
PSE Public Sector Enterprise
PC Prevention of Corruption
PSU Public Sector Undertaking
QPR Quarterly Progress Report

VIGILANCE MANUAL VIGILANCE MANUAL

 Chapter ‐ 1
INTRODUCTION

You must be the change you wish to

see in this world.
- Mahatma Gandhi
 1.1 Purpose
1.1.1 BEML Vigilance Manual is a set of all Instructions, Rules and Regulations governing
Vigilance Management. The purpose of this Manual is to provide written guidelines for all
Of icers and Employees of BEML, whether directly involved in dealing with Vigilance
matters or not.
1.1.2 The Manual is based on all the guidelines issued by the Central Vigilance
Commission and Vigilance related instructions and guidelines issued by the Department of
Public Enterprise and the Department of Personnel & Training. The Manual also includes
Rules & Of ice Orders issued by BEML Management for effective Vigilance Management.
1.2 Issuing Authority
1.2.1 Hard copy of the Manual will be issued by the Chief Vigilance Of icer of BEML as a
controlled document. The Vigilance Coordinator shall be responsible for distribution and
follow up. The Vigilance Department will be responsible for maintaining the updated
version of the Vigilance Manual on BEML Website and distribution of the updated version
to all authorized addressees.
1.2.2 The Manual will be available in PDF (Portable Document Format) format online on
the Vigilance link in the BEML Website. [http://www.bemlindia.com/vigilance.php]
1.2.3 Vigilance Department will not accept responsibility for outdated versions of the
Manual held by anyone.
1.3 Amendments and Revisions
1.3.1 For continual improvement, any suggestions for revisions, improvements and
corrections to this Manual are welcome and should be forwarded to the Vigilance
Coordinator. Amendments may be forwarded by e‐mail or Manual Post.
1.3.2 Amendments will be issued by the Vigilance Coordinator after approval by the CVO.
Only the Amendments will be forwarded to all the concerned departments for updation of
their Manuals.
1.4 Objectives
1.4.1 The aim of this Manual is to outline Policies, Organizational Structure and
Procedures to be used for Vigilance Management in BEML. The Manual is structured on the
BANGALORE COMPLEX following broad categories:
(a) Administrative Vigilance ‐ General information about the Vigilance set up in
BEML.
(b) Operational Vigilance ‐ Procedures and Guidelines related to the functional
matters of Vigilance Management in BEML.
(c) Monitoring ‐ Measures and responsibilities for effective control of Vigilance
work low.
1.5 Scope of Vigilance Manual
1.5.1 The Vigilance Manual Deals with the Vigilance management and coordination of all

VIGILANCE MANUAL 03
 activities necessary for the smooth handling of all Vigilance matters. The Manual shall
serve as the guiding document for reference and compliance.
1.5.2 Vigilance Manual sets down the commitments, policies and procedures that would
be used in dealing with Vigilance matters.
1.6 Responsibility of Implementation
1.6.1 The CVC’s Vigilance Manual lays down the responsibility for implementation of Chapter ‐ 2
Vigilance Policies on the Head of the Organization through the Chief Vigilance Of icer.
1.7 Supporting Manuals
VIGILANCE IN
1.7.1 The following CVC and Company publications support and supplement the PUBLIC SECTOR UNDERTAKING
information contained in the Vigilance Manual :
(a) CVC issued Vigilance Manual.
(b) CVC issued Special Chapter on Vigilance Administration in PSEs.
(c) BEML Employees’ Service Regulations.
(d) BEML Conduct, Discipline & Appeal Rules.
(e) BEML Standing Orders.
(f) BEML Purchase Manual.
1.8 Limitation
1.8.1 This Manual requires constant updation. This Manual does NOT supersede the
Statutory Rules and Orders, unless speci ically laid down.

On this earth there is

enough for everyone’s need but
not for their greed.
- William Shakespeare

04 VIGILANCE MANUAL
 2.1 Introduction
2.1.1 Today the Public Sector Undertakings play a signi icant role in the economic as well
as social development of the country. Current thinking stresses the importance of these
Units becoming self‐reliant and pro itable ventures and building themselves around their
strength to face competitive challenges from the private sector.
2.1.2 In the changed economic scenario, the vigilance function itself has thus become
complex. The Commission has, as part of its proactive role, been urging PSEs to codify their
systems and procedures. It is noticed, however, that in many PSEs adhocism still continues
to characterise management decision‐making and the style of functioning lends itself to
charges of lack of transparency and accountability. Questions are often raised with regard
to consistency and credibility of decisions. In this context, it is important that all PSEs
should codify their rules, procedures, norms and systems in key areas such as purchases,
stores, operations, inance, award of contracts and personnel management.
2.1.3 Vigilance is basically and admittedly a managerial function and, therefore, it is an
integral part of the duties of an executive. Vigilance departments of PSEs should work in
cooperation with other Divisions/Units of the Corporation at all levels. Besides, the
vigilance departments of PSEs should also work in coordination with the CVC, the
administrative ministry and the CBI. The role of CVOs has been fully explained in Chapter
XVIII of CVC Vigilance Manual (Vol. I). The primary responsibility for the maintenance of
purity, integrity and ef iciency in a PSE vests in the CMDs/MDs/Head of the PSEs. The CVO
would act as his special adviser in all matters pertaining to vigilance. He would provide a
link between the administrative Ministry/Department and the CVC. CVC's interface with
the PSE would be through the CVO.
2.2 Vigilance in Public Sector Undertaking
2.2.1 In the Oxford Dictionary, “Vigilance” has been de ined as “Watchfulness Against
Danger or any action on the part of others Alertness or Closeness of Observation”.
“Vigilance”, in brief, implies “A state of remaining watchful or alert and is relevant
everywhere, all the time”. Though the concept of organized or institutionalized Vigilance is
of recent origin, it has been in existence since time immemorial in some form or the other.
In ancient times, Rulers used to roam around in disguise, sometimes during night, to collect
intelligence about ongoing activities in the kingdom so that effective steps could be taken to
avert any untoward incident and maintain law and order, which is essential for peace and
KGF COMPLEX prosperity.
(a) The Vigilance Administration of a PSU follows two broad approaches, namely
the Preventive and Punitive approach. A recent approach introduced by the
CVC, deviating from the conventional Preventive and Punitive Vigilance, is to
focus on Predictive Vigilance, whereby the attempt is to pre‐empt deviant
behaviour. For a PSU, it is necessary to ensure that public funds are properly
used and that any sort of misuse / misappropriation is avoided. Preventive
Vigilance is primarily concerned with checking any undesirable or corrupt
practice among employees. Preventive Vigilance relates to a positive and
prognostic approach by taking steps for checking any possible loss to the
organization. It involves identi ication of the source of corruption and taking

VIGILANCE MANUAL 07
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necessary preventive and constructive steps to plug existing loopholes in the
systems, procedures, methods of working etc. Vigilance related action is not
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(d) Possession of assets disproportionate to his known sources of income.
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(e) Cases of misappropriation, forgery or cheating or other similar criminal

restricted to a few employees working in the Vigilance set up. Rather, it
offences.
requires involvement of all employees for preventing all types of corruption,
malpractice and misconduct. This in turn requires each and every employee to 2.3.2 As modi ied vide Of icer Order No. 74/12/05 dated 21/12/05 (Annexure-I), there
take due care in his own sphere of duty / activity. This, in fact, forms the are, however, other irregularities where circumstances will have to be weighed carefully to
fundamental tenets of Vigilance in a PSU. take a view whether the of icer’s integrity is in doubt. Gross or willful negligence,
recklessness in decision making, blatant violations of systems and procedures, exercise of
(b) While study and development of suitable systems for checking any irregular
discretion in excess, where no ostensible/public interest is evident, failure to keep the
activity is important, taking appropriate deterrent action against the
controlling authority/superiors informed in time. These are some of the irregularities
employees responsible for negligence in duty, causing wrongful loss is equally
where the disciplinary authority with the help of the CVO should carefully study the case
important. This is known as punitive Vigilance and is essential for promoting a
and weigh the circumstances to come to a conclusion whether there is reasonable ground
culture of honesty and punishing the black sheep.
to doubt the integrity of the of icer concerned.
(c) With a view to safeguard interest of the employees and avoid any prejudice /
2.3.3 Any undue/unjusti ied delay in the disposal of a case, perceived after considering all
bias on part of the employer, certain protections have been provided to “public
relevant factors, would reinforce a conclusion as to the presence of vigilance angle in a case.
servants” under Article 311 of the Constitution of India – namely, the members
of the Civil Services of the Union or All India Services or Civil Services of the 2.3.4 The raison d'ê tre of vigilance activity is not to reduce but to enhance the level of
States. These Constitutional safeguards cover two speci ic areas, namely: managerial ef iciency and effectiveness in the organisation. Commercial risk taking forms
part of business. Therefore, every loss caused to the organisation, either in pecuniary or
(i) No person shall be dismissed or removed by an authority subordinate to
non pecuniary terms, need not necessarily become the subject matter of a vigilance inquiry.
that by which he is appointed.
Thus, whether a person of common prudence, working within the ambit of the prescribed
(ii) No such person shall be dismissed or removed or reduced in rank except rules, regulations and instructions, would have taken the decision in the prevailing
after an Inquiry in which he has been informed of the charges against him circumstances in the commercial/operational interests of the organisation is one possible
and given a reasonable opportunity of being heard in respect of these criteria for determining the bona ides of the case. A positive response to this question may
charges. indicate the existence of bona ides. A negative reply, on the other hand, might indicate their
absence.
(d) Employees of Public Sector Undertakings – including BEML are entitled to
similar safeguards as per the decision of the Supreme Court. These 2.3.5 Absence of vigilance angle in various acts of omission and commission does not
Constitutional safeguards require observance of certain rules and procedures mean that the concerned of icial is not liable to face the consequences of his actions. All
while taking any punitive/departmental action against any employee of the such lapses not attracting vigilance angle would, indeed, have to be dealt with
Public Sector Undertaking. Persons dealing with such punitive action are appropriately as per the disciplinary procedure under the service rules.
required to be fully acquainted with the said procedures.
2.3.6 The above de inition becomes a part of the Vigilance Manual and existing Special
2.3 Vigilance Angle Chapter on Public Sector Banks and Public Sector Enterprises brought out by the
Commission, in supersession of the existing de inition.
2.3.1 In Vigilance administration, existence of Vigilance Angle has a critical importance.
CVC vide Of ice Order No. 23/04/04 (read with amendment vide Of ice Order No. 2.4. Motto of Vigilance
74/12/05) has de ined Vigilance Angle. Vigilance angle is obvious in the following acts :
2.4.1 Motto of Vigilance can be broadly Classi ied as given below :
(a) Demanding and/or accepting grati ication other than legal remuneration in
(a) Integrity in Governance.
respect of an of icial act or for using his in luence with any other of icial.
(b) Combating Corruption.
(b) Obtaining valuable thing, without consideration or with inadequate
consideration from a person with whom he has or likely to have of icial dealings (c) Professionalism.
or his subordinates have of icial dealings or where he can exert in luence. (d) Transparency.
(c) Obtaining for himself or for any other person any valuable thing or pecuniary (e) Promptness.
advantage by corrupt or illegal means or by abusing his position as a public
servant. (f) Impartiality.

08 VIGILANCE MANUAL VIGILANCE MANUAL 09

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2.5. Corruption
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2.13 Wrongful Loss
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2.5.1 Corruption is the misuse of public of ice for private gain and is said to be a function of 2.13.1 Wrongful loss is the loss of property by unlawful means to which the person or
both the opportunity to request/receive bribes and the risk of detection. Monopolies and agency losing is entitled.
discretion are corruption facilitators, while accountability and morality are inhibiting
2.14 Disproportionate Assets
factors, best expressed in the formula Corruption = Monopoly + Discretion – Accountability
‐ Morality. A key tool in the ight against corruption, therefore, is access to information and 2.14.1 The assets acquired by the executive of the organisation are said to be
transparency. disproportionate if the total value of such assets is more than the difference between his
income from all known sources and the expenditure incurred during the same period.
2.5.1.1 Causes for Corruption : Important causes of corruption in India are poor
regulatory framework, exclusivist process of decision making aggravated by discretion and 2.15 Principles of Natural Justice
of icial secrecy, rigid bureaucratic structures and processes; and absence of effective 2.15.1 As per Article 311(2) of the Constitution, “No such person as aforesaid shall be
internal control mechanism. Social acceptability and tolerance for corruption and absence dismissed or removed or reduced in rank except after an inquiry in which he has been
of a formal system of inculcating the values of ethics and integrity further propagates informed of the charges against him and given a reasonable opportunity of being heard in
corruption. respect of those charges Provided that where it is proposed after such inquiry, to impose
2.5.1.2 Impact of Corruption : Corruption is a serious economic issue as it adversely upon him any such penalty, such penalty may be imposed on the basis of the evidence
affects the country’s economic development and achievement of developmental goals. It produced during such inquiry and it shall not be necessary to give such person any
promotes inef iciencies in utilisation of resources, distorts the markets, compromises opportunity of making representation on the penalty proposed, provided further that this
quality, destroys the environment and of late has become a serious threat to national clause shall not apply to :
security. (a) where a person is dismissed or removed or reduced in rank on the ground of
2.6 Public Servant conduct which has led to his conviction on a criminal charge.
2.6.1 A public servant is a person who is appointed or elected to a public of ice. (b) where the authority empowered to dismiss or remove a person or to reduce
him in rank ins satis ied that for some reason, to be recorded by that authority
2.7 Fraud
in writing, it is not reasonably practicable to hold such inquiry.
2.7.1 Fraud is deliberate deception to secure unfair or unlawful gain, or to deprive a victim
(c) where the President or the Governor, as the case may be, is satis ied that in the
of a legal right. The purpose of fraud may be monetary gain or other bene its.
interest of the security of the State, it is not expedient to hold such inquiry”.
2.8 Bribe
2.8.1 Bribe is an amount received by a public servant other than his legal remuneration for
the performance of his of icial duties.
2.9 Misconduct
2.9.1 Misconduct is an act of violation of Conduct rules of an Organisation.
2.10 Misappropriation
2.10.1 A public Servant who has appropriated property which does not belong to him for
his own bene it or for the bene it of someone else is termed as misappropriation.
2.11 Illegal
2.11.1 The word illegal is applicable to everything which is an offence or which is
prohibited by law, or which is prohibited by law, or which furnishes a ground for a civil
action.
2.12 Wrongful Gain
2.12.1 Wrongful gain is the gain of property by unlawful means to which the person or
agency gaining is not legally entitled.

10 VIGILANCE MANUAL VIGILANCE MANUAL 11

 Chapter ‐ 3
VIGILANCE ORGANISATION

‘INAUGURATION OF
ENVIRONMENTAL PARK
ON WORLD ENVIRONMENT DAY To make your children
5TH JUNE 2017 capable of honesty is the beginning
of education.
- John Ruskin
 3.1 Introduction
3.1.1 Anticorruption measures of the Central Government are the responsibility of the
following :
(a) Administrative Vigilance Division (AVD) in the Department of Personnel &
Training.
(b) Central Bureau of Investigation.
(c) Vigilance units in the Ministries/Departments of Government of India, Central
Public Enterprises and other autonomous organisations (hereinafter referred
to as Department).
(d) The Disciplinary Authorities.
(e) Central Vigilance Commission (hereinafter referred to as the Commission).
3.1.2 The AVD is concerned with the rules and regulations regarding vigilance in public
services. The SPE wing of the CBI investigates cases involving commission of offences
under the Prevention of Corruption Act, 1988 (hereinafter referred to as PC Act) against the
public servants and other misconducts allegedly committed by the public servants having
vigilance overtones. The Disciplinary Authority has the over‐all responsibility of looking
into the misconducts alleged against, or committed by, the public servants within its control
and to take appropriate punitive action. It is also required to take appropriate preventive
measures so as to prevent commission of misconducts/malpractices by the employees
under its control and jurisdiction. The Chief Vigilance Of icer [CVO] acts as a Special
Assistant/Advisor to the Head of the concerned Department in the discharge of these
functions. He also acts as a liaison of icer between the Department and the CVC as also
between the Department and the CBI. The Central Vigilance Commission acts as the apex
organisation for exercising general superintendence and control over vigilance matters in
administration and probity in public life.
3.2 Administrative Vigilance Division
3.2.1 The Administrative Vigilance Division was set up in the Ministry of Home Affairs, in
August 1955, to serve as a central agency to assume overall responsibility for anti‐
corruption measures. With the establishment of the Central Vigilance Commission, a good
part of the functions performed by the Administrative Vigilance Division are now exercised
PALAKKAD COMPLEX by the Central Vigilance Commission. The Administrative Vigilance Division is now
responsible for the formulation and implementation of policies of the Central Government
in the ield of vigilance, integrity in public services, and anti‐corruption and to provide
guidance and coordination to Ministries/Department of Government of India in matters
requiring decisions of Government.
3.3 Central Vigilance Commission
3.3.1 In pursuance of the recommendations made by the Committee on Prevention of
Corruption [popularly known as Santhanam Committee], the Central Vigilance
Commission was set up by the Government of India by a Resolution, dated 11.2.1964.
Consequent upon the judgement of the Hon’ble Supreme Court in Vineet Narain vs. Union of

VIGILANCE MANUAL 15
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India [CWP 340‐343 of 1993], the Commission was accorded statutory status with effect
from 25.8.1998 through "The Central Vigilance Commission Ordinance, 1998.
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(iii) Of icers of Scale‐V and above of public sector banks.
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(iv) Such level of of icers of the corporations established by or under any

Subsequently, the CVC Bill was passed by both Houses of Parliament in 2003 and the
Central Act, Government companies, societies and other local
President gave its assent on 11th September 2003. Thus, the Central Vigilance Commission
authorities, owned or controlled by the Central Government, as that
Act, 2003 (No.45 of 2003) came into effect from that date.
Government may, by noti ication in the Of icial Gazette, specify in this
3.3.2 Set-Up Of Central Vigilance Commission : In terms of the provisions made in the behalf, provided that till such time a noti ication is issued, all of icers of
CVC’s Act, the Commission shall consist of a Central Vigilance Commissioner [Chairperson] the said corporations, companies, societies and local authorities shall be
and not more than two Vigilance Commissioners [Members]. Presently, the Commission is deemed to be the persons referred to in this clause.
a three member Commission consisting of a Central Vigilance Commissioner and two
(e) To review the progress of applications pending with the competent authorities
Vigilance Commissioners. The Central Vigilance Commissioner and the Vigilance
for sanction of prosecution under the PC Act.
Commissioners are appointed by the President by warrant under his hand and seal for a
term of four years from the date on which they enter upon their of ices or till they attain the (f) To review the progress of investigations conducted by the DSPE into offences
age of sixty‐ ive years, whichever is earlier. However, the present Vigilance Commissioners alleged to have been committed under the PC Act.
shall have tenure of three years as they had been appointed before the CVC Act came into (g) To tender advice to the Central Government, corporations established by or
force. under any Central Act, Government companies, societies and local authorities
3.3.3 Functions and Powers of Central Vigilance Commission : T h e f u n c t i o n s a n d owned or controlled by the Central Government on such matters as may be
powers of the Commission, as de ined in the CVC Act, are as under: referred to it by that Government, the said Government companies, societies
and local authorities owned or controlled by the Central Government or
(a) To exercise superintendence over the functioning of Delhi Special Police
otherwise.
Establishment [DSPE] in so far as it relates to investigation of offences alleged
to have been committed under the PC Act or an offence with which a public (h) To exercise superintendence over the vigilance administration of various
servant belonging a particular category (i.e. a member of All India Services Ministries of the Central Government or corporations established by or under
serving in connection with the affairs of the Union; or Group ‘A’ of icer of the any Central Act, Government companies, societies and local authorities owned
Central Government; or an of icer of the Central Public Sector or controlled by that Government.
enterprise/autonomous Organisation etc.) may be charged under the Code of 3.3.4 Clause 24 of the CVC Act empowers the Commission to discharge the functions
Criminal Procedure at the same trial. entrusted to it vide Government of India’s Resolution dated 11.02.1964, insofar as those
(b) To give directions to the DSPE for the purpose of discharging the responsibility functions are not inconsistent with the provisions of the Act. Thus, the Commission will
of superintendence. The Commission, however, shall not exercise powers in continue to perform following functions in addition to the functions enumerated in Para
such a manner so as to require the DSPE to investigate or dispose of any case in 3.2.1 above:
a particular manner. (a) Appointment of CVOs: The Commission would convey approval for
(c) To inquire or cause an inquiry or investigation to be made on a reference made appointment of CVOs in terms of Para 6 of the Resolution, which laid down that
by the Central Government wherein it is alleged that a public servant being an the Chief Vigilance Of icers will be appointed in consultation with the
employee of the Central Government or a corporation established by or under Commission and no person whose appointment as the CVO is objected to by
any Central Act, Government company, society and any local authority owned the Commission will be so appointed.
or controlled by that Government, has committed an offence under the PC Act; (b) Appraisal Repot of CVO : The Central Vigilance Commissioner would continue
or an offence with which a public servant may, under the Code of Criminal to assess the work of the CVO, which would be recorded in the character rolls of
Procedure, 1973, be charged at the same trial. the of icer concerned in terms of Para 7 of the Resolution.
(d) To inquire or cause an inquiry or investigation to be made into any complaint (c) Commission’s advice in Prosecution cases : In cases in which the CBI considers
against any of icial belonging to the following categories of of icials, wherein it that a prosecution should be launched and the sanction for such prosecution is
is alleged that he has committed an offence under the PC Act: required under any law to be issued in the name of the President, the
(i) Members of All India Services serving in connection with the affairs of Commission will tender advice, after considering the comments received from
the Union. the concerned Ministry/Department/ Undertaking, as to whether or not
prosecution should be sanctioned.
(ii) Group 'A' Of icers of the Central Government.

16 VIGILANCE MANUAL VIGILANCE MANUAL 17


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(d) Resolving difference of opinion between the CBI and the administrative
authorities : In cases where an authority other than the President is competent
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connection with the Affairs of the Union; or if the State Govt. proposes to
impose a penalty of dismissal, removal or compulsory retirement for the
to sanction prosecution and the authority does not propose to accord the misconduct committed by him while serving in connection with the affairs of
sanction sought for by the CBI, the case will be reported to the Commission and that State Government.
the authority will take further action after considering the Commission’s
(c) Executives holding top positions up to two levels below the Board‐level in the
advice. In cases recommended by the CBI for departmental action against such
public sector undertakings.
employees as do not come within the normal advisory jurisdiction of the
Commission, the Commission will continue to resolve the difference of (d) Of icers in Scale‐V and above in the Public Sector Banks.
opinion, if any, between the CBI and the competent administrative authorities (e) Of icers of the rank of Assistant Manager and above in the Insurance Sector
as to the course of action to be taken. (covered by LIC and GIC).
(e) Entrusting cases to CDIs: The Commission has the power to require that the (f) Of icers drawing basic pay of Rs.8700 and above in autonomous bodies/local
oral inquiry in any departmental proceedings, except the petty cases, should authorities/societies etc.
be entrusted to one of the Commissioners for Departmental Inquiries (CDIs)
borne on its strength; to examine the report of the CDI; and to forward it to the 3.3.5.1 While delegating powers to the Ministries/Organisations to handle vigilance
disciplinary authority with its advice as to further action. cases against certain categories of employees, the Commission expects that :

(f) Advising on procedural aspects: If it appears that the procedure or practice is (a) Appropriate expertise would be available to the CVO.
such as affords scope or facilities for corruption or misconduct, the (b) The CVO would be in a position to exercise proper check and supervision over
Commission may advise that such procedure or practice be appropriately such cases and would ensure that the cases are disposed off expeditiously.
changed, or changed in a particular manner.
(c) The punishment awarded to the concerned employee would commensurate
(g) Review of Procedure and Practices: The Commission may initiate at such with the gravity of the misconduct established on his/her part.
intervals as it considers suitable review of procedures and practices of
administration insofar as they relate to maintenance of integrity in 3.3.5.2 In order to ensure that the Commissions’ expectations are fully met, the
administration. Commission may depute its of icers to conduct vigilance audit through onsite
visits and also through the monthly information system (monthly reports) etc.
(h) Collecting information: The Commission may collect such statistics and other If the Commission comes across any matter, which in its opinion has not been
information as may be necessary, including information about action taken on handled properly, it may recommend its review by the reviewing authority or
its recommendations. may give such directions as it considers appropriate.
(i) Action against persons making false complaints: The Commission may take 3.4 CTE Organisation
initiative in prosecuting persons who are found to have made false complaints
of corruption or lack of integrity against public servants. 3.4.1 The Committee on Prevention of Corruption had recommended that the Chief
Technical Examiner’s Organisation [hereinafter referred as CTEO], which was created in
3.3.5 Jurisdiction : Clause 8(1)(g) of the CVC Act requires the Commission to tender 1957, in the Ministry of Works, Housing & Supply for the purpose of conducting a
advice to the Central Government, corporations established by or under any Central Act, concurrent technical audit of works of the Central Public Works Department with a view to
Government companies, societies and local authorities owned or controlled by the Central securing economy in expenditure and better technical and inancial control, should be
Government on such matters as may be referred to it by that Government, said Government transferred to the Central Vigilance Commission so that its services may be easily available
companies, societies and local authorities owned or controlled by the Central Government to the Central Bureau of Investigation or in inquiries made under the direction of the
or otherwise. Thus, the types of cases to be referred to the Commission for advice, and also Central Vigilance Commission. The recommendation was accepted by the Government of
the status of of icers against whom the cases would be referred to the Commission, may India and the Chief Technical Examiner’s Organisation now functions under the
require a noti ication by the Government in the rules to be framed under the Act or through administrative control of the Central Vigilance Commission as its technical wing, carrying
administrative instructions on the recommendation made by the Commission. However, out inspection of civil, electrical and horticulture works of the Central Government
till such time the instructions are noti ied, the Commission would continue to advice on departments, public sector undertakings/enterprises of the Government of India and
vigilance cases against following categories of employees : central inancial institutions/banks etc. The jurisdiction of the organisation is coextensive
(a) Group ‘A’ of icers of the Central Government. with that of the Commission. The works or contracts for intensive examination are selected
from the details furnished by the CVO in the quarterly progress reports sent to the CTEO.
(b) Members of All India Services if misconduct was committed while serving in

18 VIGILANCE MANUAL VIGILANCE MANUAL 19

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The intensive examination of works carried out by the organisation helps in detecting cases
related to execution of work with substandard materials, avoidable and/or ostentatious
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about the corrupt practices committed, or likely to be committed by the employees of his
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organization, investigating or causing an investigation to be made into veri iable

expenditure, and undue favours or overpayment to contractors etc. allegations reported to him, processing investigation reports for further consideration of
the disciplinary authority concerned, referring the matter to the Commission for advice
3.4.2 At present, information in respect of civil works in progress having the tender value
wherever necessary, taking steps to prevent commission of improper practices/
exceeding Rupees One crore, electrical/mechanical/electronic works exceeding Rupee
misconducts, etc. Thus, the functions of CVO can broadly be divided into following three
ifteen lakhs, horticulture works more than Rupee two lakhs and store purchase contracts
parts :
valuing more than Rupee two crores are required to be sent by the CVOs of all organisations.
However, the Chief Vigilance Of icers are free to recommend other cases also, while (a) Preventive Vigilance.
submitting the returns for examination of a particular work, if they suspect any serious
(b) Punitive Vigilance.
irregularities having been committed.
(c) Surveillance and Detection.
3.4.3 Out of the returns furnished by the Chief Vigilance Of icer, the Chief Technical
Examiners select certain works for intensive examination and intimate these to the CVOs 3.8 Central Bureau of Investigation
concerned. 3.8.1 The Central Bureau of Investigation was constituted under the Government of India
3.4.4 The CVO is expected to make available all relevant documents and such other Resolution No. 4/31/61‐T dated 01.04.1963. The investigation work is done through SPE
records as may be necessary, to the CTE’s team examining the works. After intensive wing of the CBI, which derives it Police Powers from the Delhi Special Police Establishment
examination of a work is carried out by the CTE’s Organisation, an inspection report is sent Act, 1946 to inquire and to investigate certain speci ied offences or classes of offences
to the CVO. The CVO should obtain comments of various of icers at the site of work or in the pertaining to corruption and other kinds of malpractices involving public servants with a
of ice at the appropriate level, and furnish these comments to the CTE with his own view to bring them to book. Section 3 of the Act provides that Central Government may, by
comments. In case the CTE recommends investigation of any matter from a vigilance angle, noti ication in the of icial gazette, specify the offences or class of offences, which are to be
such a communication should be treated as a complaint and dealt with appropriately. The investigated by the CBI.
investigation report in such cases should be referred to the Commission for advice even if 3.8.2 The Special Police Establishment enjoys with the respective State Police Force
no vigilance angle emerges on investigation. concurrent powers of investigation and prosecution under the Criminal Procedure Code.
3.5 CDI Unit However, to avoid duplication of effort, an administrative arrangement has been arrived at
with the State Governments according to which :
3.5.1 To assist the disciplinary authorities in the expeditious disposal of oral inquiries, the
Ministry of Home Affairs appointed Of icers on Special Duty [later re designated as (a) Cases, which substantially and essentially concern Central Government
Commissioners for Departmental Inquiries] on the strength of the Administrative employees or the affairs of the Central Government, even though involving
Vigilance Division. On the recommendation of the Committee on Prevention of Corruption, State Government employees, are to be investigated by the SPE. The State
the Commissioners for Departmental Inquiries were transferred to work under the control Police is, however, kept informed of such cases and will render necessary
of the Central Vigilance Commission. assistance to the SPE during investigation.
3.6 Annual Report (b) Cases, which substantially and essentially involve State Government
employees or relate to the affairs of a State Government, even though involving
3.6.1 The Commission is required to present annual report to the President as to the work
certain Central Government employees, are investigated by the State Police.
done by it within six months of the close of the year under report. The report would contain
The SPE is informed of such cases and it extends assistance to the State Police
a separate part on the superintendence by the Commission on the functioning of Delhi
during investigation, if necessary. When the investigation made by the State
Special Police Establishment. The President shall cause the same to be laid before each
Police authorities in such cases involves a Central Government employee, the
House of Parliament.
requests for sanction for prosecution of the competent authority of the Central
3.7 Chief Vigilance Of icer Government will be routed through the SPE.
3.7.1 The CVO heads the Vigilance Division of the organisation concerned and acts as a 3.8.3 The Special Police Establishment, which forms a Division of the Central Bureau of
special assistant/advisor to the chief executive in all matters pertaining to vigilance. He Investigation, has two Divisions :
also provides a link between his organisation and the Central Vigilance Commission on one
(a) Anticorruption Division.
hand and his organisation and the Central Bureau of Investigation on the other. Vigilance
functions to be performed by the CVO are of wide sweep and include collecting intelligence (b) Special Crimes Division.

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3.8.4 Anticorruption Division investigates all cases registered under the Prevention of
Corruption Act, 1988. If an offence under any other section of IPC or any other law is
committed along with offences of bribery and corruption, it will also be investigated by the
Anticorruption Division. The Anti‐corruption Division will also investigate cases
pertaining to serious irregularities allegedly committed by public servants. It will also
investigate cases against public servants belonging to State Governments, if entrusted to
the CBI. Chapter ‐ 4
3.8.5 On the other hand, the Special Crime Division investigates all cases of Economic
offences and all cases of conventional crimes; such as offences relating to Internal Security, CHIEF VIGILANCE OFFICER’S APPOINTMENT
Espionage, Sabotage, Narcotics and Psychotropic Substances, Antiquities, Murders,
Dacoities/Robberies, Cheating, Criminal Breach of Trust, Forgeries, Dowry Deaths, ROLE AND FUNCTION
Suspicious Deaths and other offences under IPC and other laws noti ied under Section 3 of
the DSPE Act.
3.8.6 The superintendence of the Delhi Special Police Establishment insofar as it relates to
investigation of offence alleged to have been committed under the Prevention of
Corruption Act, 1988 [i.e. Anti‐Corruption Division] vests in the Commission. The
superintendence of DSPE in all other matters vests in the Central Government.
3.8.7 The administration of DSPE vests in the Director of the CBI, who is appointed on the
recommendations of a committee headed by the Central Vigilance Commissioner. He holds
of ice for a period of not less than two years from the date on which he resumed of ice. The
Director CBI shall exercise in respect of DSPE such of the powers exercisable by an
Inspector General of Police in respect of police force in a State as the Central Government
may specify in that behalf.
3.8.8 The Delhi Special Police Establishment shall not conduct any inquiry or
investigation into any offence alleged to have been committed under the Prevention of
Corruption Act, 1988 except with the previous approval of the Central Government where
such allegation relates to:
(a) The employees of the Central Government of the level of Joint Secretary and
above.
(b) Such of icers as are appointed by the Central Government in corporations
established by or under any Central Act, Government companies, societies and
local authorities owned or controlled by that Government.
3.8.9 Notwithstanding anything contained in Para above, no such approval shall be
necessary for cases involving arrest of a person on the spot on the charge of accepting or
attempting to accept any grati ication other than legal remuneration referred to in clause
(c) of the Explanation to section 7 of the Prevention of Corruption Act,1988.
You cannot change your Future. But, you can
change your habits. And surely your
habits will change your future.
- Dr. Abdul Kalam

22 VIGILANCE MANUAL
 4.1 Background
4.1.1 Primary responsibility for maintenance of purity, integrity and ef iciency in the
organisation vests in the Secretary of the Ministry, or the head of the Department, or the
Chief Executive of the Public Sector Enterprises. Such authority, however, is assisted by an
of icer called the Chief Vigilance Of icer (CVO) in the discharge of vigilance functions. The
CVO acts as a special assistant/advisor to the chief executive and reports directly to him in
all matters relating to vigilance. He heads the Vigilance Division of the organisation
concerned and provides a link between his organisation and the Central Vigilance
Commissioner and his organisation and the Central Bureau of Investigation.
4.1.2 It has been provided that big departments/organisations should have a full‐time
CVO, i.e. he should not be burdened with other responsibility. If it is considered that the CVO
does not have full‐time vigilance work, he may be entrusted with such functions that serve
as input to vigilance activity, e.g. audit and inspections.
4.1.3 The work relating to security and vigilance, however, should not be entrusted to the
CVO as, in that case, the CVO would ind very little time for effective performance of
vigilance functions. Furthermore, in order to be effective, he should normally be an outsider
appointed for a ixed tenure on deputation terms and should not be allowed to get absorbed
in the organisation either during the currency of deputation period or on its expiry.
4.2 Procedure For Appointment
4.2.1 The Chief Vigilance Of icers in all departments/organisations are appointed after
prior consultation with the Central Vigilance Commission and no person whose
appointment in that capacity is objected to by the Commission may be so appointed.
4.3 Appointment of CVO in the Ministries/Departments
4.3.1 The Ministries/Departments of Government of India are required to furnish a panel
of names of of icers of suf iciently higher level (Joint Secretary or at least a Director/ Dy.
Secretary), who may report direct to the Secretary concerned, in the order of preference,
along with their bio‐data and complete ACR dossiers for the Commission’s consideration.
The of icer approved by the Commission for the post of CVO is entrusted vigilance functions
on full‐time or part‐time basis, as the case may be.
4.4 Appointment of CVO in Public Sector Undertaking

MYSORE COMPLEX 4.4.1 The CVO in a public sector undertaking (PSU), as far as practicable, should not
belong to the organisation to which he is appointed, and having worked as CVO in an
organisation, should not go back to the same organisation as CVO. The thrust behind this
policy is to ensure that the of icer appointed as CVO is able to inspire con idence that he
would not be hampered by past association with the organisation in deciding vigilance
cases.
4.4.2 The following guidelines have been prescribed for illing up full‐time posts of CVOs
in the PSUs :
(a) The posts shall be illed as per the procedure followed for posts in the Central
Government under the Central Staf ing Scheme.

VIGILANCE MANUAL 25

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(b) The DOPT would request the cadre controlling authorities of various
organized services, as well as PSUs, to offer of icers of proven integrity for
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respect of part‐time vigilance functionaries by con ining their duties, other than those
connected with vigilance work, as far as possible, to such items of work that are either free
these posts. The names, so received, would be forwarded, along with bio‐data from vigilance angle or preferable serve as input to vigilance activities such as inspection,
of the of icers concerned and their ACR Dossiers, to the Central Vigilance audit, etc.
Commission for approval.
4.8 Permanent Absorption of CVO in PSU
(c) The DOPT would maintain a panel of names approved by the Commission and
4.8.1 If an assurance is extended to a CVO, who has been appointed on deputation terms
would request the cadre authorities, as well as the of icers on the of icer list, to
for a ixed tenure in the PSU, for permanent absorption, there is a distinct possibility that it
indicate choice of location.
might impair this objectivity in deciding vigilance cases and might negate the very purpose
(d) The DOPT would offer the names to the Ministries/ Departments concerned of appointing outsider CVOs. It has, thus, been provided that an outsider CVO shall not be
for the posts of CVOs in the PSUs under their respective charges. permanently absorbed in the same public sector undertaking on expiry or in continuation
(e) The offer list would be operative for a period of one calendar year. of his tenure as CVO in that organisation.
(f) The DOPT, or the Administrative Ministry/ Department concerned, would 4.9 Assessment of CVO’s Work
obtain speci ic approval in favour of an of icer in the proposal to appoint that Central Vigilance Commissioner has also been given the powers to assess the work of Chief
of icer as a CVO in any of 100 select organisations. Vigilance of icers. The Assessment is recorded in the character rolls of the of icer. For that
4.4.3 Such PSUs, which do not have full‐time posts of CVOs, would forward a panel of purpose, the following procedure has been prescribed :
names of three of icers of suf iciently higher level, who can report direct to the chief (a) The ACRs of the CVOs in the public sector undertakings/organisations,
executive in the vigilance related matters, arranged in order of preference, along with their whether working on a fulltime or a part‐time basis, would be initiated by the
bio‐data and complete ACR dossiers for the Commission’s consideration. The of icer chief executive of the concerned undertaking/organisation, reviewed by the
approved by the Commission for the post of CVO would be entrusted vigilance functions on Secretary of the administrative Ministry/ Department concerned, and sent to
part‐time basis, i.e. in addition to his normal duties. the Central Vigilance Commissioner for writing his remarks as the accepting
4.5 Tenure of CVO authority.

4.5.1 The normal tenure of a CVO is three years extendable up to a further period of two (b) The assessment by the Central Vigilance Commissioner in respect of the CVOs
years in the same organisation, or up to a further period of three years on transfer to in the Ministries/ Departments of the Government of India and their attached/
another organisation on completion of initial deputation tenure of three years in the subordinate of ices, who look after vigilance functions in addition to their
previous organisation, with the approval of the Commission, But if a CVO has to shift from normal duties, will be recorded on a separate sheet of paper to be subsequently
one PSU to another PSU without completing the approved tenure in the previous PSU, the added to the con idential rolls of the of icers concerned.
principle of overall tenure of six years would prevail. 4.10 Role and Functions of CVO
4.6 Short Term Arrangement in the Post of CVO 4.10.1 As stated above, the CVO heads the vigilance Division of the organisation concerned
4.6.1 Suitable arrangements in vacancies for three months, or for any shorter period, due and acts as a special assistant/advisor to the chief executive in all matters pertaining to
to leave or other reasons, may be made by the appropriate authority concerned, without vigilance. He also provides a link between his organisation and the Central Vigilance
prior approval of the Central Vigilance Commission. The nature and duration of vacancy Commission and his organisation and the Central Bureau of Investigation. Vigilance
and the name of the of icer who is entrusted with the duties of CVO should however be functions to be performed by the CVO are of wide sweep and include collecting intelligence
reported to the Commission. about the corrupt practices committed, or likely to be committed by the employees of his
organisation, investigating or causing an investigation to be made into veri iable allegations
4.7 Association of CVO with Sensitive Matters reported to him, processing investigation reports for further consideration of the
4.7.1 It is considered that participation in decision making or close association of disciplinary authority concerned, referring the matters to the Commission for advice
vigilance staff in such matters over which they might be required, at a later stage, to sit in wherever necessary, taking steps to prevent commission of improper practices/
judgment from vigilance point of view, should be avoided. Therefore, vigilance misconducts, etc. Thus, the CVOs’ functions can broadly be divided into three parts, as under:
functionaries should not be a party to processing and decision‐making processes or in (a) Preventive vigilance.
other similar administrative transactions of such nature, which are likely to have clear
(b) Punitive vigilance.
vigilance sensitivity. While it may not be dif icult for full‐time vigilance functionaries to
comply with this requirement, the compliance of these instructions could be achieved in (c) Surveillance and detection.

26 VIGILANCE MANUAL VIGILANCE MANUAL 27

 -------c
4.10.2 While “Surveillance” and “Punitive Action” for commission of misconduct and other
malpractices is certainly important, the ‘Preventive Measure” to be taken by the CVO are
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(iii) Against whom proceedings for a major penalty or a court trial is in

progress for alleged acts involving lack of integrity or moral turpitude
comparatively more important as these are likely to reduce the number of vigilance cases and who was prosecuted but acquitted on technical grounds as there
considerably. Thus, the role of CVO should be predominantly preventive. remained a reasonable suspicion about his integrity.
4.11 Preventive Vigilance (f) To prepare the “Agreed List” in consultation with the CBI which will include the
4.11.1 Santhanam Committee, while outlining the preventive measures, that should be names of of icers against whose honesty or integrity there are complaints,
taken to signi icantly reduce corruption, had identi ied four major causes of corruption : doubts or suspicions.

(a) Administrative delays. (g) To ensure that the of icers appearing on the list of of icers of doubtful integrity
and the Agreed List are not posted in the identi ied sensitive/corruption prone
(b) Government taking upon themselves more than what they can manage by way areas.
of regulatory functions.
(h) To ensure periodical Rotation of Staff.
(c) Scope for personal discretion in the exercise of powers vested in different
categories of government servants. (i) To ensure that the organisation has prepared manuals on important subjects
such as purchases, contracts, etc. and that these manuals are updated from
(d) Cumbersome procedures of dealing with various matters which are of
time to time and conform to the guidelines issued by the Commission.
importance to citizens in their day to day affairs.
4.11.2 The CVO is thus expected to take following measures on preventive vigilance side: (J) Interaction/Cooperation with CBI : The CVOs in PSEs and the concerned of icer
in the CBI should interact as frequently as possible with reference to exigencies
(a) To undertake a study of existing procedure and practices prevailing in his of work. However, there should be a quarterly meeting between the CBI and
organisation with a view to modifying those procedures or practices which CVO at the level of Zonal Joint Director of CBI to monitor and to take stock of the
provide a scope for corruption, and also to ind out the causes of delay, the cases and exchange information for expeditious investigation and preparation
points at which delay occurs and device suitable steps to minimize delays at of the 'Agreed List'.
different stages.
(i) Standard tender procedure, policy guidelines and manuals may be
(b) To undertake a review of the regulatory functions with a view to see whether supplied to the CBI so that transactions under investigation/inquiry
all of them are strictly necessary and whether the manner of discharge of those could be examined to ind out whether criminal or departmental
functions and exercise of powers of control are capable of improvement. (iii) misconduct is made out or not. Such standardised procedures and
To device adequate methods of control over exercise of discretion so as to guidelines should also be updated periodically as compilations of extant
ensure that discretionary powers are not exercised arbitrarily but in a procedures make it easier to form a view about criminal liability,
transparent and fair manner. misconduct or innocence of an of icial in a particular case.
(c) To educate the citizens about the procedures of dealing with various matters
(ii) The CVO should screen all the complaints before sending the same to the
and also to simplify the cumbersome procedures as far as possible.
CBI ‐ whether the complaint should be forwarded to CBI or be dealt with
(d) To identify the areas in his organisation which are prone to corruption and to departmentally, as per provisions contained in Paras 11.2 and 11.3 (a)
ensure that the of icers of proven integrity only are posted in those areas. infra.
(e) To prepare a list of “Of icers of Doubtful Integrity” – The list would include (iii) CBI should ordinarily be sent only cases involving transactions not less
names of those of icers who, after inquiry or during the course of inquiry, have than Rs. 25 lakhs or otherwise possessing national or international
been found to be lacking in integrity, such as : rami ications. Other cases may be sent to the local police.
(i) Of icer convicted in a Court of Law on the charge of lack of integrity or for (iv) Full cooperation and facilities should be extended by the Public Sector
an offence involving Moral turpitude but who has not been imposed a Enterprises to the CBI during the course of investigation. This would
penalty of dismissal, removal or compulsory retirement in view of include making available to them the requisite documents with the least
exceptional circumstances. possible delay, directing such employees as are to be examined to appear
(ii) Awarded departmentally a major penalty on charges of lack of integrity before the investigating of icer and making suitable transport/
or gross dereliction of duty in protecting the interest of government accommodation in the PSE's guest houses, available to touring of icers
although corrupt motive may not be capable of proof. (subject to availability), in accordance with their entitlement and on

28 VIGILANCE MANUAL VIGILANCE MANUAL 29

 -------cpayment of the prescribed charges. Assistance of technical experts to the
Investigating Of icer, if considered necessary, may also be provided to the
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(aiv) In cases, where the CBI recommends RDA for major/minor penalty
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NEWFIONTIIS. l'EWDREMIS

action or ‘such action as deemed it’ against the of icials and the
extent possible in accordance with extant instructions on the subject. Commission is to be consulted, the CVO should ensure that the
comments of the department/PSE on the CBI report are furnished
(v) When PSEs make reference to the CBI for investigation, they should also
to the Commission within one month of the receipt of the CBI’s
make available duly certi ied photocopies of all relevant documents
investigation report, failing which the CVC will proceed to examine
along with the complaint so that there is no delay in initiating action on
the case and tender advice. Further action in such cases may be
the part of the CBI. The originals may be handed over to them only at the
taken as per the Commission’s advice. In other cases, the CVO
time of the actual registration of the case. Similarly, when CBI seizes
should take expeditious action to ensure that charge‐sheets, if
documents, authenticated copies of all the documents, should within
necessary, are issued within two months of the receipt of the
four days of the seizure, be made available to the CVO of the PSE.
investigation report from the CBI. It would not be necessary for the
(vi) Investigation Reports Received From CBI are as given below : CBI to follow up the matter in such cases after the disciplinary
(ai) On completion of their investigation, the CBI forwards a copy of the authority has initiated action for RDA against the concerned
SP’s report to the concerned CVO for further action. A copy of the of icials in accordance with their recommendations. However, in
SP’s report is also endorsed to the Commission in cases in which case of difference of opinion between the CBI and administrative
the Commission’s advice is necessary. authorities, the matter would be referred to the Commission for
advice irrespective of the level of the of icial involved. The
(aii) The CBI generally recommends prosecution in cases of bribery, organisation would take further action in accordance therewith.
corruption or other criminal misconduct; it also considers making
similar recommendations in cases involving a substantial loss to (av) The law of the land permits prosecution as well as RDA to proceed
the Government or a public body. The Commission’s advice for simultaneously (Jang Bahadur Singh v/s Baijnath Tewari, 1969
prosecution, however, is required only if the sanction for SCR, 134).
prosecution is necessary under any law promulgated in the name (avi) Where the suspect of icer is primarily accountable for conduct
of the President. In such cases, CVOs should furnish the which legitimately lends itself to both criminal prosecution in a
department’s comments within a month of the receipt of the CBI court of law as well as RDA, as a general rule, both should be
report by the competent authority. In other cases, as directed by the launched simultaneously after consultation with the CBI or other
Supreme Court, the matter should be processed expeditiously to investigating agencies charged with conducting the prosecution.
ensure that the required sanction is issued within a period of three Such simultaneous conduct of RDA and criminal prosecution
months (the instructions issued by the Department of Personnel & should be resorted to especially if the prosecution case is not likely
Training vide O.M. No. 142/10/97‐AVD.I dated 14.01.1998 also to be adversely affected by the simultaneous conduct of RDA.
refer) (Annexure-02) However, in case of difference of opinion Keeping RDA in abeyance should be an exception rather than rule.
between the CBI and the competent authority in the PSE, the matter Copies of all the relevant documents authenticated by the
may be referred to the Commission for its advice irrespective of the competent authority may be retained, for the purpose of RDA,
level of the of icial involved. before the original documents are sent to the Court. If the
(aiii) Prosecution proposals should be able to meet the legal and documents have already been sent to a Court of Law for the
technical requirements laid down by the Courts. Apart from purpose of criminal proceedings, certi ied copies may be procured
adequate evidence to establish that an offence has been committed for the purpose of RDA. Care, however, should be taken to draft the
under the relevant provision of the law, there should be some facts charge sheet for the purpose of RDA in such a manner that it makes
on record from which it should be possible to infer or presume a the suspect of icial accountable for violation of various provisions
criminal or guilty intention behind the omission or commission. In of CDA Rules without reference to criminal misconduct.
the absence of mens rea violation of rules or codal formalities could 4.12 Punitive Vigilance
at worst be considered as transgressions of systems and
4.12.1 The CVO is expected to scrutinize reports of Parliamentary Committees such as
procedures of the organisation and the same would, as such, be
Estimates Committee, Public Accounts Committee and the Committee on public
more suitable as the subject matter of Regular Departmental
undertakings; audit reports; proceedings of both Houses of Parliament; and complaints
Action (RDA) rather than criminal prosecution.
and allegations appearing in the press; and to take appropriate action thereon.

30 VIGILANCE MANUAL VIGILANCE MANUAL 31

 -------c
Predominantly, the CVO is expected to take following action on the punitive vigilance
aspects :
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SL. STATE OF INVESTIGATION
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OR INQUIRY TIME LIMIT

NO.
(a) To receive complaints from all sources and scrutinize them with a view to
3 Conducting investigation and Three months.
inding out if the allegations involve a vigilance angel. When in doubt, the CVO
submission or report.
may refer the matter to his administrative head.
4 Department’s comments on the CBI One month from the date of receipt of
(b) To investigate or cause an investigation to be made into such speci ic and
reports in cases requiring CBI’s report by the CVO/Disciplinary
veri iable allegations as involved a vigilance angle.
Commission’s advice. Authority.
(c) To investigate or cause an investigation to be made into the allegations
5 Referring departmental investigation One month from the date of receipt of
forwarded to him by the Commission or by the CBI.
reports to the Commission for advice. investigation report.
(d) To process the investigation reports expeditiously for obtaining orders of the
6 Reconsideration of the Commission’s One month from the date of receipt of
competent authorities about further course of action to be taken and also
advice, if required. Commission’s advice.
obtaining Commission’s advice on the investigation reports where necessary.
7 Issue of charge‐sheet, if required. (i) One month from the date of receipt
(e) To ensure that the charge sheets to the concerned employees are drafted
of Commission’s advice.
properly and issued expeditiously. (ii) Two months from the date of
(f) To ensure that there is no delay in appointing the inquiring authorities where receipt of investigation report.
necessary.
8 Time for submission of defence Ordinarily ten days or as speci ied in
(g) To examine the inquiry of icer’s report, keeping in view the evidence adduced statement. CDA Rules.
by the prosecution and the defence during the course of inquiry, and obtaining
9 Consideration of defence statement. 15 (Fifteen) days.
orders of the competent authority about further course of action to be taken
and also obtaining the Commission’s second stage advice and UPSC’s advice, 10 Issue of inal orders in minor penalty Two months from the receipt of defence
where necessary. cases. statement.

(h) To ensure that the disciplinary authority concerned, issued a speaking order, 11 Appointment of IO/PO in major penalty Immediately after receipt and
while imposing a punishment on the delinquent employee. The order to be cases. consideration of defence statement.
issued by the disciplinary authority should show that the disciplinary 12 Conducting departmental inquiry and Six months from the date of
authority had applied its mind and exercised its independent judgment. submission or report. appointment of IO/PO.
(i) To ensure that rules with regard to disciplinary proceedings are scrupulously 13 Sending a copy of the IO’s report to the i) Within 15 days of receipt of IO’s
followed at all stages by all concerned as any violation of rules would render Charged Of icer for his representation. report if any of the Articles of charge
the entire proceedings void. has been held as proved.
(j) To ensure that the time limits prescribed for processing the vigilance cases at ii) 15 days if all charges held as not
proved. Reasons for disagreement with
various stages, as under, are strictly adhered to:
IO’s indings to be communicated.
SL. STATE OF INVESTIGATION 14 Consideration of CO’s representation One month from the date of receipt
OR INQUIRY TIME LIMIT
NO. and forwarding IO’s report to the of representation.
1 Decision as to whether the complaint One month from receipt of the Commission for second stage advice.
involves a vigilance angle. complaint. 15 Issuance of orders on the Inquiry i) One month from the date of
2 Decision on complaint, whether to be One month from receipt of the report. Commission’s advice.
iled or to be entrusted to CBI or to be complaint. ii) Two months from the date of receipt
taken up for investigation by of IO’s report if Commission’s advice
departmental agency or to be sent to was not required.
the concerned administrative authority
for necessary action.

32 VIGILANCE MANUAL VIGILANCE MANUAL 33


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(k) Vide CVC Of ice Order No. 4/2/09 dated 27th February 2009 (Annexure-03),
the Commission has mandated that, for all complaints under Public Interest
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action where necessary. In addition, he should also gather intelligence from its own sources
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in whatever manner he deems appropriate about the misconduct/malpractices having

Disclosures and Protection of Informers, the maximum time limit for been committed or likely to be committed.
submission of report is ONE month from the receipt of reference of the
CVO should invariably review all pending matters, such as investigation reports,
Commission.
disciplinary cases and other vigilance complaints/cases in the irst week of every month
(l) For Complaints against Board level appointments, CVC Vide Of ice Order No. and take necessary steps for expediting action on those matters.
57/8/04 dated 31st August 2004 (Annexure-04), the Commission has
4.14 Review Meetings /Structured Meeting of CVO with CMD
decided as follows :
4.14.1 The CVO would arrange quarterly meetings to be taken by the Secretary of the
(i) As a rule, complaints/cases which are more than 5 years old and no
Ministry/Department or the Chief executive for reviewing the vigilance work done in the
action has been taken till then, should not be investigated, However, the
organisation.
time limit of 5 years will not apply to cases of fraud and other criminal
offences. 4.14.2 The CVO would also arrange periodical meetings with the of icers of the CBI to
discuss matters of mutual interests, particularly those arising from inquiries and
(ii) No cognizance should be taken of any complaint which is received 6
investigations.
months prior to the initiation of selection process for senior posts.
4.14.3 The CVO would also arrange monthly or quarterly meetings in a structured manner
4.12.2 Although the discretion to place a public servant under suspension, when a
with CMD for review of Vigilance Work/ activities. Minutes of such review meetings held
disciplinary proceedings is either pending or contemplated against him, is that of the
would be reported by CVO tin the Monthly report to the Commission.
disciplinary authority, the CVO is expected to assist the disciplinary authority in proper
exercise of this discretion. The CVO should also ensure that all cases in which the of icers 4.15 Reports and Returns
concerned have been under suspension are reviewed within a period of 90 days with a view 4.15.1 The CVO would also ensure that monthly reports of the work done on vigilance
to see if the suspension order could be revoked or if there was a case for increasing or matters are furnished to the Commission by ifth day of the following months.
decreasing the subsistence allowance.
4.15.2 The CVO would ensure that the Annual Report(AR) of the previous year ( Jan. to Dec.)
4.12.3 The Commission’s advice in respect of category ‘A’ of icials is to be obtained at two of the work done on vigilance matter is furnished to the Commission by 30th Jan. of the
stages; irstly on the investigation report in terms of Para 11(iv) and secondly on the succeeding year.
inquiry report in terms of para 11(vii) supra. The CVO has to ensure that the cases receive
due consideration of the appropriate disciplinary authority before these are referred to the 4.15.3 The CVO would also ensure that quarterly progress reports (QPR) on the civil,
Commission and its tentative recommendation is indicated in the references made to the electrical, horticulture works in progress and also on procurement of stores are furnished
Commission. The references to the Commission should be in the form of a self‐contained to the CTEs by 15th day of the month following the quarters ending March, June, September
note along with supporting documents, viz the complaint, investigation report, and December.
statement/version of the concerned employee on the allegations established against them
and the Comments of the administrative authorities thereon in irst stage advice cases; and
copy of the charge‐sheet, statement of defence submitted by the concerned employee, the
report of the inquiring authority along with connected records and the tentative
views/ indings of the disciplinary authority on each article of charge in second stage advice
cases. The CVO may also ensure that the bio‐data of the concerned of icers is also furnished
to the Commission in the prescribed format, while seeking its advice. The cases requiring
reconsiderations of the Commission’s advice may, however, be sent with the approval of the
Chief Executive, or the Head of the Department, as the case may be.
4.13 Surveillance and Detection
4.13.1 The CVO should conduct regular and surprise inspections in the sensitive areas in
order to detect if there have been instances of corrupt or improper practice by the public
servants. He should also undertake prompt and adequate scrutiny of property returns and
intimations given by the public servants under the conduct rules and proper follow up

34 VIGILANCE MANUAL VIGILANCE MANUAL 35

 Chapter ‐ 5
VIGILANCE IN BEML

VIGILANCE AWARENESS WEEK

To believe in something and

not to live it, is dishonest.
- Mahatma Gandhi
 1ftf~a
- - - - - - - - -e 111111
5.1 Corporate Vigilance Vision
----
5.1.1 Vision of BEML is as given below :
(a) Preventive Actions should prevail over Punitive Actions.
(b) To enforce meaningful, workable and objective Systems/ & Procedures to :
(i) Develop Trust and Transparency in all Transactions.
(ii) Prevent Leakage of Revenue.
(iii) Promote Pride and Self‐Esteem of the Organization.
(iv) Time Bound Action in all spheres of activities.

I H f I 10\ ~ll\ 5.2 Vigilance Organization

~, I rt lj HllLitlfS Mt
(a) Vigilance is an important function of the management, like other functions viz.,
Finance, Personnel, Marketing, etc.. It is now considered part and parcel of the
organization. Vigilance, therefore, cannot overlook the ultimate objectives of
the organization and has to function within their framework. Though the
prime object of Vigilance is to eradicate corruption in the organization, it has to
safeguard the interests of the organization and, therefore, has to take a
balanced view.
(b) Vigilance Organization should never be instrumental in ‘framing’ a case
against an employee. It should never be a tool in the process of witch‐hunting
at the behest of any individual, however highly placed she / he may be.
(c) Vigilance efforts to tackle malpractices and corruption in the organization
should, primarily, be the objective.
(d) Vigilance checks should be objective. Preventive checks should be judiciously
designed to give fair coverage to all sensitive departments with due Weightage
to factors like:
(i) Loss of Revenue to the organization.
(ii) Harassment of the common Man.
(e) Vigilance should steer clear of quarrels / personal enmity between two

VIGILANCE AWARENESS WEEK

individuals as attempts are often made to involve Vigilance in such matters.
(f) Vigilance should not interfere in administrative matters. This should be left to
the department itself. Complaints having Vigilance angle only need be looked
into by Vigilance.
(g) There should be no subversion of Vigilance cases to favour an individual on
account of local / political pressures or pulls. Vigilance should give their
recommendations to the Disciplinary Authority without any fear or favour.
5.3 Vigilance Of icials
5.3.1 Code of Conduct for Vigilance Of icials is given below.

VIGILANCE MANUAL 39

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(a) While working in the Vigilance organization, an of icial has got a very onerous
duty to perform. She / he has to simultaneously protect the interests of both
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(c) Be Dynamic : Do not merely state static facts, make them come live and speak
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NEWFIONTIIS. l'EWDREMIS

for you by eliciting any trends and patterns of conduct or any decision making
the organization as well as that of the employee. impinging on Vigilance.
(b) In this context, one’s Conduct can be divided into two categories, such as, (d) Be Qualitative : Vigilance Of icers should not bother about in lating the
Of icial Conduct and Personal Conduct. number of preventive checks as a criterion for showing more output. They
should concentrate on sensitive areas and on the activities of the of icers borne
5.3.2 Few Cardinal Principles for Of icial Conduct are mentioned below :
on the Agreed and secret lists. Even if checks are fewer in number, they must be
(a) Speedy investigations must be ensured. It is necessary that investigation is thorough and complete and be able to withstand scrutiny. In fact, few checks
expedited so that either the employee/of icer is brought to book quickly and resulting in more people being caught / detected indulging in various
punished, or he/she is cleared and is able to regain his/her position in the malpractices and result in improvement of procedures, thus eliminating or
department. The laid down schedule of investigation should therefore be minimizing the chances for corruption, are much better than the numerous
strictly followed, and frequent discussions should be held by Investigating checks conducted perfunctorily.
Of icer with superiors and the DGM (Vig) to ensure that the investigations are
5.6 Personal Conduct
being carried out on correct lines and that they are not delayed. Expeditious
inalization of investigation is very important. 5.6.1 In respect of Personal Conduct, the following important points may be borne in
mind:
(b) Investigation must be fair and impartial. Enough precautions must be taken to
ensure that personal prejudices do not in luence the investigation. Hasty and (a) Each Vigilance of icial in a Vigilance Organization has to be a Hundred Percent
faulty conclusion must not be arrived at. The facts and merits of a case and not Honest. Vigilance of icials have not only to be honest, but appear to be so.
the reputation of the of icer should be the real determinant. Whenever
(b) Personal prejudices and idiosyncrasies must not get the better of logic or
disciplinary proceedings are initiated, it must be ensured that departmental
reason. Logic / reason is the instrument to reach the inal objectives of truth
enquiries are also conducted expeditiously so that the Organization is able to
and justice.
decide quickly about the role of the Charged Of icer in the alleged transaction
or malpractice and is able to take an early decision on penalty to be awarded or (c) Humility does not necessarily mean weakness. One should be irm in
otherwise. The Vigilance Of icers must keep constant track of the cases at all conviction, determination and argument.
stages and ensure logical conclusion. (d) Nothing should be done with a view to perpetrating revenge on any person to
5.4 Model Code of Conduct – General settle an old score.
5.4.1 Model Code of Conduct in general is mentioned below : (e) The objective of the Vigilance organization is to bring about cleanliness in
different ields of organizational working. Punishing people is neither the
(a) Never disclose the source of Information to anyone.
primary nor the only objective, it is incidental to the efforts.
(b) Never foul up human relations by divulging the identity of the complainant(s)
(f) Be polite and courteous, courtesy costs nothing.
or Informant(s) to the personnel concerned.
5.7 Establishment and Vigilance Set Up in BEML
(c) Never discuss the case under investigation with any outsider or even
colleague. 5.7.1 Ever since its inception, the Vigilance Department co‐existed with Security
Department and was generally identi ied as S&V (Security & Vigilance) Dept. Based on the
(d) Never be Light Hearted, Flippant or Irresponsible in general conduct.
outcome of the Regional Workshop of Chief Vigilance Of icers held in Bangalore on 10th
(e) Never be swayed by pre‐conceptions, prejudices or pressure. and 11th December 1997, action was taken by BEML Management for bifurcation of
Security and Vigilance Department in the Company, with a view to strengthen and focus
5.5 Preventive Checks
only on anti‐corruption activities.
5.5.1 Some of the Preventive Checks required to be considered are given below :
5.7.2 With a view to tackle corruption and making the functioning of investigating and
(a) Be Diligent : Be thorough in investigation / fact inding, dig as far deep into Vigilance agencies more independent, effective, credible and prompt, the Department of
transactions and as far back in time as possible. Public Enterprises (Govt. of India), vide their letter No. 15(7)/98(GL‐009) GM dated 25th
(b) Be Detailed : Coverage of the area chosen be intensive and extensive. September 1998, (Annexure-5), has recommended model vigilance set‐up for the PSE’s as
a broad guideline to be adopted with such modi ications as may be appropriate in the case

40 VIGILANCE MANUAL VIGILANCE MANUAL 41

 . ,
- - - - - - -c
of an individual undertaking. Based on the recommendations made in the above letter of
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(e) He/ She will maintain a Vigilance Complaint Register in prescribed format at
f 1!11 'l!R
NEWFIOITlERS.tEW"D~

DPE, the vigilance setup in BEML was recognized and the present setup established. the Corporate level for keeping records of complaints received in Corporate
Vigilance. He will also maintain register for keeping track of progress of
5.7.3 At the Corporate level, the Vigilance work is looked after by the Chief Vigilance
investigation and disciplinary proceedings in prescribed format. He will sign
Of icer who enjoys the status, facilities and perquisites equivalent to that of a Functional
entries in the complaint register. If the complaint relates to non‐vigilance
Director of the Company. She/he is assisted by an Executive Assistant in the grade of Deputy
matters which are received in vigilance section, then it will be separately
General Manager who directly reports to CVO. At the Field Level, a Deputy General Manager
entered in the register in part II and after entering the details the complaints
leads all investigations. Of icers at various levels, who are essentially Investigating Of icers
will be forwarded to HR or the concerned department for further action.
report to CVO through DGM (Vig).
(f) He/ She will ensure circulation of CVC/DPE/MoD guidelines/Circulars to all
5.7.4 Divisional Vigilance Of ices have been set up in Bangalore Complex, Mysore
Divisions for compliance. He shall also follow‐up for the compliance report.
Complex, KGF Complex, Pallakad Division and VIL Tarikere, a subsidiary of BEML.
Functionally, all the Vigilance Of icers report to CVO through DGM (Vig) and (g) He/ She will liaise with the CBI and vigilance set up of other Central PSUs in
administratively to the respective Division Chiefs. Bangalore, regarding vigilance matters.
(h) He/ She shall co‐ordinate with CVC for carrying out audit on vigilance function
and take corrective actions based on audit indings of CVC.
ORGANISATION CHART OF VIGILANCE DEPARTMENT, BEML LIMITED
(i) He/ She will put up nominations of Of icers for external training / seminars /
cvo
PS tg CVO meetings relating to vigilance and disciplinary proceedings and maintain
(Offt.,i:, -G, fl
. . -1:tGMI ()lfg)
record of trained Of icers.
1 A/CVO
(j) He/ She will put up to CVO, the Agenda of MoD/CVC and other important
I/IL OORPORATE OFFICE
meetings, relating to Vigilance.

EMID IH&P
OOM• )lla l (k) He/ She will visit Division in connection with vigilance related activities.

I
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Menager

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(l) He/ She will put up for scrutiny at least 20% of APRs of Executives of Grade V
and above in the Company before CVO every year in prescribed format so that
APRS of all Executives are covered in 5 years.
(m) He/ She will verify the records of non‐executives before processing the

[ ~TA FF ( )_l
VO ,
D.E.O ( E; ) I Fl vigilance clearance who are working in Corporate Of ice and Marketing
Division (including Regional and District Of ices) for promotion /
con irmation / superannuation / resignation / VRS / issue of passports / Visa,
whether any department disciplinary cases/vigilance cases are pending or
5.8 Duties and Responsibilities
under punishment period or any police case iled by BEML pending, or bound
5.8.1 DGM (Vigilance ) ‐ CO by any obligations/agreements to serve the Company. In case of Executives
(Grade I to V) he will give vigilance clearance after duly verifying the records as
(a) He/ She will report administratively and functionally to the Chief Vigilance
done in the case on non‐executives and give vigilance clearance. For executives
Of icer.
(Grade VI and above) after verifying the records as done in the case of others,
(b) He/ She will assist CVO for ensuring implementation of Corporate Policies and he will put up the note sheet for approval of CVO and then give the vigilance
CVC/DPE/MoD guidelines on all vigilance related matters in the Company. clearance.
(c) He/ She will be responsible for compilation/collation of all vigilance reports, (n) He/ She will of iciate as CVO in his absence with prior approval.
correspondences and returns from all the divisions including Corporate
(o) He/ She will put up review of vigilance work done by VOs/AVOs on half yearly
Vigilance and further onward submission to the MoD/CVC/CBI and other
basis along with his comments.
Government departments.
(p) He/ She will initiate action for updating of BEML Vigilance Manual yearly.
(d) He/ She will follow up the cases pending investigation/enquiry/disciplinary
actions in all Divisions for timely disposal as per CVC guidelines. (q) He/ She shall carry out any other duties entrusted to him by CVO/CMD.

42 VIGILANCE MANUAL VIGILANCE MANUAL 43

 -------c
5.8.2 The Corporate Vigilance department in the organization has ive functional wings as
given below. The Vigilance functionaries will report to DGM (Vig‐CO) and assist in all the
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(b) As head of Vigilance of the Divisions, he/she will act as the Member Secretary
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NEWFIONTIIS. l'EWDREMIS

of the Divisional Vigilance Committee of the Division and assist the Divisional
Vigilance matters as enumerated in the Duties and responsibilities of DGM /AGM. vigilance Committee in the vigilance matters of the Division.
(a) Investigation Wing. (c) He/She will be responsible for the timely submission of all periodical
reports/returns/correspondence of Corporate Vigilance on vigilance
(b) Disciplinary Wing.
activities of the Division. He will follow up with the concerned Departments for
(c) Anti‐corruption Wing. timely furnishing of information to the Corporate Vigilance pertaining to
(d) Preventive Vigilance Wing. monthly and quarterly reports.

(e) Technical Wing. (d) He/She will review and report the status of implementation of e‐tendering / e‐
procurement in the Division to the Corporate Vigilance every month to ensure
5.8.3 The assigned tasks of these wings are given below : strict compliance of CVC guidelines on e‐tendering / e‐procurement, as per
a) Investigation Wing : To deal with complaints received from various sources BEML circular CM/E‐procurement/2014/1155 dtd 26 April 2014.
such as individuals, CVC, CBI, Media, Audit, conduct investigations and (i) e‐mode of procurement is resorted to Mandatorily for cases of
veri ication of iles for suspected irregularities. Indigenous projects/Non‐projects/capital items, where the estimated
b) Disciplinary Wing : To deal with and follow up of cases arising out of various value of purchase orders is more than 1 Lakh. This shall be applicable to
investigation reports, disciplinary proceedings and inspection reports. all types of tenders i.e. Open Tenders, Limited tenders, Single/
Vetting of Charge Sheets pertaining to Vigilance cases. To monitor the progress proprietary Tenders.
of inquiry proceedings on all vigilance cases and to put up Disciplinary (ii) In case of Tenders for Imported Items, Capital items, Non‐Project items,
Authority’s recommendations to CVO’s concurrence and to review long all out efforts are to be made to resort to e‐mode of procurement either
pending Disciplinary Cases periodically. through e‐bidding or through Reverse Auction.
c) Anti-corruption Wing : (iii) Further, as per the BEML Circular CM‐39/Website/Std.items2015/4369
(i) To deal with and follow up of cases relating to possession of dtd 23.09.2015, all limited tenders for Non‐Project items, the
disproportionate assets, illegal grati ication, procedural deviations etc., transaction type for such Bid invitations shall be selected as ‘Public
Preparation of lists of ODI/Agreed list. Liaison with CBI & CVC. Tender 2 Bid’ in the SRM system.”

(ii) To conduct Surprise & Regular inspections. To Update Manuals in line (e) He/She will undertake system study at least once in 6 months, of different
with CVC, MOD, MOF, DPE guidelines. Job rotation of persons posted in areas in his Division with a view to streamline and simplify the procedures and
sensitive areas. Simpli ication of Rules and Procedures enumerated to eliminate/minimize the factors providing opportunities for corruption and
under various Circulars & Instructions. malpractices, under intimation to the Corporate Vigilance. He will put up his
recommendations to Corporate Vigilance to take up with the Management for
d) Preventive Vigilance Wing : To c o n d u c t s u r p r i s e c h e c k s , s y s t e m implementation.
improvement studies and simpli ication of procedures, scrutiny of POs and
contracts etc., Organize vigilance related seminar/workshops and vigilance (f) He/She will scrutinize the following every month and submit the report to the
awareness training. Identifying red lags in ERP systems vis‐a‐vis e‐ Corporate Vigilance as per Format – 5, with the observations made.
procurements, e‐tenders etc.
Task Description
e) Technical Wing : To conduct CTE Type of inspection of Civil, Electrical/ Task Responsibility
No. (Quantity to be Checked)
Mechanical Horticultural Works, Stores etc., Scrutinize the reports submitted
1 Bills Receivable Scrutiny of Bills Received. Status on Decision
by CTE Team & Submit the same with technical remarks. To co‐ordinate with
realisability of Sundry Debtors. (5 Bills).
CTE/ CVC to carry out their inspection at BEML.
2 Bills Payable Scrutiny of Bills paid to vendors. Random Decision
5.9 HOD of Vigilance Department in Division check for payment period, compliance of
(a) He/She will be responsible for vigilance functions of the Division. In discharge terms and conditions of payment. (This
of his function, he will report to next immediate superior in the vigilance set up may not be clubbed with PO Veri ication/
of the Organization. He/she will administratively report to the Division Chief. Surprise Checks). (5 Bills).

44 VIGILANCE MANUAL VIGILANCE MANUAL 45

 Task
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Task
Description
(Quantity to be Checked)
Responsibility
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Task
Task
Description
(Quantity to be Checked)
Responsibility
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NEWFIONTIIS. l'EWDREMIS

No. No.
3 EMD, SD, BG. Status report on reconciliation of Division & 17 Shipping Status on load distribution for Division
Earnest Money Deposit, Security Corporate Vigilance Department equipment transport contractor.
Deposit & Bank Guarantee (Whether Scrutiny of Transport/ Carriers
lapsed / alive during the currency of the Contract. Procedures for allotment of
contract, etc). (2 each EMD, SD, BG). load, etc. (100%)
4 Welfare Accounts Check bills paid to Labor contractors, Division & 18 Receiving Random check at Receiving Inspection Division
Civil & Electrical contractors and AMC. Corporate Vigilance Inspection (10).
(2 Bills).
19 Weigh Bridge Check for time taken for preparing the Division
5 Sale Orders Check of Sale Orders vis‐à ‐vis Contract Division Inbound receipts/way bills and proper
Terms & Conditions and Revenue storage and weighment of consignment.
Realisation and report in a matrix form (10).
(5 Sale Orders).
20 PDO (Part Check 10 PDOs as per Format ‐ 5. Division
6 Receiving Stores Surprise checks at Receiving stores (10). Division Disposal Orders)

7 Rejected Stores Surprise checks of sending Rejected Division 21 Stores Shelf life items to be checked for FIFO in Division
material to vendors (10). SAP (5).

8 Civil / Inspection report of Civil Division & 22 LD Deductions Check for LD deductions in purchase Division &
Construction Construction (1). Corporate Vigilance orders / contracts are proper (5). Corporate Vigilance

9 AMC/ House Report on study of contracts like AMC, Division & 23 Integrity Pact Veri ication of all Purchase orders/ Division
Keeping/ Mtrl. House Keeping & Material Handling Corporate Vigilance contracts of value Rs 1 Crore and above
Handling (One per month). and report the same in CTE format
(100%).
10 Tenders Percentage of Tenders ‐ Single, Limited, Division &
etc., Vertical wise and Product wise. Corporate Vigilance
(g) He/ She will monitor the implementation of various CVC/MoD/DPE/CMD
11 Purchase Orders PO Veri ication reports (Rs. 1 Crores & Division & guidelines/circulars and CVOs instructions received from time to time on
above ‐ 100%) + (Rs. 50.00 Lakhs & Corporate Vigilance
vigilance matters within his Division and send the status of compliance to
above; Rs. 25.00 Lakhs above, less than
Corporate Vigilance every Month.
Rs. 25.00 Lakhs) = Total 10 Nos.
Trading Division, Aerospace Division to (h) He/ She will maintain the list of Executives who are not put through any
be covered by Corporate Vigilance. Vigilance Awareness Programme in the last 10 years as on 1st of April every
12 Surprise Checks Stores Check / Inventory check (10). Division year and put up the list to the Divisional Vigilance Committee. He will organize
vigilance awareness training programmes at least once in six months in
13 E‐Procurement E‐Procurement status vis‐à ‐vis total Division consultation with Corporate Vigilance to cover these executives. In addition to
number of Purchase Orders placed.. this he will organize vigilance awareness programme for non‐executives who
14 TA/DA & Med. Scrutiny of TA / DA and Medical claims Division are posted in sensitive areas and put up list of such non‐executives who are
Claims (5 Nos. each). posted in sensitive areas and need to be trained as on 1st of April every year
before DVC. Besides he will also organize other vigilance related
15 APRs Scrutiny report of APRs. (2) Division &
seminars/workshops time to time in consultation with Corporate Vigilance.
Corporate Vigilance
(i) He/ She will maintain a separate of ice as Vigilance Of icer and earmark
16 ERP System Monitor ERP system for Red lags to be Division &
checked as per Format ‐ 5. Corporate Vigilance speci ic timings and days in a week to meet the Visitors/Staff/Vendors, who
come with speci ic complaint/information on vigilance issue relating to his
Division, exclusively and con identially.

46 VIGILANCE MANUAL VIGILANCE MANUAL 47


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(j) He/ She will monitor the timely completion of Investigation/ Inquiry/
Disciplinary Proceedings pending in his Division and bring it to the notice of
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surprise/regular inspections conducted every month to the Corporate
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NEWFIONTIIS. l'EWDREMIS

Vigilance/Divisional Vigilance Committee.

the Corporate Vigilance.
(s) He/ She will collect Intelligence/information on vigilance related matters
(k) He/ She will conduct scrutiny of at least 20% APRs of Executives (Grade IV and within his Division and pass it on to the Corporate Vigilance/CVO where
below) in a Financial year and maintain the record of scrutiny in the prescribed necessary and act properly on such information.
format (Format‐01) so that, all Executives (Below Grade IV) are covered in a
(t) He/ She will expedite the comments/replies on CTE/in‐house intensive
block period of 5 years. He will report any abnormalities/adverse noticed
examination reports on POs/Contracts and other reports. He will also monitor
during the scrutiny requiring further action to Corporate Vigilance/CVO.
actions recommended in such reports and send the status for implementation
(l) He/ She will identify speci ic corruption prone/sensitive areas in his Division to Corporate Vigilance whenever and wherever asked for. He will also put up
and put up a list of Executives and Non‐Executives working for more than 3 actions pending on such reports to Divisional vigilance committee.
years as on 1st April of every year in such places to the Divisional Chief/HR
(u) He/ She will keep all vigilance related documents including Complaint
Chief for the job rotation in next 6 months. He will also put up this list in the
Register, Files Correspondences, Circulars, Returns, Reports, Periodicals/
vigilance committee meeting along with the status on job rotation every
Books etc., and other documents which he is required to maintain in the
month.
capacity of Vigilance Of icer in his personal custody and hand over the same to
(m) He/ She will identify the executives/non‐executives working in the Division the next incumbent after the completion of his tenure as VO, along with
for keeping in Agreed List and Doubtful Integrity List in consultation with the authenticated list of such documents/ iles.
Chairman of the Vigilance Committee and send the list to the Corporate
(v) He/ She will verify the records of non‐executives before issuing the vigilance
Vigilance for approval by 20th of January every year. If non‐executives are to be
clearance coming under his Division for promotion / con irmation /
kept in the Agreed List and Doubtful Integrity List the same will be put up to the
superannuation / resignation / VRS / issue of passports / Visa, whether any
Chairman of the Vigilance Committee for approval to keep them in internal
department disciplinary cases / vigilance cases are pending or under
agreed list and doubtful integrity list by 30th January every year. He will keep
punishment period or any police case iled by BEML pending or bound by any
close watch on the persons kept in the agreed list and ODI and send quarterly
obligations / agreements to serve the Company. However, before issuing
reports to the Corporate Vigilance/CVO.
vigilance clearance to the non‐executives he will verify from the Corporate
(n) He/ She will maintain a Vigilance Complaint Register in the CVC’s prescribed Vigilance whether any vigilance case is pending against the non‐executives. In
format (Format‐2) and as and when complaints are received, either directly by case of executives he will verify the records as done in the case on non‐
him or from the Corporate Vigilance or from any other source, it should be executives, make necessary remarks in the note sheet and forward the same to
entered in the register by giving Sl. Nos. corporate vigilance for vigilance clearance. (For executives in Grade I to IV he
will also verify whether they have submitted property returns or not and make
(o) When any complaint is received directly by Division, he will maintain details of
remarks on the note sheet).
the complaint in the register and forward the Original Complaint to Corporate
Vigilance for further action. (w) Any other task assigned by DGM/AGM(Vigilance)/ CVO.
(p) He/She will submit the Investigation/Preliminary Inquiry reports on the 5.10 Vigilance Of icer in Divisions
complaint taken up for investigation in the prescribed format, besides he will
(a) He will assist and report to HOD in all vigilance matters of the division.
also submit the fact veri ication report on source information/report.
(Format‐3 & 4) (b) He will investigate the cases entrusted to him by Vigilance Of icer/Corporate
Vigilance and submit the report in time. He will also keep documents relating
(q) He/ She will also maintain the track of the progress on the Investigation
to investigation in safe custody and make them available to appropriate
Reports and the Disciplinary Actions initiated on it till their disposals. He will
authority.
enter the status of the complaints in register showing the progress/the
present status. (c) He will assist HOD in organizing/conducting regular/surprise inspection and
will also conduct independent inspections in consultation with Vigilance
(r) He/ She will organize/conduct surprise and regular checks/inspection in
Of icer, in corruption prone and sensitive areas of the Division.
corruption prone areas/sensitive areas and make a record of such checks in
the prescribed Monthly Report format (Format‐5). He will also initiate and (d) He will develop and maintain effective vigilance information network in his
monitor actions on the lapses observed. He will put up a report on outcome of Division.

48 VIGILANCE MANUAL VIGILANCE MANUAL 49


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(e) He will assist HOD in keeping watch over persons kept in Agreed List/Doubtful
Integrity in the Division.
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movement (entry and exit) at their place of work at any time for the purpose of
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

vigilance activities.
(f) In absence of HOD he will discharge the duties of Vigilance Of icer of the (h) All Vigilance Of icials are empowered to meet their sources, or any of icials of
Division with prior approval. government / non‐government / private / public etc., for vigilance veri ication
/ work or for liaison.
(g) He will assist HOD in preparation and submission of periodical reports/
returns and in maintenance of records/registers to keep track of progress of (i) All Vigilance Of icials are empowered (under the supervision of CVO) for
Vigilance cases. carrying out detective / surveillance as part of Vigilance work.
(h) He will carry out any other task assigned to him by the HOD / DGM (Vigilance) / 5.11.2 A photo identity card summarizing the above will be issued to each and every
CVO. Vigilance Of icial. Non cooperation / obstruction to Vigilance Of icials in discharge of their
duties by any employee of the Company would be deemed as misconduct and liable for
5.11 Authority for Carrying Out Vigilance Work in BEML
disciplinary action as per the Rules of the Company.
5.11.1 The Chief Vigilance Of icer and the Vigilance Of icials (posted in the Complex /
5.12 Protection to Vigilance Of icials for Acts Done in Good Faith
Division) are the extended arms of the Central Vigilance Commission and are duty bound to
implement the anti‐corruption measures of the Government in BEML, completely and 5.12.1 The Vigilance functionaries conduct enquiries / investigations on behalf of the CVO /
effectively. In order to achieve the above objectives all Vigilance Of icials are duly Management. During the course of investigation / enquiries to unearth, the facts of the case
empowered by the Chief Vigilance Of icer with the following authority : or which is warranted to bring the case to a logical conclusion the acts of the functionary
should not be treated prejudicial to good order and discipline or mala ide intention. The
(a) All Vigilance Of icials will have unrestricted access (including their of icial
acts of the Vigilance functionaries are to be treated as in good faith and in the best interests
vehicles) to any location in the factories / departments / hangars / buildings /
of the Company and no Disciplinary Action should be initiated against the Vigilance
shops / establishments / welfare units / township / residential Quarters /
Functionary. Whenever disciplinary action against Vigilance Of icer is contemplated,
sports & entertainment amenities, ancillary units / liaison of ices / RM Of ices
authority to sanction is the Chairman through CVO and in case of Vigilance Workman, CVO
/ Guest Houses etc., at any time for carrying out Vigilance work.
will be the sanctioning authority.
(b) All Vigilance Of icials are empowered to seize records / documents / iles /
5.13 Protection Against Victimisation of Of icials of Vigilance Units
information (contained in any electronic storage device in any form) / articles,
for the purpose of vigilance investigation. 5.13.1 The Commission has viewed seriously certain instances of harassment and attempts
at victimisation of vigilance of icials of certain organisations. The need to allow the
(c) All Vigilance Of icials are empowered to examine employees of BEML for
vigilance of icials to work independently and freely without any fear, which is the
vigilance enquiries / investigation, record their statement, obtain their
foundation for effective vigilance administration in any organisation, has been recognized
signature on such statements / obtain their signature on the samples, etc.
since long. In fact, the Committee on Prevention of Corruption (Santhanam Committee) had
(d) All Vigilance Of icials are empowered to conduct surprise / random / routine recommended that “those posted to the Vigilance Organisations should not have the fear of
checks / inspections etc., of the points / places, in any Department / Of ice / returning to their parent cadre with the possibility of facing the anger and displeasure of
Hangar / Premises / Estate / Township including shops / establishments / those against whom they made inquiries”. The Committee had also recommended that
residential quarters etc, as part of either Preventive Vigilance activity. “those working in Vigilance Organisations should have an assurance that good and ef icient
(e) All Vigilance Of icials are empowered to collect / obtain samples of materials work in the Vigilance Organisation will enhance their opportunities for promotion and not
(in any form) for the purpose of testing etc during the course of inspection of become a sort of disquali ication”. (CVC Circular No.16/3/06 dated 28th March 2006)
civil / mechanical / electrical works and obtain photographs if required of the (Annexure-6)
articles / points / places in question. 5.13.2 The Commission has considered the problem of possible victimisation of Vigilance
(f) All Vigilance Of icials are empowered to draw inspection / surprise / routine of icials after they inish their tenure in the Vigilance Department and revert to their
check report at the points / points of check and to obtain signature of the normal duties. In the case of CVOs, already, the Commission, as Accepting Authority, is in a
concerned in‐charge, user / operator / custodian etc., as a token of position to moderate, if necessary, any biased reporting against the CVO in his ACR.
con irmation that the same was carried out in their presence and that they are Similarly, the Commission has always been extremely careful and cautious while taking
party to the details recorded. cognizance of complaints against the CVOs and as a matter of principle always obtains the
CVO’S response before coming to any conclusion on the need to investigate such
(g) All Vigilance Of icials and their vehicles are empowered for unrestricted complaints.

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5.13.3 In order that the required degree of protection is conferred on the Vigilance of icials
supporting the CVO and keeping in view the spirit of the Santhanam Committee which with
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5.14 Functional and Administrative Control over Vigilance Of icials
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5.14.1 All matters pertaining to functional and administrative control over vigilance
commendable foresight had anticipated very clearly some of these issues, the Commission
of icials like, recruitment, induction, training, transfer / job rotation, promotion,
issues the following consolidated instructions in exercise of its powers under Section 8 (1)
movement / temporary duty / forwarding of applications / writing of Performance
(h) of the CVC Act:
Appraisal Reports / Disciplinary action etc., would be exercised by the Chief Vigilance
(a) All personnel in Vigilance Units will be posted only in consultation with and Of icer.
the concurrence of the CVOs. They will be for an initial tenure of three years
5.15 Detailing of Vigilance Staff in Committees and Non-Vigilance Activities
extendable up to ive years. Any premature reversion before the expiry of such
tenure will only be with the concurrence of the CVO. The CVO shall bring to the 5.15.1 The role of the Vigilance staff in the Divisions / Complexes is to study systems and
notice of the Commission any deviation from the above. procedures, which include surprise and regular inspections / checks and anti‐corruption
work. Vigilance staff will not be engaged in activities such as gathering information on
(b) The ACR of personnel working in the Vigilance Department will be written by
union activities, investigation on industrial relations, veri ication of irms and individuals
the CVO and reviewed by appropriate authority prescribed under the relevant
in non vigilance cases, members of any committees, routine administrative meetings etc.
conduct rules. The remarks in review shall be perused by the CVO and in case
The Government in consultation with the Central Vigilance Commission has issued
he has reservations about the comments made under the review, he shall take
guidelines vide O.M. No.321/77/91‐ADV.III dated 9 June 1992 (Annexure-7) that the
it up with the Chief Executive/HOD to resolve the issue. In case he is unable to
Vigilance functionaries should not be a party to processing and decision making process or
do this, he shall report the matter to the Commission who will intercede in the
any other similar administrative transactions of such nature which are likely to have clear
matter suitably.
vigilance sensitivity.
(c) Since the problem of victimisation occurs, if at all, after the reversion of the
5.16. Appointment of Vigilance Of icers in Departmental Inquiry Committee
personnel to their normal line departments, the Commission would reiterate
the following : 5.15.1 Vigilance Of icers will not be appointed as Inquiry Of icer, Presenting Of ice, and Co‐
Of icer, in exceptional cases they may be appointed as Presenting Of icer with the
(i) On reversion, the vigilance personnel shall not be posted to work under
concurrence of the CVO.
an of icer against whom, he had earlier undertaken veri ication of
complaints or detailed investigation thereafter. Needless to say his ACR 5.17 Duties of Vigilance Of icers and Staff in Departmental Inquiry Committee
shall not be written by such of icer. 5.17.1 The Vigilance Of icers and the Vigilance staff play a vital role in the Departmental
(ii) All such Vigilance personnel will be deemed to be under the Inquiry Committee proceedings. The onus of proving the charges is on the prosecution.
Commission’s purview for purposes of consultation in disciplinary The prosecution is based on the investigation report prepared by the Vigilance
matters. This is irrespective of their grade. This cover will be extended to Department. It is imperative that the Vigilance Of icers and the Vigilance Staff should
a period of not less than ive years from the date of reversion from the collect all the evidence before an investigation report is inalized and recommended the
vigilance department. prosecution of the defaulting employees.
(iii) All Vigilance personnel on reversion shall be entitled to represent through 5.17.2 The Vigilance Of icers and staff must provide all assistance and evidence gathered by
the CVO and chief executive of the organisation to the Commission if they them to the Presenting Of icer.
perceive any victimisation as a consequence of their working in the 5.18 Administrative Vigilance
Vigilance department. This would include transfers, denial of promotion
or any administrative action not considered routine or normal. This 5.18.1 Administrative Vigilance encompasses conduct of Quarterly Vigilance Committee
protection will be extended for a period not less than ive years after the Meetings in the Divisions. Issuance of No‐Objection Certi icate/ Vigilance Clearance for
reversion of such personnel from the vigilance department. various purposes and timely submission of reports and Returns.

5.13.4 The above instructions may be noted for strict compliance. The CVO should report 5.19 Functions of The Chairman, Divisional Vigilance Committee
promptly to the Commission, the details of any real or perceived victimisation of any of icial (a) As Chairman of Divisional Vigilance Committee, he will endeavour to maintain
who is working in the Vigilance Unit. Similarly, he should also report such instances integrity and transparency in all functions of his Division. (Ref. Circular No.
pertaining to the former of icials of the Vigilance Unit, up to a period of ive years after they 1257 dated 25.07.2006 issued by K(HR)) reads Circular No. 1542 dated
had completed their tenure in the Vigilance Unit. He should also report where such 03.09.2013) (Annexure -8)
deserving of icials are ignored/ superseded in matters of promotion.

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(b) He will chair the monthly meeting of the Divisional Vigilance Committee every
month to review the status of Vigilance related issue in the Division. The
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(d) The Divisional Vigilance Committee will review the status of implementation
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of instructions contained in CVC/MoD/DPE Guidelines received from time to

meeting to be held latest by 25th of every month, so that the minutes/monthly time on vigilance matters in the Division. For this purpose, the Member
report/quarterly report could reach Corporate Vigilance by last day of the Secretary will put up the list of such guidelines and circulars received, if any,
month. every month and requiring/pending implementation.
(c) He along with VO will identify Executives/Non‐Executives who are to be kept (e) The Divisional Vigilance Committee will identify the corruption prone/
under Agreed List and Doubtful Integrity List and send the same to Corporate sensitive areas of the sections in the Division and plan and implement rotation
Vigilance for further action. of Executives and Non‐Executives working in corruption prone/sensitive
(d) Any other task assigned by CMD/CVO areas for more than 3 years as on 1st April of every year within next 6 months.
The Member Secretary will put up the list of such Executives and Non‐
5.20 Constitution and Functions of Divisional Vigilance Committee
Executives in the monthly meeting held in April every year and thereafter
5.20.1 The Divisional Vigilance Committee will be constituted as follows: (Ref. Circular No. status of implementation of job rotation every month.
1257 dated 25th July 2006 issued by K(HR))
(f) The Divisional Vigilance Committee will review monthly, the system of
(a) Divisional Head ‐ Chairman surprise and regular inspection in the Division and take appropriate steps for
(b) Divisional Personnel Head ‐ Member its ef icient working. The Divisional Vigilance Committee will take notice and
also review the lapses observed during such surprise and regular inspection
(c) Divisional Finance Head ‐ Member
and take appropriate actions. The Member Secretary will put up before the
(d) Divisional Material Management ‐ Member Committee, a brief on surprise/regular inspection conducted in the month
(e) Divisional Plant Maintenance ‐ Member highlighting the lapses found. He will also put up actions pending for
(f) Divisional Security Head ‐ Member implementation in earlier surprise/regular checks. The checklist for scrutiny
is enclosed.
(g) Divisional Vigilance Of icer ‐ Member Secretary
(g) The Divisional Vigilance Committee will appoint sub‐committee to scrutinize
5.20.2 The Divisional Vigilance Committee constituted as above may co‐opt any other
high value POs/Contracts and review the status of implementation of action on
senior Executive of the Unit as member of the Committee on need basis when there is
lapses found by the sub‐committee every month. All PO/Contracts of more
requirement of such member in the committee to discuss the vigilance related issues
than Rs.50 lakh are to be scrutinized compulsorily. The Member Secretary will
pertaining to area of activity of such member. Some of the Governing Rules are given below.
put up list of such cases pending action before Committee every month.
(a) The meeting of Divisional Vigilance Committee will be held every month latest
(h) The Divisional Vigilance Committee will review the status of comments/
by 25th to deliberate on vigilance related matters pertaining to the Division. In
replies and actions pending on CTE/in‐house Intensive Examination Reports
the absence of the Chairman, the senior most member of the committee will
of iciate as Chairman of the committee. The minutes of the meeting along with and take appropriate actions on timely compliance. The Member Secretary
the monthly report of vigilance status will be sent by the Member Secretary will put up list of such pending paras and actions pending relating to such
through Chairman of the Divisional Vigilance Committee to Corporate examination reports.
Vigilance to reach by last day of the month. (i) The Divisional Vigilance Committee will ensure that all Executives are put
(b) The Vigilance Committee will review the status of pending Disciplinary/ through vigilance awareness programme at least once in 10 years. Besides, it
inquiry Proceedings and Vigilance issues in the Division and will take will also ensure that non‐executives who are functioning in sensitive areas are
necessary action to ensure timely disposal of such cases. The Member to be exposed to Vigilance Awareness Programme. The Member Secretary will
Secretary will put before the Committee, the details of such pending cases and put up list of such executives/non‐executives along with status of training in
other vigilance related matter requiring the attention of the Committee. the committee.
(c) The Divisional Vigilance Committee will review the status of implementation (j) The Divisional Vigilance Committee will facilitate study of system
of e‐tendering/e‐procurement in the Division and will ensure that, CVC improvement taken by the Vigilance Of icer on different areas at least once in 6
Guidelines/CMD/CVOs instructions on the subject is complied to bring months and ensure implementation of measures recommended.
transparency in procurement and contracts.

54 VIGILANCE MANUAL VIGILANCE MANUAL 55

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(k) The Divisional Vigilance Committee will provide all logistics support and other
facilities to Vigilance Of icer/Investigating Of icer to facilitate ef icient
functioning of vigilance in the Division.
(i) Any other task assigned by CMD/CVO.
5.21 Access to Documents
5.21.1 A Vigilance Of icer, by virtue of powers conferred vide CVC’s Circular No.3/2/07 Chapter ‐ 6
(Annexure-41) issued vide letter No.007/VGL/013 dated 23rd February, 2007, is
empowered to seize or take into custody, all documents / records / material pertaining to a PREVENTIVE VIGILANCE
particular complaint / allegation for purpose of investigations. As per the directions of the
CVC, if the allegations contain information which can be veri ied from any documents /
records / material, the Investigating / Vigilance Of icer should, without loss of time, secure
such records / documents and take them into personal custody.

BREAK THE CORRUPTION CHAIN

Fighting corruption is not just

good governance. It’s self-defense.
It’s patriotism.
- Joe Biden

56 VIGILANCE MANUAL
 6.1 Guidelines on Vigilance Clearance and Related Matters
6.1.1 These guidelines have been prepared to facilitate decision making in respect of cases
concerning vigilance clearance and other related matters. These are based on the
instructions on the subject as on date and are subject to change.
6.2 Con irmation / Promotion of an Of icer
6.2.1 Orders on the subject are governed by :
(a) DoPT OM 22011/5/86‐Estt(D) dtd 10th April 1989 (Annex-9).
6.2.2 As per above mentioned Of ice Memorandum (OM) a vigilance clearance from the

~ ...
fU,.,..
Vigilance Section of the Of ice should be obtained before making actual promotion or
con irmation of of icer approved by Departmental Promotion Committee(DPC) to ensure
that no Departmental Proceedings are pending against the of icer concerned.
6.3 Promotion
6.3.1 Orders on the subject are governed by :
(a) DoPT OM 22011/4/91‐Estt.(A) dtd 14th September 1992 (Annex-10).
(b) DoPT O.M 22011/5/86‐Estt.(D) dtd 10th April 1989 (clause 17.1) (Annex-9).
6.3.2 As per above mentioned OMs at the time of consideration of cases of Government
Servant for promotion, details of Government Servant in the consideration zone for
promotion falling under the following category should be speci ically brought to the notice
of Departmental Promotion Committee :

l'lftcntl,t Vl:IJl.41,c, ,, • tnt>I cir (a) Government servants under suspension.

Gorn! ,,.,.,,_.

(b) Government servants in respect of whom a charge sheet has been issued and
disciplinary proceedings are pending.
(c) Government servants in respect of whom prosecution for criminal charge is
pending.
6.3.3 In addition, a vigilance clearance from the Vigilance Section of the Of ice should be
obtained before making actual promotion or con irmation of of icer approved by DPC to
ensure that no Departmental Proceedings are pending against the of icer concerned.
6.4 Resignation
VIGILANCE AWARENESS WEEK 6.4.1 Orders on the subject are governed by :
(a) DoPT O.M. No. 28034/4/94‐Estt.(A) dated 31st May 1994, (Annexure-11).
(b) G.I. MHA (D.P. & A.R.) OM no. 24011/1/76‐Estt(B) dtd 17th May 1976 and
Clause 6.14.1 of CVC Vigilance Manual 2005 (Annexure-12).
6.4.2 As per above mentioned OMs, in all cases of resignation, the Competent Authority,
shall insist, as mandatory measure on prior vigilance clearance, before taking decision on
the request for resignation.
6.4.3 A check list of points for consideration of cases of resignation has been prescribed
which, inter alia, includes the following points:

VIGILANCE MANUAL 59

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(a) Whether any Inquiry or Investigation or disciplinary case is pending or
contemplated.
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(c) If it is proposed to accept the notice of voluntary retirement even in above
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mentioned cases, approval of the Minister In‐charge should be obtained in

regard to Group 'A' and Group 'B' Of icer and that all the Heads of the
(b) Whether under suspension.
Department in the case of Group 'C' and Group 'D' Government servants.
6.4.4 If an of icer against whom an Inquiry or Investigation is pending (whether he has
(d) The Government Servants given notice may presume acceptance of the notice
been placed under suspension or not) submits his resignation, such resignation should not
of voluntary retirement and the retirement shall be effective in terms of the
normally be accepted. Where, however, the acceptance of resignation in such a case is
notice unless the Competent Authority issues an order to the contrary before
considered necessary in public interest because one or more of the following conditions are
the expiry of the period of notice.
ful illed, the resignation may be accepted with the prior approval of the Head of
Department in case of holders of Group 'C' and Group 'D' posts and that of the Minister‐in‐ 6.6 Retirement on Superannuation
charge in respect of holders of Group 'A' and Group 'B' posts:‐
6.6.1 Orders on the subject are governed by :
(a) Where the alleged offence do not involve moral Turpitude.
(a) Sub Rule 4 of the Rule 9 of the CCS(Pension) Rules, 1972 (Annexure-17).
(b) Where the quantum of evidence against the accused of icer is not strong
(b) Sub‐Rule (3) of Rule 39 of the CCS(Leave) Rules, 1972 (Annexure-17).
enough to justify the assumption that if the departmental proceedings were
continued, the of icer would be removed or dismissed from service. 6.6.2 The information regarding the pendency of any departmental or judicial
proceedings against the Government Servant is required in order to sanction pension,
(c) Where the departmental proceedings are likely to be so protracted that it
gratuity and encashment of leave of the retiring of icer.
would be cheaper to the public exchequer to accept the resignation.
6.7 Nomination of Of icers for Foreign Deputation
6.4.5 Concurrence of the Central Vigilance Commission should also be obtained if the
Central Vigilance Commission had advised initiation of departmental action against the 6.7.1 Orders on the subject are governed by :
government servant concerned or such action has been initiated on the advice of the (a) DoPT OMs no. 11012/11/2007‐Estt (A) dated 14th December 2007 and 27th
Central Vigilance Commission. September 2011 (Annexure-18 & 19).
6.5 Voluntary Retirement 6.7.2 The above mentioned orders are applicable in respect of :
6.5.1 Orders on the subject is governed by : (a) Empanelment.
(a) Dpt. of Per. & A.R., O.M. No. 25013/7/77‐Estt. (A) dtd the 26th August, 1977, (b) Deputation for which clearance is necessary.
(Annexure-13).
(c) Appointment to sensitive posts and assignments to training programmes
(b) O.M. No. 25013/3/79‐Ests. (A), dated the 28th July,1979, (Annexure-14). (except mandatory training).
© O.M. No. 25013/10/85‐Estt. (A), dated the 5th July, 1985 and (Annexure-15). 6.7.3 In all these cases the vigilance status may be placed before and considered by the
(d) Dept.of Per. & Trg., O.M. No.25013/3/2003‐Estt. (A), dtd the 17th June, 2003 Competent Authority before a decision is taken.
(Annexure-16). 6.7.4 The circumstances under which vigilance clearance shall NOT be withheld is :
6.5.2 As per these orders, a notice of voluntary retirement given after completion of 20 (a) Vigilance clearance shall not be withheld due to the iling of a complaint, unless
years of qualifying service will require acceptance by the Appointing Authority. it is established on the basis of at least a Preliminary Inquiry or on the basis of
6.5.3 The acceptance may be generally given in all cases except these : any information that the concerned Department may already have in its
possession, that there is, prima facie, substance to veri iable allegations
(a) In which the disciplinary proceedings are pending or contemplated against the
regarding.
Government Servant concerned for imposition of a major penalty and the
Disciplinary Authority having regard to the circumstances of the case is of the (b) Corruption.
view that the imposition of the penalty of removal or dismissal from service (c) Possession of assets disproportionate to known source of income.
would be warranted in the case.
(d) Moral Turpitude.
(b) In which the prosecution is contemplated or may have been launched in a
Court of Law against the Government servant concerned. (e) Violation of the Central Civil Services (Conduct) Rules, 1964.

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(f) Vigilance clearance shall not be withheld if a Preliminary Inquiry mentioned
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6.7.6 Vigilance clearance shall be decided on a case‐by‐case basis by the Competent

above takes more than three months to be completed. authority keeping in view the sensitivity of the purpose, the gravity of the charges and the
facts and circumstances, in the following situations :
(g) Vigilance clearance shall NOT be withheld unless :
(a) Where the investigating agency has found no substance in the allegation but
(i) The of icer is under suspension.
the court refuses to permit closure of the FIR.
(ii) Charge sheet has been issued against the of icer in a disciplinary
(b) Where the investigating agency/ inquiry of icer holds the charges as proved
proceeding and the proceeding is pending.
but the competent administrative authority differs, or the converse.
(iii) Orders for instituting disciplinary proceeding against the of icer have
6.7.7 Vigilance clearance will not normally be granted for a period of three years after the
been issued by the Disciplinary Authority provided that the charge sheet currency of the punishment, if a minor penalty has been imposed on an of icer. In case of
is served within three months from the date of passing such order. imposition of a major penalty, vigilance clearance will not normally be granted for a period
(iv) Charge sheet has been iled in a Court by the Investigating Agency in a of ive years, after the currency of punishment. During the period, the performance of the
criminal case and the case is pending. of icer should be closely watched.

(v) Orders for instituting a criminal case against the of icer have been issued 6.7.8 Vigilance clearance shall be withheld if the of icer fails to submit his annual
by the Disciplinary Authority provided that the charge sheet is served immovable property return (AIPR) of the previous year by 31 January of the following year.
within three months from the date of initiating proceedings. In all such cases, where vigilance clearance was withheld due to non submission of AIPR by
31 January of following year, vigilance clearance shall not be withheld any further on
(vi) Sanction for investigation or prosecution has been granted by the subsequent submission of AIPR by the of icer.
Competent Authority in a case under the PC Act or any other criminal
6.7.9 The of icer shall submit the AIPR in his/her of ice. The date of submission of AIPR in
matter.
the of ice will be considered as date of submission of AIPR under the orders on the subject
(vii) FIR has been iled or a case registered by the concerned Department mentioned in Para 1.1 of 14.9.
against the of icer provided that the charge sheet is served within three
6.8 Forwarding of Applications for Other Posts
months from the date of iling/registering the FIR/Case.
6.8.1 Orders on the subject are governed by :
(viii) The of icer is involved in a trap/raid case on charges of corruption and
investigation is pending. (a) DoPT OM no. AB 14017/101/91‐Estt(RR) dated 14th Jul 1993 (Annex-20).

(h) Vigilance clearance shall not be withheld due to an FIR iled on the basis of a 6.8.2 Application of a Government servant for appointment, whether by Direct
private complaint unless a charge sheet has been iled by the investigating Recruitment, transfer on deputation or transfer, to any other post should not be
agency provided that there are no directions to the contrary by a competent considered/ forwarded if :
Court of Law. (a) He is under Suspension.
(i) Vigilance clearance shall not be withheld even after sanction for prosecution if (b) Disciplinary proceedings are pending against him and a charge sheet has been
the investigating agency has not been able to complete its investigations and issued.
ile charges within a period of two years. However, such vigilance clearance (c) Sanction for prosecution, where necessary has been accorded by the
will entitle the of icer to be considered only to be appointed to non‐sensitive competent authority.
posts and premature repatriation to the parent cadre in case he is on
deputation and not for any other dispensation listed at Para 14.6.(2.1). (d) Where a prosecution sanction is not necessary, a charge sheet has been iled in
a court of law against him for criminal prosecution.
6.7.5 In cases where complaints have been referred to the administrative authority
concerned, and no substantive response has been received from such administrative 6.8.3 When the conduct of a Government Servant is under investigation (by the CBI or by
authority concerned within three months from the date on which the reference was made, the controlling Department) but the investigation has not reached the stage of issue of
the Disciplinary Authority may provide a copy of the complaint to the of icer concerned to charge sheet or prosecution sanction or iling of charge‐sheet for criminal prosecution in a
seek his comments. If the comments are found to be prima facie satisfactory by the court, the application of such a Government servant may be forwarded together with brief
Competent Authority, vigilance clearance shall be accorded. comments on the nature of allegations.

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6.8.4 It should also be made clear that in the event of actual selection of the Government
servant, he would not be released for taking up the appointment, if by that time charge
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6.11 Issue of Identity Certi icate (IC) or No Objection Certi icate (NOC) for Issue of
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NEWFIONTIIS. l'EWDREMIS

Ordinary Passport.
sheet for imposition of penalty under CCS (CCA) Rules, 1965 or sanction for prosecution is
6.11.1 Orders on the subject are governed by :
issued or a charge sheet is iled in a court to prosecute the Government servant, or he is
placed under suspension. (a) MEA, CPV Division OM no. VI/401/01/05/2008 dated 05th October 2009.
6.9 Rotation of Of icials Working in Sensitive Posts (b) (Annexure-25), Section 6(2) of the Passport Act 1967 (Annexure-26).
6.9.1 Orders on the subject are governed by : 6.11.2 A Government Servant would have an option to submit either Identity Certi icate
(a) DoPT OM no. 11012/11/2007‐Estt (A) dated 14th December 2007 and 27th (IC) or No Objection Certi icate (NOC). If IC is submitted, passport will be issued without
September 2011 (Annexure - 18 & 19). police veri ication and if NOC is submitted passport will be issued on post police
veri ication basis.
(b) CVC letter no. 98/VGL/60 dated 15th April 1999 and 2nd November 2001
(Annexure-21 & 22). 6.11.3 The Government organization would issue IC certifying the identity of the
Government Servant stating, inter alia, that the provisions of Section 6(2) of the Passports
(c) Para 2.13 (v) of CVC Vigilance Manual, 2005 (Annexure-23). Act 1967 are not attracted in the case of the applicant.
6.9.2 A list of sensitive posts in various Departments/Organizations should be identi ied. 6.11.4 The Government organization would issue an NOC stating that they have no
6.9.3 Ensure that of icials posted on sensitive posts are rotated every three/ ive years to objection to the Government servant to his obtaining a passport.
avoid developing vested interests. 6.11.5 Section 6(2) of the Passport Act 1967 states that Passport Authority shall refuse to
6.9.4 Postings in the Vigilance Wings/departments are classi ied as sensitive. issue a passport for visiting any foreign country on any of the following grounds:

6.9.5 Sensitive posts in an organization are those posts that are prone to corruption. (a) that the applicant is not a citizen of India.
6.9.6 Vigilance clearance for appointments to sensitive posts is regulated by orders (b) that the applicant may, or is likely to, engage outside India in activities
referred to in Para 13.6.(1.1) and guidelines elaborated in various sub Para of Para 13.6 (2). prejudicial to the sovereignty and integrity of India.
6.10 Annual Immovable Property Return (c) that the departure of the applicant from India may, or is likely to, be
detrimental to the security of India.
6.10.1 Orders on the subject are governed by :
(d) that the presence of the applicant outside India may, or is likely to, prejudice
(a) Rule 18 (1) (ii) of CCS(Conduct) Rules 1964 (Annexure-24).
the friendly relations of India with any foreign country.
(b) DoPT O.M. no. 11012/11/2007‐Estt A dated 27th September 2011(Annex-19).
(e) that the applicant has, at any time during the period of ive years immediately
(c) BEML circular No: 1235 dated 19th May 2006 (Annexure -19A). preceding the date of his application, been convicted by a Court in India for any
(d) 1632 dated 25 Apr 2017 (Annexure -19B). offence involving moral turpitude and sentenced in respect thereof to
imprisonment for not less than two years.
6.10.2 Rule 18(1)(ii) provides that every Group 'A' & Group 'B" Government Servant shall
submit an Annual Return in such a form as prescribed by the Government giving full (f) that proceedings in respect of an offence alleged to have been committed by
particulars regarding the immovable property inherited by him on lease or mortgage either in the applicant are pending before a criminal court in India.
his own name or in the name of any member of his family or in the name of any other person. (g) that a warrant or summons for the appearance, or a warrant for the arrest, of
6.10.3 DoPT vide OM dated 27th September 2011 (Annexure-19) has added a sub para (f) the applicant has been issued by a court under any law for the time being in
in para 2 of DoPT OM No. 11012/11/2007‐Estt A dated 14th December 2007 force or that an order prohibiting the departure from India of the applicant has
(Annexure-18) on the subject of grant of vigilance clearance. been made by any such court;

6.10.4 As per the above mentioned O.M., Group 'A' and Group 'B' Of icers are required to (h) that the applicant has been repatriated and has not reimbursed the
submit their annual immovable property return by 31st January of the following year. expenditure incurred in connection with such repatriation.

6.10.5 Submission of AIPR by 31st January of the following year by the of icers in the Of ice (i) that in the opinion of the Central Government the issue of a passport or travel
where they are working should be considered as compliance to these instructions. document to the applicant will not be in the public interest.

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6.12 Prior Permission to Visit Abroad
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person committing the act may be looked down upon by the society as a depraved person
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will involve moral turpitude.

6.12.1 Orders on the subject are governed by :
(a) DoPT O.M. no. 11013/7/94‐Estt (A) dated 18th May 1994 (Annex-27). 16.13.4 Every violation of law would not necessarily involve moral turpitude.

(b) DoPT O.M. no. 11013/8/2000‐Estt (A) dated 7th November 2000 (Annex-28). 16.13.5 The intention behind the act will decide whether it involves moral turpitude or
not.
(c) DoPT O.M. no. 11013/7/2004‐Estt (A) dated 5th October 2004 (Annex-29).
6.14 Pendency of Departmental/Disciplinary Proceedings
6.12.2 Prior permission of leave sanctioning authority is essential before a govt. servant
leaves his station or headquarters and more so when he proposes to go abroad during such 6.14.1 Orders on the subject are governed by :
absence, as such visit may have wider implications. (a) Rule 9 (6) (a) of CCS (Pension) Rules and Observations of Allahabad High Court
6.12.3 In case the leave applied for the purpose of visiting foreign country is sanctioned, it in State of U.P. v. Jai Singh Dixit (1976) 2 LLJ(ALL)246 (Annex-30).
would imply that permission for going abroad is also granted. 6.14.2 Departmental proceedings shall be deemed to be instituted from the date on which
6.12.4 Separate permission may not be necessary where a government servant has the statement of charges is issued to the government servant.
indicated his intention of leaving Headquarters/station along with leave address while 6.14.3 The pendency of a disciplinary proceeding starts with the issue of the charge sheet
applying for leave. and continues till inal order is made by the disciplinary authority.
6.12.5 Leave sanctioning authority while granting leave shall take prior approval, if 6.14.4 A departmental proceeding is deemed to be instituted, if the government servant
required, for permitting the of icer to go abroad as per the existing instructions. has been placed under suspension from an earlier date, on such date.
6.12.6 Leave sanctioning authority shall take prior approval of the Competent Authority, if
6.15 Contemplation of Disciplinary Case
any, prescribed by the Cadre Authority or the administrative Ministries/Departments
themselves, in terms of these instructions. 6.15.1 Orders on the subject are governed by :
6.12.7 Department of Personnel and Training has not issued any instructions in this regard. (a) Observations of Allahabad High Court in State of U.P. v. Jai Singh Dixit (1976) 2
In the absence of any such instructions, the approval of the leave sanctioning authority LLJ(ALL)246 (Annexure-30).
would imply approval to the visit abroad also. 6.15.2 A departmental enquiry is contemplated when on objective consideration of the
6.12.8 The government servant is required to furnish information relating to the proposed material, the appointing authority considers the case, as one which would lead to a
and previous private visits as per the Proforma prescribed (Format‐05). departmental enquiry.
6.12.9 Leave sanctioning authority shall keep a record of all such permission granted in the 6.15.3 A Disciplinary case against a government servant is considered contemplated from
Proforma prescribed (Format‐05). the date the Disciplinary Authority takes a view to proceed, under Rule 14 or Rule 16 of CCS
(CCA) Rules, against the of icer in a case to the date of issue of charge sheet.
6.12.10 Permission to visit abroad may be given or denied by the Leave Sanctioning
Authority after going through all aspects including pending Vigilance/Disciplinary 6.16 Institution of Judicial Proceedings
proceedings.
6.16.1 Orders on the subject are governed by :
6.13 Moral Turpitude
(a) Rule 9 (6) (b) of CCS (Pension) Rules (Annexure-32).
6.13.1 Orders on the subject are Governed by :
6.16.2 In the case of criminal proceedings, judicial proceedings shall be deemed to be
(a) Allahabad High Court's de inition in the case of Baleshwar Singh V. District instituted on the date on which the complaint or report of a police of icer, of which the
Magistrate, AIR 1963, All 71 and observations thereon of Supreme Court in the Magistrate takes cognizance, is made.
case of Allahabad Bank and Another V. Deepak Kumar Bhola 1997 (4) SCC 1
(Annexure-31). 6.16.3 In the case of civil proceedings, judicial proceedings, shall be deemed to be instituted
on the date the complaint is presented in the Court.
6.13.2 Moral turpitude means anything done contrary to justice, honesty, modesty or good
morals. 6.17 Vigilance Clearance in BEML

6.13.3 An act of abuse of of icial position or acts done with a dishonest intention or where 6.17.1 In BEML, The Vigilance clearance procedure has been revised vide :
the motive is a base one or where it shocks the moral conscience of the society or where the (a) GB no. 1228 dated 19th April 2011 (Annexure-33)

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6.17.2 Cases where vigilance clearance is required in respect of following cases before
Management’s approval is accorded :
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6.17.5 Further, it is indicated that Vigilance Clearance is given by the Vigilance Department
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based upon vigilance cases initiated / pending / contemplated at the time of seeking
Vigilance Clearance and such clearance is valid for a period of 30 days. The accordal of
(a) Con irmation on appointment / promotion.
Vigilance Clearance would be preceded by the following procedures :
(b) NOC for issue of Passport.
(a) Cases investigated and charges proved against the employee / of icer and
(c) Deputation within the Country and Foreign assignments, including business / report sent to disciplinary authority, along with gist of charges / punishment
of icial trips abroad. awarded, if any, for last 3 years are to be furnished by respective HR
(d) Personal visits abroad. Department.
(b) If the information in respect of 2 (II) (a) is ‘nil’, then the Vigilance Department
(e) Training abroad, including Seminars and Conference abroad.
should give Clearance, stating that there is no Vigilance Case againt the
(f) Forwarding of application through proper channel to other PSUs, Government Employee / Of icer for the last 3 years.
department (Both Central & State Governments).
(c) Vigilance Clearance will not be accorded in case of the following :
(g) To attend interviews for selection for employment to other PSUs / Government (i) Contemplation / pending of vigilance cases on the date of vigilance
Departments (Both Central & State Departments). clearance requirement.
(h) Awards, including National / International. (ii) Cases pending in terms of CDA Rules / Standing Orders / Service Rules.
(i) Posting to the sensitive areas, including Transfer to / from Sensitive areas / (iii) Of icer / Employee who is under suspension.
Departments, such as Bills payable, Payrolls, Purchase & Stores, Recruitment &
(iv) Of icer / Employee in respect of whom a charge sheet has been issued
Promotions, Security, Vigilance, Construction & Plant Maintnenace, Canteen,
and disciplinary proceddings are pending.
Sub‐Contract Cell, etc.
(v) Of icer / Employee in respect of whom prosecution for a criminal charge
(j) Compulsory / Normal / Voluntary Retirement / Resignation.
is pending.
(k) Pre‐mature retirement. (vi) Of icer / Employee undergoing a penalty imposed by the Disciplinary
(l) Extension / re‐employment / commercial employment, after retirement. Authority or sentence ordered by a Court of Law.
(m) Recruitment (regular / deputation / contract / assignment basis) to posts in all (vii) Non‐submission of up to date Annual Property Returns (applicable for
disciplines of the Company, joining from other PSUs / Government Of icers only).
Departments (Both Central / State Government). (d) While seeking Vigilance Clearance relevant points as mentioned in the above
(n) Re‐employment after retirement from defence services, PSUs and Government paras may be provided by the respective HR Department.
Departments (Both Central / State Government). (e) A photo‐copy of note‐sheet, alongwith Vigilance Clearance given shall be kept
6.17.3 Further to the above, the following formats should be utilized by the respective HR with Vigilance Department for records and reference.
Departments while seeking Vigilance Clearance from the concerned Vigilance 6.17.6 Vigilance Clearance in respect of cases covered under Sl No: 1‐a (xiii) & (xiv) shall be
Departments in respect of matters indicated against each below : obtained from the Vigilance Department of PSUs / Government Departments (Both Central
(a) For the PESB interview / selection : Format – 06 / State Government) through their HR department, from where the Executive / Employee
is being recruited OR re‐employed after retirement.
(b) For other purposes like con irmation
/ promotion / outside employment, etc : Format – 07 6.17.7 Further, at the time of Issuance of Offer of Appointment, the prospective Executive /
Employee may be requested to furnish a copy of the Vigilance Clearance given by the
(c) For the purpose of obtaining Passport / Vigilance Department of his / her previous employer. In case the applicant is not in position
Visa / Travel to be made by the individual : Format – 08 to furnish copy of Vigilance Clearance as above, same may be referred to his / her previous
Employee / Executive (With Appendix) employer for clearance and if the same is not received within 45 days of joining the
Company, the matter may be referred to CVO, BEML for getting the clearance from their end.
6.17.4 The HR Departments concerned are requested to adhere to the formats, without Probation will get closed only after obtaining the Vigilance Clearance either from the
which Vigilance Department will not entertain such requests. previous employer or from the Vigilance Department of BEML.

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6.17.8 The existing practice of level of executives viz‐a‐viz authority according the
Vigilance Clearance remains unalterned i.e for employees Division Vigilance heads will
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complaints, if any, which are pending for enquiry and the concerned
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Department’s views thereon.

issue VC, for Executives in the grade I to VII will be issued by DGM(Vig‐CO) and for
6.17.11 DoPT vide OM dated 30.10.2014 on the subject “Policy guidelines for Extension of
Ececutives in the grade VII to X CVO will issue the VCl , whenever some of icer is given
tenure of Board level incumbents where vigilance clearance is not available’ has issued the
additional charge of another post for a short duration i.e. upto 3 months, clearance from the
following procedure:
CVC will not be required. In such cases, CVO of the organization would give the vigilance
clearance (No. 005‐VGC‐101 Dated : 11th August, 2005) (Annexure-34). For Board level (a) As in the case of fresh appointments, in line with CVC’s instructions dated
executives, CVO of the Ministry will issue the VC. 31.08.2004, no cognizance should be taken of any complaint which is received
within 06 months prior to the terminal date of the approved tenure of Board‐
6.17.9 In terms of letter ref. D O No. 5/4/2010/Secy./PESB/2010/97‐A dated 15th
level appointees. This is imperative as it has been frequently observed that
September, 2010, In case of PESB selection, CVO of the Ministry may be asked to send the
there is a spate of allegations and complaints against Board‐level of icials
VCl of Board level functionaries in CPSEs and CVO of the CPSE may be asked to send the VCl
whose cases become due for extension of tenure.
of below Board functionaries of CPSEs to the PESB.
(b) Department should take a decision on whether to extend the term of a Board‐
6.17.10 DoPT vide OM dated 22.10.2014 on the subject “ Guidelines for processing
level appointee one year in advance of the completion of his initial term, so that
proposals for appointment to Board level posts in Central Public Sector
adequate time is available for the Department to obtain CVC clearance.
Enterprises(CPSEs)” has issued guidelines as follows :
(c) Taking into account the vigilance status as on the date six months before the
(a) The instructions contained in DoPT’s O.M. No.104/76/2011‐AVD.I dated
terminal date of initial appointment, the CVC may give its clearance within two
18.10.2013 (Annexure-35) regarding handling of pseudonymous /
months of receiving the reference in this regard from the Administrative
anonymous complaints should be strictly adhered to at all levels. Further as
Ministry. This limit of two months will include time taken for back references,
per CVC’s instructions issued vide Of ice Order No.57/8/04 dated 31.08.2004;
CBI references / inquiries, etc.
(Annexure-04) no cognizance should be taken of any complaint received
within six months prior to the initiation of the selection process. For this (d) Even though complaints received after the cut‐off date shall have no bearing
purpose, the date of interview held by the PESB would be the crucial date, six upon the process of extension of tenure and would not prejudice the same,
months prior to which no cognizance would be taken of complaints received such complaints shall be dealt with as per the normal procedure. Disregarding
against the selected candidates. Such complaints therefore should not have such complaints received after the cut‐off date at the time of deciding upon
any bearing on the ACC process and would not prejudice the same. Such extension of tenure may not be of any serious consequences as the
complaints should however be dealt separately and necessary action be taken appointment can always be terminated at a later date if the charges are
in the event of any adverse conclusion even after the appointment is made. substantiated on the basis of an inquiry.
(b) In case vigilance clearance is not denied by CVC within the two months period (e) In respect of the cases where CVC clearance has been delayed beyond the
stipulated above (which would include consultation with CBI/CBI clearance, prescribed timelines, merely on account of procedural reasons, and where
reference to the CVO of the Ministry for any report, clari ication etc.), the there is no denial of vigilance clearance, the case of extension could be
Ministries shall proceed with the appointment process, without waiting any processed without waiting any further.
further. (f) In respect of the cases where CVC clearance is awaited, and there are cases /
(c) While submitting such proposals for the consideration of ACC, the Ministry complaints pending against the of icer, the Ministry shall submit to ACC, a
shall provide the complete details of cases / complaints, if any, pending against proposal for extension of tenure, at least two months prior to the of icer’s
the selected candidate and their speci ic views regarding the gravity of the approved tenure with :
allegations and the culpability of the concerned candidate. While the Ministry (i) All available information in respect of the complaint.
may not have much dif iculty in processing the proposal when selected
candidate is from an organization under the control the same Department, (ii) Material received from / sent to CVC, including enquiry report, if any, of
some advance action would be required when the candidate is coming from the CVO of the Ministry.
outside. For this purpose, the Ministry shall obtain the complete vigilance (iii) The comments of the Ministry thereon.
pro ile of the candidate from the concerned Ministry / Department to which
the selected candidate belongs as soon as the PESB recommendation is 6.17.12 Procedure for Online Vigilance Clearance for appointment of Board Level
received by them. The Ministry shall also obtain complete details of the cases / Executives of Central Public Sector Enterprises(CPSEs) is given below.

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6.17.13 DoPT vide D.O No 372/4/2016‐AVD.III dated 19th January 2017 on the subject
“Technology based mechanism for Vigilance Clearance of CPSEs of icers “had taken
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other terms and conditions of the tender are some of the steps recently taken at the
instance of the Commission in order to bring about greater transparency and competition
decision to introduce a technology based mechanism that enables ef icient Vigilance in the procurement/award of tender.
Clearance of Of icers who apply for the Senior level Posts.
6.18.2 In this context, Integrity Pact, a vigilance tool irst promoted by the Transparency
6.17.14 The implementation of Online Vigilance Status of Board Level Executives of CPSEs International, has been found to be useful. The Pact essentially envisages an agreement
would require feeding/updating of data pertaining to the details of employee’s vigilance between the prospective vendors/bidders and the buyer committing the persons/of icials
pro ile, i.e., pending disciplinary proceedings, status of complaints received, details of of both the parties, not to exercise any corrupt in luence on any aspect of the contract. Only
prosecution sanction, Agreed list, ODI etc, at regular intervals. While Central Vigilance those vendors/bidders who have entered into such an Integrity Pact with the buyer would
Of icers(CVOs) would be responsible for maintaining and updating data of Board level be competent to participate in the bidding. In other words, entering into this Pact would be
Executives, the CVOs of the CPSEs will be responsible in respect of below Board level a preliminary quali ication. The Integrity Pact in respect of a particular contract would be
employees of its organisation. effective from the stage of invitation of bids till the complete execution of the contract.
6.17.15 Responsibility of CVOs: CVOs will undertake updation of Vigilance Pro ile 6.18.3 Vide Circular No. 10/5/09 (Annexure-36) Subject CVC has delineated the Standard
regularly as follows : Operating Procedure for Adoption of Integrity Pact as follows. The Central Vigilance
Commission has been promoting Integrity, transparency, equity and competitiveness in
(a) For Board Level Of icials and of icials who are one level below Board, this
Government/PSU transactions and as a part of vigilance administration and
updation will have to be carried out every month. The updation will have to be
superintendence. Public procurement is a major area of concern for the Central Vigilance
done even if there are no changes in the Vigilance Pro ile. Even a nil/Clear
Commission and various steps have been taken to put proper systems in place. Leveraging
report will have to be updated every month.
technology, especially wider use of the web sites for disseminating information on tenders,
(b) For of icers who are second level or below, the updation will have to be done clearly de ining the pre quali ication criteria and other terms and conditions of the tender
every three months in the same way above. are some of the steps recently taken at the instance of the Commission. In this context,
(c) As and when the selection process for any vacancy is initiated, the ACC/PESB, Integrity Pact (IP), a vigilance tool conceptualized and promoted by the Transparency
as the case may be , will communicate through online system, the details of International, has been found to be useful. The Commission has, through its Of ice Orders
of icers who have applied against the noti ied vacancies. Such requests will be No. 41/12/07 dated 04.12.07 (Annexure-37) and Circular No 43/12/07 dated 28.12.07
re lected in the module of the following stakeholders. (Annexure-38) and Circulars No. 18/05/08 dated 19.05.08 (Annexure-39) and 24.08.08
dated 05.08.2008 (Annexure-40) (copies appended), recommended adoption of Integrity
(i) Central Vigilance Commission. Pact and provided basic guidelines for its implementation in respect of major
(ii) CVOs of the concerned Ministries/Departments of the CPSEs/ procurements in the Government Organizations.
Organisations where the of icials are working depending upon whether 6.18.4 The pact essentially envisages an agreement between the prospective vendors/
the of icials are board level or below. bidders and the buyer, committing the persons/of icials of both sides, not to resort to any
(iii) Central Bureau of Investigation. corrupt practices in any aspect/stage of the contract. Only those vendors/bidders, who
commit themselves to such a Pact with the buyer, would be considered competent to
(iv) The administrative Ministry/Department under which the vacancy participate in the bidding process. In other words, entering into this Pact would be a
exists. preliminary quali ication. The essential ingredients of the Pact include:
(v) The request sent will be lagged online as priority list and communicated (a) Promise on the part of the principal
through the registered email. The CVO will ensure the Vigilance Pro ile of
such of icers is updated in a weeks time based on the available records. (i) Not to seek or accept any bene it, which is not legally available.
The same will be re lected on the portal with the last date of updation (ii) To treat all bidders with equity and reason.
being displayed.
(b) Promise on the part of bidders not to offer any bene it to the employees of the
6.18 Integrity Pact Principal not available legally.
6.18.1 Ensuring transparency, equity and competitiveness in public procurement has been (c) Bidders not to enter into any undisclosed agreement or understanding with
a major concern of the Central Vigilance Commission and various steps have been taken by other bidders with respect to prices, speci ications, certi ications, subsidiary
it to bring this about. Leveraging technology especially wider use of the web‐sites for contracts, etc.
disseminating information on tenders, tightly de ining the pre‐quali ication criteria and

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(d) Bidders not to pass any information provided by Principal as part of business
relationship to others and not to commit any offence under PC/ IPC Act.
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and objectively, whether and to what extent parties have compiled with their
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obligations under the Pact.

(e) Foreign bidders to disclose the name and address of agents and (h) Periodical Vendors' meets, as a familiarization and con idence building
representatives in India and Indian Bidders to disclose their foreign principals measure, would be desirable for a wider and realistic compliance of the
or associates. principles of IP.
(f) Bidders to disclose the payments to be made by them to agents / brokers or any (i) A clause should be included in the IP that a person signing IP shall not
other intermediary. approach the Courts while representing the matters to IEMs and he / she will
await their decision in the matter.
(g) Bidders to disclose any transgressions with any other company that may
impinge on the anti corruption principle. (j) In case of subcontracting, the Principal contractor shall take the responsibility
of the adoption of IP by the sub‐contractor.
(h) Integrity Pact, in respect of a particular contract, shall be operative from the
date IP is signed by the parties till the inal completion of the contract. Any (k) Information relating to procurement/contracts covered under IP and its
violation of the same would entail disquali ication of the bidders and exclusion progress / status would need to be shared with the IEMs on monthly basis.
from future business dealings.
(l) The inal responsibility for implementation of IP vests with the CMD / CEO of
6.19 Implementation Procedure the organization.
6.19.1 As stated in Department of Expenditure’s O.M. dated 20.07.2011, Ministries / 6.20 Role / Functions of IEM
Departments may, in consultation with the respective Financial Advisor and with the
6.20.1 The Role and Functions of IEM are given below :
approval of the Minister‐in‐charge, decide on and lay down the nature of procurement /
contracts and the threshold value above which the Integrity Pact would be used in respect (a) The IEMs would have access to all contract documents, whenever required.
of procurement transactions / contracts concluded by them or their attached / sub‐ (b) It would be desirable to have structured meetings of the IEMs with the Chief
ordinate of ices. Executive of the Organization on a quarterly basis including an annual meeting
(a) The above provision is also applied for procurements made by autonomous to discuss / review the information on tenders awarded during the previous
bodies for which also the concerned administrative ministry / department quarter. Additional sittings, however, can be held as per requirement.
may lay down the nature of procurement / contracts and the threshold value (c) The IEMs would examine all complaints received by them and give their
above which the Integrity Pact would be used. recommendations / views of the Chief Executive of the organization, at the
(b) The provision for the Integrity Pact is to be included in all Requests for earliest. They may also send their report directly to the CVO and the
Proposal / Tender documents issued in future in respect of the procurement / Commission, in case of suspicion of serious irregularities requiring legal /
contracts that meet the criteria decided in terms of para (a) and (b) above. administrative action. IEMs are expected to tender their advice on the
complaints within 10 days as far as possible.
(c) Tenders should specify that IEMs have been appointed by the Commission. In
all tenders, particulars of all IEMs should be mentioned instead of nominating (d) For ensuring the desired transparency and objectivity in dealing with the
a single IEM in the tender as far as possible. complaints arising out of any tendering process, the matter should be
examined by the full panel of IEMs jointly as far as possible, who would look
(d) The Purchase / procurement wing of the organization would be the focal point
into the records, conduct an investigation, and submit their joint
for the implementation of IP.
recommendations to the Management.
(e) The Vigilance Department would be responsible for review, enforcement, and
(e) IEM should examine the process integrity, they are not expected to concern
reporting on all related vigilance issues.
themselves with ixing of responsibility of of icers. Complaints alleging
(f) It has to be ensured, through an appropriate provision in the contract, that IP is mala ide on the part of any of icer of the organization should be looked into by
deemed as part of the contract so that the parties concerned are bound by its the CVO of the concerned organization.
provisions.
(f) The role of IEMs is advisory, would not be legally binding and it is restricted to
(g) IP would be implemented through a panel of Independent External Monitors resolving issues raised by an intending bidder regarding any aspect of the
(IEMs), appointed by the organization. The IEM would review independently tender which allegedly restricts competition or bias towards some bidders. At

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the same time, it must be understood that IEMs are not consultants to the
Management. Their role is independent in nature and the advice once
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(d) The Commission would not consider the name of an of icer / executive who is
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either serving or who has retired from the same organization to be an IEM in
tendered would not be subject to review at the request of the organization. that organization, although they may have served in the top management.
(g) Issues like warranty / guarantee etc. should be outside the purview of IEMs. (e) A maximum of three IEMs may be appointed in Navratna PSUs and a maximum
of two IEMs in other Public Sector Undertakings, Public Sector Banks,
(h) All IEMs should sign non‐disclosure agreements with the organization in
Insurance Companies and Financial Institutions.
which they are appointed. They would also be required to sign a declaration of
absence of con lict of interest. (f) A person may be appointed as an IEM in a maximum of three organizations at a
time.
(i) A person acting as an IEM shall not be debarred from taking up other
assignments such as consultancy with other organizations or agencies subject (g) The appointment of IEM would be for an initial tenure of three years and could
to his declaring that his / here additional assignment does not involve any be extended for another term of two years on a request received by the
con lict of interest with existing assignment. In case of any con lict of interest Commission from the organization appointing the IEM. An IEM can have a
arising at a later date from an entity wherein he is or has been a consultant, the maximum tenure of 5 years in an organization with an initial term of three
IEM should inform the CEO and recuse himself / herself from that case. years and another term of two years.
(j) All organizations may provide secretarial assistance to IEM for rendering (h) Age should not be more than 70 years at the time of appointment / extension of
his/her job as IEM. tenure.
(k) In case of any misconduct by an IEM, the CMD/CEO should bring it to the notice (i) Remuneration payable to the IEMs by the organization concerned would be
of the Commission detailing the speci ic misconduct for appropriate action at equivalent to that admissible to an Independent Director in the organization
the Commission’s end. and in any case should not exceed Rs. 20,000/‐ per sitting. Remuneration being
paid to existing IEMs may not be changed to their detriment for the duration of
(l) The role of the CVO of the organization shall remain unaffected by the presence
their tenure.
of IEMs. A matter being examined by the IEMs can be separately investigated
by the CVO in terms of the provisions of the CVC Act or Vigilance Manual, if a (j) The terms and conditions of appointment, including the remuneration payable
complaint is received by him / her or directed to him / her by the Commission. to the IEMs, should not be included in the Integrity Pact or the NIT. This may be
communicated individually to the IEMs concerned.
6.21 Appointment of IEM
6.22 Review System
6.21.1 Appointment of IEM is elaborated below :
6.22.1 The Review System in the Organisation is given below :
(a) The IEMs appointed should be eminent personalities of high integrity and
reputation. The Commission would invite applications from willing interested (a) All organizations implementing IP would undertake a periodical review and
persons and maintain a panel of persons eligible to be appointed as IEM. The assessment of implementing of IP and submit progress reports to the
Commission may make independent & discreet background check before Commission. CVOs of all organizations would keep the Commission posted
including a name in the panel. with the implementation status through their annual reports and special
reports, wherever necessary.
(b) The choice of IEM should be restricted to of icials from the government and
public sector undertakings who have retired from positions of the level of (b) For all procurement transactions/Contracts above Rs. 1 Crore BEML Ltd.
Additional Secretary to the Government of India and above or equivalent pay enters into a Pre‐contract Integrity Pact Agreement which is monitored by
scale, and for Public Sector Undertakings, Board level of icers in Schedule A Independent External Monitors (IEMs).
Companies, Public Sector Banks, Insurance Companies and Financial
6.23 Of icers of Doubtful Integrity List
Institutions. Of icers of the Armed Forces who have retired from the rank
equivalent of Lt. General and above may also be considered for appointment. Introduction
(c) For appointment as IEM the Organization has to forward a panel of suitable 6.23.1 In accordance with the recommendation made in the statement laid on the Table of
persons to the Commission. This panel may include those who are in the panel the Lok Sabha on the 10th August, 1961, and the Rajya Sabha on the 24th August, 1961
maintained by the Commission or they may propose names of other suitable measures are to be taken to locate of icials against whom suspicion exist regarding their
persons for appointment as IEM. integrity amounting to moral conviction. It has already been decided that Secretaries to the

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Ministries and the Heads of the Departments have the duty of locating and suitably dealing
with corrupt of icials. As a further step in this direction, it has been decided to prepare list of
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(a) Vigilance Organisation of Ministries/Departments/ Undertakings will
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prepare a list of public servants of Gazetted status against whom any

of icers of doubtful integrity. This scheme gives in detail the purpose of this list and disciplinary proceedings for a major penalty are in progress or who have been
procedure for their preparation and maintenance. punished in disciplinary proceedings on a charge involving lack of integrity. A
copy of these lists will be sent by the vigilance Organisation to the Central
Criteria for Entry in the List
Bureau of Investigation every year in the last week of February.
6.23.2 The list will be termed as the ‘list of Of icers of Doubtful Integrity’. It will include
(b) As soon as an adverse report against an of icer of the nature mentioned in the
names of those of icers only, who, after Inquiry or during the course of Inquiry, have been
scheme is received, the Vigilance Of icer should bring it to the notice of the
found to be lacking in integrity. It will thus include the names of the of icers, with certain
Secretary/Head of the Ministry/Department concerned immediately. A
exceptions mentioned below, falling under one of the following categories :
decision in regard to the inclusion of the name of such of icer in the list should
(a) Convicted in a court of law on a charge of lack of integrity or for an offence be taken as soon as possible.
involving moral turpitude but on whom, in view of exceptional circumstances,
(c) The Central Bureau of Investigation will suggest addition or deletion of names
a penalty other than dismissal, removal or compulsory retirement is imposed.
on the basis of information available with them and return the lists to
(b) Awarded departmentally a major penalty either on charges of lack of integrity Secretaries/Heads of Departments concerned.
or on charges of gross dereliction of duty in protecting the interests of
Government although the corrupt motive may not be capable of proof. (d) If the Ministry/Department/Public Undertakings concerned does not agree to
the inclusion or deletion of any particular name or names, it will be settled by
(c) Against whom proceedings for a major penalty or a court trial are in progress mutual discussion. The decision of the Secretary/Head of the Ministry/
for alleged acts involving lack of integrity or moral turpitude. Department would be inal.
(d) Who were prosecuted but acquitted on technical grounds, and in whose case 6.26 Action on the List
on the basis of evidence during the trial there remained a reasonable suspicion
against their integrity. 6.26.1 The purpose of maintenance of this list is to also enable the Ministries/Departments
to take such administrative action as is necessary and feasible. The following courses of
6.23.3 The names of of icers of the following categories should not be included in this list. administrative action are open :
(a) Of icers who have been cleared or honourably acquitted as a result of (a) Withholding Certi icate of integrity.
disciplinary proceedings or court trial.
(b) Transfer from a ‘Sensitive’ Post.
(b) Of icers against whom an enquiry or investigation has not brought forth
suf icient evidence for recommending even a disciplinary case. (c) Non‐promotion, after consideration of his case, to a service, grade or post to
which he is eligible for promotion.
(c) Of icers who have been convicted of offences not involving lack of integrity or
moral turpitude. (d) Compulsory retirement in the public interest (otherwise than as penalty) in
accordance with the orders issued by the Government. This is now permissible
(d) Of icers against whom disciplinary proceedings have been completed or are in on completion of the age of 50 with certain exceptions.
progress in respect of administrative lapses, minor violation of Conduct Rules
and the like. (e) Refusal of extension of service or re‐employment either under Government or
in a Public Sector Undertakings.
6.24 Purpose of the List
(f) Non‐sponsoring of names for foreign assignment/deputation.
6.24.1 This list is intended to keep the Ministries/Departments/ Undertakings concerned
informed about such of icers of doubtful integrity to ensure that they are not posted to (g) Refusal of permission for commercial re‐employment after retirement.
‘sensitive’ assignments and that this fact is given due consideration when deciding 6.27 Retention Period
administrative matters affecting the service of these of icers. This list would also help the
Ministries to know about the of icers whose work and conduct need both special attention 6.27.1 When the name of an of icer has been entered in the list for good and adequate
and closer supervisory scrutiny. reasons, it will not be removed until a period of three years has elapsed. The period of three
years for which the name will be current on the list will count from the date of punishment
6.25 Procedure for Preparation of the List in disciplinary proceedings or from the date of conviction in a court trial. On the conclusion
6.25.1 Procedure for Preparation of the List is given below : of this period the cases of such of icers may be reviewed by the Ministry/Department

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concerned in consultation with the Central Bureau of Investigation and if during the
intervening period there has been no further complaint or information against the of icer
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(b) Quite check about their reputation both by the Department and the C.B.I.
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(c) Unobtrusive watch of their contracts style of living etc. by the C.B.I
touching on his integrity, the name may be removed from the list. If at the time of review, it is
proposed to continue the name of an of icer on the list, cogent reason for doing so should (d) Secret enquiry by the C.B.I. about their assets and inancial resources. The
exist. Departments will make available their property returns and other relevant
records to the C.B.I.
6.28 Transfer of Such Of icers
(e) Collection of information by the C.B.I. of speci ic instances of bribery and
6.28.1 In the event of the of icers being transferred to another Ministry/Department/
corruption practices.
Undertakings, the Vigilance Of icer concerned should intimate to his opposite number in
the Ministry/Department/ Undertaking the fact of the of icer’s name being on the list, 6.31.3 If these secrets checks and enquiries revel positive material, open enquiries will be
endorsing a copy to the Central Bureau of Investigation. started by the C.B.I. and further action taken in the light of the results of that enquiry. It may
be emphasized that no adverse or punitive action is contemplated against any of icer on
6.29 Periodicity of Circulation by C.B.I
these lists unless these checks, veri ications or enquiries bring for the adequate material to
6.29.1 Lists of such of icers consolidated by the Central Bureau of Investigation will be reasonably conclude that he is lacking in integrity. These agreed lists will remain in force for
circulated to Ministries once every year i.e. in June. While communicating the name of the one year from the date of preparation. At the end of this period, the list will be reviewed and
of icer the material against him should be brie ly indicated by the Central Bureau of the name of those of icers against whom there is not suf icient evidence to proceed against
Investigation. Five copies of the list covering all Ministries/ Departments/Undertakings will be deleted from the list.
will be sent to the Ministry of Home Affairs(AVD), four copies for the use of E.O., J.S(E),
6.31.41The CBI branches may prepare their own lists of of icers of non‐gazetted status
J.S.(P), J.S.(AIS) and one for record on the AVD communication and references should be
about whose integrity or honesty, there are complaints, doubts or suspicions, but these
directly between the Central Bureau of Investigation and the Ministry concerned.
need not be ‘Agreed list’. The Superintendents of police of the CBI branches, should
6.30 Maintenance & Custody of the List however, consult the Heads of the Departments, Public Undertakings and Administration
about any names of these lists as and when this is considered necessary. As and when
6.30.1 It will be the duty of the Chief Vigilance Of icer/Vigilance Of icer of the Ministry /
requested by the CBI, the Departments etc. should arrange for closure and more frequent
Department / Undertaking to maintain these lists up‐to‐date, The list will be treated as
scrutiny and inspection of the work of those employees and also for affording assistance to
‘SECRET’ and the Head of the Ministry/Department/Undertaking will be responsible for its
the CBI in making in checks and veri ication about them.
safe custody.The lists cannot be and are not meant to be fully exhaustive and these will not
fetter the discretion of the Government in any way. 6.32 Job Rotation
6.31 Agreed List of Suspected Of icers 6.32.1 Identi ication of corruption prone areas in an organization is an important part of
Preventive Vigilance. In a big organization like BEML, it is not possible for Vigilance to keep
6.31.1 Agreed Lists will be prepared of of icers of gazetted status against whose honesty or
a watch in every nook and corner of its operations. It is, therefore, necessary that such
integrity there are complaints, doubts or suspicious after consultations between the
areas / departments where of icials mostly come in contact with contractors, outside
of icers of the Departments concerned and of CBI. Except in regard to Port Trusts, Public
parties etc. are identi ied and watch is kept over them. The Santhanam Committee on
sector Undertakings and Union Territories these lists will be settled by discussion at Delhi
Prevention of Corruption has rightly remarked, “Corruption can exist if there is someone
between the Head of the Departments concerned and the additional I.G.P. and the D.I.G (Spl)
willing to corrupt and capable of corrupting. Both this willingness and capacity to corrupt
of the CBI. The agreed lists relating to Port Trusts, Public Sector Undertakings and Union
is found in a large measure in the industrial and commercial classes”.
Territories will be settled by mutual discussion between the Head of the Port Trust or the
Public Sector Undertakings or the Chief Secretary of the Union Territory concerned and the 6.32.2 As per the directive of the CVC, each PSU has to identify sensitive areas / sensitive
D.IG. of Police C.B.I and the S.P. of the local Branch of the C.B.I to achieve the best result it is posts in the organization and ensure rotation of Staff in such posts every three years.
important that there should be free and frank exchange of information during these Orders issued in this regard – along with a list of the sensitive posts identi ied – is to be
discussions. intimated to the CVC for record.
6.31.2 The following action will be taken in respect of of icers on these agreed lists by the 6.32.3 Corruption prone areas are known as ‘sensitive areas’ in Vigilance parlance. The
Departments or the Undertakings and by the C.B.I : responsibility of the Vigilance Of icer on assuming of ice should be to acquaint himself fully
with the sensitive spots in the organization, with the procedures which appear to afford
(a) Closer and more frequent scrutiny and inspection of their work and
scope for corruption or delay; whether preventive measures have already been planned
performance by the Departments concerned, particularly in spheres there is
and if so, whether they are being properly implemented.
scope for discretion or for showing favours.

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6.32.4 Sensitive Posts are identi ied by the CVO with the help of the Vigilance Of icers and
the HODs of the various departments and got noti ied by the CMD. The list must be
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SL.NO. SENSITIVE DEPARTMENT SENSITIVE SECTION
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1 Purchase All
reviewed every 3 years.
2 Sub‐contract All
6.33 Surprise Checks in Sensitive Areas
3 Vendor Development All
6.33.1 Santhanam Committee Report says “Corruption cannot be eliminated or even
signi icantly reduced unless preventive measures are planned and implemented in a 4 Stores Receiving, Bills section and salvage
sustained and effective manner”. 5 Finance Bills Payable, PF Section, Cash/Cheque
6.33.2 Vigilance teams should be formed to keep a watch and conduct surprise checks in section, Marketing Finance
sensitive areas. The team should be held responsible for Vigilance work in particular areas. 6 Quality Assurance Receiving Inspection
Surprise checks are one of the important activities of the Vigilance Department. The 7 HR Recruitment, Welfare, PR, Disciplinary,
Vigilance team should make regular surprise checks, mostly in sensitive areas. The Training, Management Services
Vigilance team may associate one or two of icers of the concerned department during such
surprise checks. Similarly, joint inspections in the form of surprise checks are also 8 Civil Construction Construction, Maintenance, Estate Of ice
conducted with the of icials of other department. On getting information regarding some 9 Shipping Department All
irregularity being committed, surprise check should be arranged on immediate basis. The
10 Trading All
advantages of these checks are :
11 Medical Pharmacy
(a) The presence of Vigilance is felt and this itself discourages persons in indulging
in malpractices. 12 Vigilance All except PS/CVO & EA/CVO
(b) It will be known if the existing / rules / procedures are being followed. If there 13 International Business Division All
are any loopholes in the procedures / systems, these will be known and can be
plugged.
6.35 CTE Type Inspection
(c) The checks should be qualitative and fruitful otherwise they lose their
Chief Technical Examiners’ Organisation
importance.
6.35.1 Chief Technical Examiners’ Organisation (CTEO) is the technical wing of the
6.33.3 Such checks should be conducted in absolute secrecy so that the element of surprise
Commission. Initially on the recommendation of Public Accounts Committee, Chief
is not lost. The concerned department should not be informed about the visit of Vigilance
Technical Examiner’s Organisation was created in the Ministry of Works, Housing & Supply
team until the latter reach the spot of inspection.
(now known as Ministry of Urban Development) in May, 1957. Later on, after the
6.34 Job Rotation in Sensitive Areas recommendations of the Santhanam Committee were accepted by the Government, this
Organisation was placed under the administrative control of Central Vigilance Commission
6.34.1 As per CVC’s instructions, as a preventive measure it would be useful to locate such
in the year 1964. Initially this Organisation was headed by one Chief Technical Examiner. In
focal points in each organization and to take steps to ensure that the staff employed at such
the year 1979 one more post of Chief Technical Examiner was created to cater to the
points are not allowed to continue there inde initely. Rotational transfers – especially in
increasing workload and growing complexity of the Public Procurements. Para 1.3.5 of the
Sections which have to deal directly with the public – should be effected as a rule. The
Vigilance Manual 2005 issued by the Commission lays down the modalities of carrying out
retention of a person in the same seat in such Sections, beyond a term of three years, should
Intensive Examinations by CTEO. As per the Manual, Jurisdiction of CTE’s Organisation is
not be allowed except with the approval of higher authority. (Ref. Commission’s letter
coextensive with that of the Commission.
no.2/9/66‐coord. Dated 20th May, 1966).
Quarterly Progess Report
6.34.2 In BEML the list of sensitive departments and sensitive sections has been revised
and noti ied vide GB No. 1265 dated 20th December 2012 as follows : 6.35.2 CVC Act 2003 empowers the Commission to call for reports, returns and statements
from all Ministries/Departments/Corporations/Central Undertakings so as to enable the
Commission to exercise general check and supervision over the vigilance and anti‐
corruption work in the Ministries/Departments/Undertakings. Chief Vigilance Of icers of
various organisations covered under the jurisdiction of the Commission are required to

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furnish Quarterly Progress Reports (QPRs) in respect of ongoing contracts for the quarter
by 15th day of the month following the quarter. Even though, CTE’s Organisation may
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6.36.2 Works of different nature, such as Hydro/Thermal/Nuclear Power Projects,
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Highways, Railways, Buildings, Water Supply, Drainage/Sewerage works etc. are given
examine Contracts of any magnitude, yet considering limitation of resources, it generally consideration. Works of unusual nature are also given due consideration for the purpose of
undertakes examination of Contracts of larger value only. As per Circular No. 15/07/12 selection for examination.
(issued vide Letter No.98‐VGL‐25/18 dated 30.07.2012), the monetary limit for reporting
6.37 Purpose of Intensive Examination
the Procurement Contracts in QPRs are as follows:
6.37.1 The purpose of Intensive Examination can be categorized as given below:
WORKS / CONTRACTS (a) System Improvements based on lessons learnt from the examined contracts.
Category‐I: (b) Detection/Recoveries of overpayments.
(a) Civil Works (c) Tax compliance and follow up action.
(b) Turnkey Works Contracts (d) Quality de iciencies and the remedial action
(c) Stores & Purchase Rs. 5 Crores & above. (e) Penal action in cases involving gross inaction/oversight and cases involving
(d) PPP‐Public Private Partnership [Cost/Revenue values] vigilance angle.

(e) Sale of Goods / Scrap / Land 6.38 Requisition of Records

6.38.1 After approval of the Commission for Intensive Examination of Project/Contract,
Category‐II:
intimation is sent to the respective CVOs requesting for certi ied copies of the contract
(a) Electrical/Mechanical works/ Maintenance/ Service Rs.1 Crore & above agreement, last bill paid to the contractor along with other details as per standard
Contracts including Electronics/ Instrumentation/ Proforma (Appendix–III & IIIA). A list of records/documents to be kept ready for
Telecommunication/ Manpower Supply, etc. examination during site inspection is also enclosed in the above Proforma.
(b) Medical Equipment Rs.50 lakhs & above 6.38.2 Preliminary Examination of Contract by the CVO Before Intensive Examination is
(c) Consultancy contracts Rs.1 Crore & above carried out by the Technical Examiner, CVO (Vigilance Unit) of the Organisation concerned
may be asked to carry out a Preliminary Examination of the selected contract and submit
Category‐III: the report to the CTE’s Organisation lagging important issues.
(a) Horticulture Works Rs.10 lakhs & above 6.39 Role of CVO in Intensive Examination
(b) Supply of Medicines Contract 4 Largest Value 6.39.1 CVO plays a vital role in Intensive Examination of works. With the limited staff
available, CTEO cannot inspect all the works of various Organisations under the
6.36 Selection of Works jurisdiction of CVC. Hence, CVO should arrange vigilance inspection of works under his
jurisdiction on the pattern of inspection carried out by the team of CTEO. In order to enable
6.36.1 CTE’s Organisation conducts Intensive Examination of some of the contracts under
the organisation to effect immediate recovery from the contractors/suppliers as well as to
different categories reported in QPRs. Selection of contracts for Intensive Examination is
ensure accountability of of icials responsible for various lapses. The other important
generally undertaken from the QPRs received from various organisations, keeping in view
functions of CVO in respect of the Intensive Examination by CTEO are listed below:
the following factors :
(a) Timely submission.
(a) Complaints received from various sources.
(b) Quarterly Progress Reports.
(b) Works speci ically recommended by CVOs for inspection.
(c) Documents required for intensive examination.
(c) Works of organisations with substantial work load as compared to others.
(d) Preliminary Examination of the impugned Contract and submission of report
(d) Large value contracts.
to CTEO before Intensive Examination is carried out by Technical Examiner.
(e) Works of organisations, which do not have their own Engineering
(e) Replies to IE reports/rejoinders.
Departments for supervision and Quality Control.
(f) Investigation Report with the assistance of an Independent Engineer.
(f) Works of organisations, which have not been inspected at all.

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6.39.2 The following are to be Ensured :
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(h) In case the Commission inds the complaint to be motivated or vexatious, it
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shall be at liberty to take appropriate steps.

(a) Presence of Engineers responsible for planning, design, tender scrutiny, award
of work and construction during interim examines. (i) The Commission shall not entertain or inquire into any disclosure in respect of
which a formal and public inquiry has been ordered under the Public Servants
(b) Presence of representatives of CVO during interim examination.
Inquiries Act, 1850, or a matter that has been referred for inquiry under the
(c) Recti ication of Defects in the Project/Supplies. Commissions of Inquiry Act, 1952.
(d) Recoveries from the Contractors for the over‐payments. (j) In the event of the identity of the informant being disclosed in spite of the
(e) Implementation of necessary directions issued by the Commission/ CTEO. Commission’s directions to the contrary, it is authorised to initiate appropriate
action as per extant regulations against the person or agency making such
6.39.3 Carrying out periodical inspection of works with the assistance of the technical staff disclosure.
of CVO in line with CTE’s inspection
6.41 Vigilance Study Circle (VSC)
6.39.4 Pursuing, preparation and issue of Works Manual.
6.41.1 Aims and Objectives of vigilance study circle :
6.39.5 Implementation of guidelines/circulars issued by the Commission/CTEO.
(a) To bring all Vigilance Functionaries in the Country together and promote the
6.40 Whistle Blower Policy growth of Anti Corruption Movement by establishing Vigilance Study Circles
6.40.1 Important Features of the “Whistle‐Blowers” Resolution are : all over the Country.
(b) To Co‐operate and Coordinate with Institutions connected with elimination of
(a) The CVC shall, as the Designated Agency, receive written complaints or
Corruption in the Society.
disclosure on any allegation of corruption or of mis‐use of of ice by any
employee of the Central Government or of any corporation established under (c) To establish Training institutions to impart knowledge and Skills to Vigilance
any Central Act, government companies, societies or local authorities owned Functionaries in anti‐corruption and Vigilance work.
or controlled by the Central Government.
(d) To establish Distance Education Centres for the propagation of Vigilance.
(b) The designated agency will ascertain the identity of the complainant; if the (e) To assist organizations by undertaking ‘Turn Key’ projects to enhance the
complainant is anonymous, it shall not take any action in the matter. utility and ef icacy of Vigilance Personnel and Organizations.
(c) The identity of the complainant will not be revealed unless the complainant (f) To assist, co‐operate and collaborate with like minded persons and
himself has made either the details of the complaint public or disclosed his organizations for the promotion of vigilance and elimination of Corruption.
identity to any other of ice or authority.
(g) To organize Workshops, Symposia, Seminars and Consultations, to enable
(d) While calling for further report/investigation, the Commission shall not sharing of experiences of Vigilance / Anti Corruption work,
disclose the identity of the informant and also shall request the concerned
head of the organisation to keep the identity of the informant a secret, if for any (h) To Publish Journals, Professional literature etc., to assists Vigilance
reason the head comes to know the identity. Professionals.

(e) The Commission shall be authorised to call upon the CBI or the police (i) To assist ‘Whistle Blowers’ in exposing Corruption.
authorities, as considered necessary, to render all assistance to complete the (j) To establish a Public Website to enable Citizens to report about the prevalence
investigation pursuant to the complaint received. of corruption to the authorities.
(f) If any person is aggrieved by any action on the ground that he is being (k) To educate the Students in Colleges and Schools about ethics and the evil
victimised due to the fact that he had iled a complaint or disclosure, he may ile effects of Corruption and prepare them to ight corruption.
an application before the Commission seeking redress in the matter, wherein
(l) To undertake all other activities for the furtherance of the basic aim of
the Commission may give suitable directions to the concerned person or the
promoting the growth of Vigilance and elimination of Corruption.
authority.
6.42 Observance of Vigilance Awareness Week
(g) If the Commission is of the opinion that either the complainant or the
witnesses need protection, it shall issue appropriate directions to the 6.42.1 Vide CVC circular No.3(v)/99/11, the Commission proposes to launch a systematic
concerned government authorities. campaign against corruption by involving all members of the civil society in ighting this

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social evil. The irst step in this campaign is to educate the people about the dangers of
corruption and sensitize them about the evil consequences of corruption.
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(v) Issue special journals during the week.
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(vi) Request the non government organisations, institutions and service

6.42.2 The Central Vigilance Commission, which has a special responsibility under para associations in the local area to also participate in the vigilance
3(v) of Government of India Resolution no 371/20/99/AVD‐III dated 4.4.1999, declares awareness campaign.
that the week beginning from 31st October every year would be observed as the Vigilance 6.42.4 The participants in the programme can also select speci ic procedures or of ices and
Awareness Week. The signi icance of 31st October is that it is the birthday of the Bismarck study them and make suggestions about how corruption can be checked by simpli ication
of India, Sardar Vallabhai Patel. He represents the best values in the Indian tradition so far or improvement of procedure by bringing in greater transparency and speed in the disposal
as governance is concerned. He integrated the country and also was a shining example of of work.
probity in public life.
6.43 Vendor Development
6.42.3 The Vigilance Awareness Week is observed keeping in view the spirit of the eminent
6.43.1 Vendor development is a continuous process to identify and develop new vendors to
leaders like Sardar Patel and the need for ighting the social evil of corruption. The
bring the competition among the vendors and to reduce cost.
measures that could be considered for celebrating the Week will include the following :
(a) BEML has separate Vendor Development and Quality departments.
(a) It should be a ive‐day programme beginning from 31 October to 04 November.
(b) Vendor meet is organized as per the business needs of the company. In addition
(b) The Central Vigilance Commissioner would request the President and the
to open tendering BEML also participates in various exhibitions, seminars
Prime Minister for their messages to the Nation on this occasion. Such
organized by MSME/NSIC/PIA/CODISIA etc for outsourcing requirements.
messages received would be given wide publicity through the media and also
through the CVC web‐site http://cvc.nic.in (c) The annual procurement from MSMEs is reported and the annual
requirements have been uploaded on BEML’s website. For Financial Year
(c) The messages from the President, Prime Minister, the Central Vigilance
2014‐15, BEML has targeted to achieve 11% procurement from MSEs.
Commissioner and the Vigilance Commissioner would also be sent in advance
to all Chief Executives and Chief Vigilance Of icers. (d) BEML follows the procedure of temporary vendor codes for potential vendors
after assessment without any charges for development activity.
(d) The Vigilance Awareness Programme would begin in all the of ices of the
Central Government, its subordinate and attached of ices, public sector (e) Alternate source development for both critical and non‐critical items are being
undertakings and banks, autonomous bodies and institutions under the done on continuous basis.
Central Government at 11 00 hrs with a pledge which would be sent separately. (f) BEML follows Long Term Agreement (LTA) to retain developed vendors/
The pledge would be taken by all public servants irrespective of their status encourage active participation of the vendors.
and would be administered by the head of the department or the senior most
of icer available on the occasion. (Page 3 of 4). 6.44 E-procurement

(e) After the pledge, the message from the President, Prime Minister, CVC and VC 6.44.1 E‐Procurement is the business‐to‐business purchase of supplies and services over the
would be read out to the audience. internet. E‐Procurement makes use of a system utilizing internet technology to streamline
the purchase of goods, works and services in order to reduce costs. E‐Procurement can also
(f) The Chief Vigilance Of icer will consider taking following steps depending
be extended to cover various functions of the purchase department like supplier sourcing,
upon the inancial resources :
purchase data analysis, online buyer driven commodity exchanges etc.
(i) Display banners, posters etc. at prime locations in their of ice at the
6.44.2 Implementing an e Procurement system bene its all levels of an organisation. E‐
Corporate Centre, Regional Centre, Zonal of ices, Factories/Works etc.
Procurement systems offer improved spend visibility and control and help inance of icers
(ii) Organise seminars at different location on the occasion and to invite match purchases with purchase orders, receipts and job tickets. An e‐procurement system
prominent faculty from the area to address the participants. The CVC/VC also manages tenders through a web site. This can be accessed anywhere globally and has
will also address the participants in some of the seminar. greatly improved the accessibility of tenders.
(iii) Organise competitive debates/lectures on anti corruption topics 6.44.3 The two main processes of E‐Procurement are : E‐Bidding and E‐Auction.
amongst the employees and to distribute prizes.
E-Bidding
(iv) Organise competitive lectures/debate on anti corruption methods at the
student levels in the colleges/schools in the city and to award prizes to 6.44.4 E‐Bidding is the electronic equivalent of traditional manual tendering process. In E‐
the best participation. Bidding, the Bid Invitations are received from the buying organization by the bidders online

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 and the bidders can submit bids online till the submission deadline. The bids submitted by
the bidders will be available for display to the authorized persons only after the opening
date and time are reached for further processing.
E-Auction (Reverse Auction)
6.44.5 E‐Auction is an electronic auction where suppliers bid and compete against each
other online in real time for purchase orders/contracts for products/services against a
published speci ication and pre‐established criteria. E‐Auction enables online, realtime
Chapter ‐ 7
dynamic price negotiation between a buying organization and a group of prequali ied
suppliers.
COMPLAINTS AND INVESTIGATIONS
Objective of E-Procurement
6.44.6 To put in place a simpli ied alternative to traditional tendering / procurement
/negotiation process aimed at :
(a) Increasing operational ef iciency.
(b) Enhanced transparency in purchase process.
(c) Cost rationalization.
(d) Digitization of purchase documentation.
6.44.7 As per BEML circular CM/e‐procurement/2014/1155 dated 16th April 2014, e‐
procurement is mandatory for all procurements (Indigenous project/Non‐project/Capital
items) where the estimated value of Purchase order is more than Rs 1 Lakh.
6.45 Updation of Manuals / Procurement of Manuals
Complaints
6.45.1 Manuals are the most valuable reference source in a business environment. They are
used to instruct and guide of icers/employees on technical procedures, Company Policies
and guidelines as a ready reckoner of various kinds of information. It removes the
ambiguity and interpretation.
6.45.2 Since Policies and Procedures keep changing with time it is imperative that manuals
are constantly updated and circulated at least once in a year, so that the of icers/employees
are abreast with latest trends, making them competitive.

The strength of a nation derives from

the integrity of the home.
- Confucius

90 VIGILANCE MANUAL
 7.1 Introduction
7.1.1 In the changed and liberalized scenario, BEML is functioning as a vibrant
commercial organization with emphasis on self reliance, pro itability and competitive
strengths to meet challenges from other Indian as well as Foreign companies. In achieving
these objectives, there has to be greater transparency and accountability in the functioning
of Managers while handling operations, expenditure and sales. The organization has to get
the best possible results with effective Vigilance against unethical acts, corruption and
malpractices. These unethical acts come to notice through complaints, supervisory
controls, surprise checks, source information etc.
7.1.2 Complaints form an important source of information about corruption, various
irregularities in the Company, malpractices and misconduct on the part of of icials.
7.1.3 Complaints are received from a number of sources, namely :
a) General Public.
b) People’s representatives like MPs, MLAs, etc.
c) Company employees.
d) Press & Electronic Media.
e) Contractors & Suppliers.
f) Surprise Checks.
g) Scrutiny of Annual Property Return Statements.
h) Scrutiny of Purchase / Contract Files.
i) Internal Audit Reports.
j) Government Audit Reports.
k) Reports of Parliamentary Committee such as the Committee on Public
Undertaking / Public Accounts Committee / Estimates Committee /
Parliament Questions etc.
7.1.4 All information gathered from reports, returns, newspapers etc. can be included
Information received verbally should be reduced to writing as a Source Information and
dealt with similarly.
7.1.5 Information about corruption and malpractices on the part of of icials may also be
received from their subordinates or public servants. While normally an employee is
INTEGRITY PLEDGE AT SCHOOL required to address communications through proper of icial channel, there is no objection
to entertaining direct complaints or communications giving information about corruption
or other kinds of malpractices.
7.1.6 As per CVC’s instructions, while genuine complainants should be accorded
protection against harassment or victimization, serious notice should be taken if a
complaint is, after veri ication, found to be false and malicious. There should be no
hesitation in taking severe departmental action or launching criminal prosecution against
such complainants.
7.1.7 Information gathered from different means should also be reduced to writing and
registered in the Vigilance Complaints Register at a suitable stage.

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7.2 Anonymous / Pseudonymous Complaints
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7.3.3 When it is established that a prima facie case exists and it is necessary to conduct
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detailed investigations involving recording of statements by various of icials / employees

7.2.1 As per CVC & DoPT directives issued vide Circular No. 01/01/2015(98/DSP/09) dated
associated with the case, analyzing the outcome and inally making recommendations in
23rd January 2015 (Annexure-42) and No.104/76/2011‐AVD.I (Annexure-35) dated 18th
the case (Punitive or Preventive), the concerned IO should obtain approval of the CVO on
October, 2013 no action is to be taken by the departments / organizations, on anonymous /
the Note Sheet for registering an RC. As in earlier types of cases, the RC number will
pseudonymous complaints received by them. The following has been delineated :
thereafter be the unique serial number for all correspondence till the logical conclusion of
“1. All CVOs are informed that henceforth the Commission would be seeking the case. All cases registered as RC must be reported to the CVC in the Monthly Reports and
con irmation from the complainant for owning / disowning the complaint, as the IOs must ensure that the schedule of time limits for investigations to be completed within
case may be. Therefore, any further con irmation would not be required to be three months is strictly adhered to. All cases referred for investigations and report by the
sought by the CVOs from the complainant in respect of the complaints sent to CVC / MOD need to be registered as RC upfront before commencing investigations. All
CVO’s for inquiry and report by the Commission. However, clari ications /any cases involving of icers at two levels below Board level and above, which fall under the
additional information, if required, could be obtained from the complainant (s) jurisdiction of the CVC, need to be registered in a separate Register and need to be
as part of inquiry in the matter undertaken by the CVO. categorized as Category – A cases.
2. As regards complaints received directly by the CVOs of Ministries / Departments 7.4 Complaint Handling Policy
/ Organisations, if a complaint contains speci ic and veri iable allegations of
7.4.1 Complaint Handling Policy of BEML has been released vide GB 1581 dated 30th
corruption / vigilance angle and it is proposed to take cognizance of such
January 2015 (Annexure-43). The same is Reproduced below :
complaints, the complaint will be irst sent to be complainant for owning /
disowning as the case may be. If no response is received from the complainant 1 Preamble:
within 15 days of sending the complaint, a reminder will be sent 15 days after
(a) Complaints containing information about corruption, malpractice or
sending the reminder, if still nothing is heard, the said complaint may be iled as
misconduct by public servants are received in a decentralized manner. CVOs
pseudonymous by the CVO of the Ministry / Department / Organization
receive complaints, from many decentralized locations also. According to the
concerned. CVOs are advised that in no case, any inquiry / investigation be
prevailing practice what is sent to the CVO from different decentralized locations
initiated on complaints without receipt of con irmation from complainant on
entirely depends on the appreciation of ‘vigilance angle’ or otherwise by the
any complaint.
of icers controlling these decentralized locations.
3. In so far as complaints sent by the Commission for ‘necessary action’ to CVOs of
(b) In such a system there is every chance that a complaint with a vigilance overtone
Ministries / Departments / Organizations, no such con irmation would be made
may not be forwarded to the CVO, due to a lack of appreciation or for other
from the complainant by the Commission. In case the CVO on scrutiny of such
bona ide reasons. This has also been revealed through the vigilance audit by the
complaints propose to inquire into the allegations con irmation as stated in para
CVC in some organizations.
2 above should be made by the CVO”.
(c) In order to have uniform practices and procedures in the handling and processing of
7.3 Registration of Complaints
complaints in an organisation, it is imperative that a ‘Complaint Handling Policy’
7.3.1 Every complaint, from whatever source received, should be entered in the Register is laid down for receipt, handling and processing of all types of complaints /
of Complaints chronologically as it is received or taken notice of. A PI/RC number is to be grievances from the public, contractors, vendors, suppliers, etc.
obtained from Vigilance Administration which will be used as the unique serial number for
2 Objective:
all correspondence in the matter till its logical conclusion or till the case is registered for
preliminary or regular investigations. A complaint containing allegations against several Any complaint / grievance received in the organisation by any functionary
of icials may be treated as one complaint for the purpose of registration and should be containing any element of alleged corruption, malpractices or misconduct etc.,
shown against the highest ranking of icial. should necessarily be sent to the CVO of the organisation for scrutiny and action.
7.3.2 Whenever a preliminary open Inquiry needs to be conducted into an irregularity / 3 De inition :
case, the concerned Investigation Of icer will obtain proper approval of the CVO on the Note (a) Complaint :
Sheet and request Vigilance Administration for a PI number. This number will be used as
the unique serial number for all correspondence in the matter till its logical conclusion or Receipt of information about alleged corruption, malpractice or misconduct on
till the case is registered for regular investigations. A PI is to be registered only to ascertain the part of public servants, from whatever source, would be termed as
whether a prima facie case exists. COMPLAINT.

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(b) Types of Complaints :
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(b) No action is required to be taken on the anonymous complaints irrespective of
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the nature of allegations and such complaints need to be simply iled.

(i) Identi iable or Signed Complaints: These are complaints wherein the
identity of the complainant is mentioned by virtue of name, contact details, (c) Complaints containing vague allegations could also be iled without veri ication of
etc. Further, the complainant owns / con irms the details mentioned in the identity of the complainant.
complaint, when the complainant is contacted at the address / contact no.
(d) If a complaint contains veri iable allegations, CVO will take cognizance of such
mentioned in the complaint.
complaint.
(ii) Pseudonymous Complaints: (bearing a false or ictitious name; writing
(e) In such cases, the complaint will be irst sent to the complainant for owning /
or written under a ictitious name) These are complaints wherein the
disowning, as the case may be. If no response is received from the complainant
identity of the complainant is mentioned by virtue of name, contact details,
within 15 days of sending the complaint, a reminder will be sent. After waiting for
etc. However, when the signatory of the complaint is contacted at the
15 days after sending the reminder, if still nothing is heard, the said complaint
address / contact no. mentioned in the complaint, the complaint is either
may be iled as pseudonymous.
disowned or there is no response within a reasonable time.
(f) The decision with regard to the existence of a vigilance angle in such complaint
(iii) Anonymous Complaints: These are complaints where the complainant
case will be taken by the CVO. The CMD or his nominee, may, if there are valid
has not revealed, veri iable or traceable or contactable identity while
reasons, within a period of 15 days, differ from the CVO. In case of difference
making the complaint.
between CVO and CMD, the matter will be referred to the CVC for advice. Else, the
(iv) Source Information: Source information received by the Vigilance Complaint will be registered in the Vigilance Complaint Register, the CVO will
Department shall be reduced in writing and shall be treated as signed then process the matter further to decide as to whether the allegations or the
complaint. matter requires further investigation or should be entrusted to the CBI or local
police or taken up departmentally.
4 Action on Complaints Received by Vigilance Department:
(g) A case may be entrusted to the CBI with the approval of the CMD, if the
The complaints received directly by Vigilance Department have to be marked or
allegations:
forwarded to CVO (in original) for deciding the further course of action.
(i) Are criminal in nature (e.g. bribery, corruption, forgery, criminal breach of
5 Action on Complaints Received by Sections / Departments of Division,
trust, possession of assets disproportionate to known sources of income,
Complexe, RO / DO:
cheating, etc.); or
(a) Nodal Agency : Under the Complaint Handling Policy of BEML Ltd. the CGM (HR)
(ii) Require inquiries to be made from non-of icial persons; or
– (‘KH’) is noti ied as the Nodal Agency. He will receive the complaints from the
respective HR chief of the Complex / Division / ROs / DOs in original and send the (iii) Involve examination of private records; or
same to CVO as and when received to decide upon the existence of a vigilance
(iv) Need expert police investigation for arriving at a conclusion; or need
angle in the format as prescribed at Annexure-43.
investigation abroad.
(b) Any Complaint, as de ined, received by the Heads of Sections / Departments of
A decision in this regard shall be taken by the CMD within 15 days from the date
Complex should invariably be forwarded to the respective Complex HR Heads.
on which papers are received by him for consideration and decision.
Similarly, for Marketing & Defence HQ / ROs / DOs and Corporate Of ice, the same
will be forwarded to MK and KP(E&M) respectively. Every complaint, (h) A complaint involving a Board-level appointee, alone or with others, shall be
irrespective of source, should be entered in the Complaint Register in the forwarded to the CVO of the Administrative Ministry.
prescribed format (Annexure-II) Respective HR department shall then forward 7 Methods of Receiving Complaints in BEML:
the complaints as and when received, to the CGM (HR) – (‘KH’) in the format as
prescribed at Annexure-I. No other action on the complaint should be initiated (a) Through Vigilance Portal of BEML Web site ‘www.bemlindia.com’.
by the respective HR department at this stage. (b) Through the Drop Boxes placed at various locations.
6 Scrutiny of Complaints: © Directly/By Post/source.
(a) All complaints including Anonymous / Pseudonymous received by / forwarded to 8 Methods of Receiving Complaints by CVC:
the Nodal Agency will be sent to CVO as and when received.
(a) Through complaint handling portal of CVC web site http://www.cvc.nic.in

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(b) PROJECT VIGEYE. Please refer VigEYE website (www.vigeye.com) for any
clari ication / details.
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WHERE ‐ To look for & ind Information ? (Location/documents / iles).
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WHEN ‐ The Incident occurred / act was committed? (Time period).

(c) Public Interest Disclosure and Protection of Informers Resolution (PIDPIR) –
HOW ‐ The act was committed ? Means ? (Methodology).
popularly known as Whistle Blower Complaint. A copy of detailed noti ication is
available on the web-site of the Commission http://www.cvc.nic.in. WHY ‐ The act was committed? Motive? (Mala ide or Bona ide).
7.5 Preliminary Inquiry (P.I) 7.5.5.2 Answer to the above investigative questions can be developed through observation
or by communication.
7.5.1 The purpose of preliminary investigation is to ascertain existence of Vigilance angle
in the complaint, and this should be done within ONE MONTH from the date of receipt of the 7.5.5.3 O n receipt of complaint, the following checklist may be prepared by the
complaint CVC Circular No.000/VGL/18, dated 23rd May, 2000). (Annexure-44). Investigation Of icer within three days in consultation with the EA to CVO :
7.5.2 Each complaint will be examined by the CVO to see whether there is any substance in (a) Veracity of the complainant.
the allegations made in it which merit being looked into. Where allegations are vague and (b) List out allegations made, departments and persons involved against each
general and prima facie unveri iable, the Investigating Of icer may decide, with the allegation.
approval of CVO, that no action is necessary and the complaint should be dropped.
(c) Inspect the site / of ice / premises for possible evidence.
However, in respect of such complaints pertaining to the of icers in whose case CVC’s advice
is necessary, as well as complaints received from the CVC, or CBI, the P.I. Report will be (d) Collect the iles and documents with reference to the allegation for
forwarded to the CVC (with the views of the CMD), CVO, CBI as the case may be. The CVO examination. Seizure of iles / documents to be taken possession of by I.O.
who will take a decision based on the recommendations of IO regarding ‘Lodging’or ‘Filing’ should be done at the earliest.
of a complaint, but under information to the CVC / CBI, as the case may be. (e) Study the system / rules / guidelines on the subject.
7.5.3 Whenever P.I. Report is required to be sent to the CVC, the Investigating Of icer (f) Study the past practices.
should conclude his investigation within a period of two weeks and forward the Report to
(g) Study delegation of powers. Whether any discretionary power has been used ?
the CVO so that the decision on existence of Vigilance angle is taken within the stipulated
period of one month. (h) Gather information from persons around (selection of persons is important).
Recording of statement at this stage may not be necessary.
7.5.4 A Preliminary Inquiry may result in one of the following decisions :
(i) Analyze the facts and conclude about existence of the Vigilance angle in the
(a) The complaint is lodged (having No Vigilance angle).
complaint.
(b) The complaint with No Vigilance angle is forwarded to the concerned
(j) Prepare and submit P.I Report within two weeks.
department for administrative action.
7.6 Registration of Regular Case (RC)
(c) Prima facie Vigilance angle is found and the case is taken up for detailed
investigation and registered as an RC. 7.6.1 After it has been decided, with the approval of the CVO, that the allegations contained
7.5.5 Preliminary Inquiry Guidelines : The Preliminary Inquiry may be done keeping in in a complaint should be looked into departmentally, the IO should proceed to make a
view the matters having Vigilance angle as indicated in the CVC Vigilance Manual. The detailed investigation. The DGM (Vig.) may conduct the detailed investigation himself or
investigation process is a comprehensive activity involving : entrust it to one of the Vigilance Of icials as an Investigating Of icer.

(a) Information Collection 7.6.2 The detailed investigation may be made in several ways depending upon the nature
of the allegations and the judgement of the Investigating Of icer.
(b) Application of Logic.
(a) If the allegations contain information which can be veri ied from documents,
(c) Exercise of Sound Reasoning.
iles or other departmental records, the I.O. should, without loss of time, secure
7.5.5.1 The objective is to seek answers to the basic questions, What, Who, Where, When, such records etc. for personal inspection. If any paper is found to contain
How and Why. evidence supporting the allegations, it should be taken over by him for
retention in his personal custody to guard against the possibility of the
WHAT ‐ Happened ? (Wrongful Omission / Commission).
available evidence being tampered with later on. If the papers in question are
WHO ‐ Did it / Was responsible (Persons, i.e. Employees of the required for any current action, it may be considered whether the purpose
Company or Outsiders). would be served by substituting authenticated copies of the relevant portions

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of the record, the originals being retained by the Investigating Of icer in his
custody. If that is not feasible, the of icer requiring the documents or papers in
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(c) How to Plan ? : The I.O. must plan his work carefully before beginning to
record the evidence. He must know what are the documents required and who
question for current action should be made responsible for their safe custody the persons are whose evidence may be recorded.
after retaining authenticated copies for the purpose of Inquiry.
(d) What are the Documents to Inspect ? : In departmental proceedings, the
(b) In cases where the alleged facts are likely to be known to any other employee of documentary evidence is of paramount importance. A witness may lie but a
the department, the Investigating Of icer should interrogate them orally or ask document will not. In departmental proceedings, a case built on documentary
for their written Statement. In case of oral interrogation, a full record of the evidence is always on a stronger ground than the one based on oral
interrogation may be kept and the person interrogated may be asked to sign as depositions. A careful study of documents will help in planning future steps.
a token of his con irmation of his Statement.
(e) Whom to Examine ? : After a thorough scrutiny of the documents, the I.O.
(c) If necessary, important facts disclosed during oral interrogation or in the should be in a position to reconstruct the situation and ind out the various
written Statement should be sought to be corroborated. persons involved in the matter. This I.O. should be able to spot whom to
examine and about what.
(d) If it is necessary to make enquiries from the employees of any other
Government department or organization or PSE or Bank, the Investigating (f) How to Examine the Witnesses ? : Before examining the witnesses, the I.O.
Of icer should seek the assistance of the CVO / nodal authority concerned for should acquaint himself fully with the relevant rules and procedures
providing the necessary facilities. governing the situation. Keeping in view these factors and the role analysis of
the witnesses done earlier, the I.O. may plan his investigation. The I.O. should
(e) During the course of the detailed investigation, the concerned employee, as a
be courteous and gentle to the witnesses. Intimidating or browbeating a
fundamental administrative requirement, should also be given an opportunity
witness must be avoided. The witness should be asked to offer the facts in her
to tender his version of the facts so as to ind out if he has any plausible
/ his possession.
explanation. In the absence of such an explanation, the concerned employee
may be proceeded against unjusti iably. There is, however, no question of (g) How to Examine Suspected Employee ? : The suspected employee should be
making available to him any document at this stage. Such an opportunity need taken into con idence before his evidence is recorded. He may be examined as
not be given in cases in which a decision to institute departmental proceedings the last witness after collecting all other evidence. The examination of the
is to be taken without any loss of time, e.g. in cases in which the public servant suspected employee is a very important process & is extremely useful in
is due to superannuate soon and it is necessary to issue charge‐sheet to him processing the case further.
before his retirement.
(h) How to Analyse the Evidence ? : The objective of the I.O. is to ind out the
(f) Where a case involves both criminal misconduct as well as lagrant violation of truth. He should, after collecting all documentary and oral evidence, analyze
systems and procedures of the organization, further investigation into the and draw up his conclusions. He must avoid presenting a motivated and
former should be left to CBI. The PSE concerned may, however, simultaneously coloured Report and thus should not do injustice to the suspected employee.
consider the latter and initiate appropriate disciplinary proceedings, in In a reasonable manner, the Report should contain an analysis of the various
accordance with the prescribed procedure, if required. The CVO of the PSE and pieces of evidence recorded and the conclusions drawn there from. In his
the DIG concerned of the CBI should coordinate their efforts to ensure that Report, the I.O. should not say that the allegations stand proved against the
violation of rules, regulations and PSE norms which are best covered under employee concerned, at best he can say that, on the basis of the evidence on
RDA are left to the disciplinary authority to deal with CBI on the other hand record, the allegations prima facie appear to be correct.
should focus their investigation on the criminal aspects of the case.
7.8 Investigation Technique
7.7 Investigation Procedure (Questionnaire)
Introduction :
(a) What is the Task ? : The irst and foremost requirement is to understand the
7.8.1 Investigation of complaints is not always a straightforward matter. Investigation
task properly. It should be clear to the I.O. as to what exactly is the scope and
techniques are acquired by experience & a strong will to investigate. A good investigation is
purpose of the investigation.
essential to unearth the hidden truth behind a complaint. In order to achieve this goal, the
(b) How to Approach ? : The I.O. should adopt an objective and analytical investigators should be properly trained and they should develop basic investigation skills
approach, must make the suspected employee con ident that he is not biased and capacities. A skilled investigator can pick up valuable clues which a normal investigator
against him. If the suspected employee volunteers “Administration”, it should may not be able to see, even if such clues are lying clear on the surface.
be recorded and his signatures obtained thereon.

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7.8.2 Investigation Module
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only be established through evidences in Files / records etc. and the basis of
the complaints rests on these alone, then the investigation can be concluded
(a) Examination and recording of allegation :
with the approval of the EA to CVO.
(i) Examine the complaint for the allegations made. Identify / bring out the
(b) *If the basis of the complaint does not rest on Files / records scrutinized alone,
allegations, which may be one or more.
then the persons /agencies who can contribute to substantiating the
(ii) Record the allegations in clear, well directed and speci ic terms. allegations or from whom further clues can be obtained will have to be
(iii) Record names of persons (s), department etc. against whom the identi ied.
allegations have been made. (c) Both the situations marked * above, will lead to obtaining statements from
(b) Based upon the allegation : persons or interrogation of persons involved.

(i) List out Files to be examined and immediately seize them from their 7.8.4 Interrogation
location. (a) Call the person to be interrogated, giving her / him the date, time, venue etc.
(ii) List out any documents / records to be scrutinized and take them into through written intimation to her / his superior / Sectional Head / HOD. In the
possession without delay. case of exigency, the same can be done over telephone. No disclosure is to be
made about the nature of the complaint / allegations in this intimation. Only in
(iii) List out persons directly involved in the allegations for interrogation in cases where personal documents like Birth Certi icate, School Leaving
future, but make no immediate communication with them till the Files / Certi icate etc. are required to be seen / examined, she / he shall be asked to
documents / records are examined in totality. bring them with her / him.
(iv) If any File / record could not be seized due to non‐availability at their (b) The Statements / replies obtained during the interrogation are extremely
location, send a written demand for the same to the custodian . valuable. Therefore, these have to be recorded at the time of interrogation and,
(c) Examination of Files / records : as per the norm, one copy of the same has to be handed over to the person
interrogated.
(i) Keep the speci ic allegation in mind and lag pages wherever related
matter appear in Files / records. (c) Keeping the allegation fully in focus, prepare a list of queries which must be
raised and the clari ications that need to be obtained well in advance of the
(ii) Carefully go through the Files / records page by page and note down the interrogation, so that no point is missed. Though the necessity of calling the
events / notings etc. date wise, i.e., prepare a short history of the events same person more than once cannot be ruled out, try to cover all aspects of the
separately. allegations in the very irst interrogation, to avoid giving her / him a feeling of
(iii) There may be points arising out of the scrutiny having some Vigilance harassment.
angle which can form an allegation other than / separate, from those in (d) When the person to be interrogated arrives :
the complaint.
(i) Welcome her / him heartily.
(iv) Flag those pages and record all such points separately. Bring out the
allegation in clear cut terms from all such points and enlist it in the list of (ii) Do not let her / him feel that you are prejudiced about her / his guilt /
allegations with a note mentioning its source. misconduct.

(d) Results of the Examination : Examination done at (c) above will result in (iii) Give no indication about the allegation to begin with, till the same
either of the following : becomes essential for further questioning.

(i) No evidence substantiating the allegation are found. (iv) Keep cool while putting questions even when the answers given are
irrelevant and go on recording them. Repeat your queries in speci ic
(ii) *Evidence substantiating the allegations are found. terms till satisfactory replied.
7.8.3 Action Taken After Investigation: Based on above result, the following actions may (v) If documents etc. are shown to her / him for veri ication / authentication,
be taken : the same must be recorded in the proceedings. Such documents should
(a) Depending on the merit of the complaint / allegations made, the case can be also be signed by her / him as “SEEN”.
either closed or further pursued. If the allegations are such that they could

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(vi) If the person under interrogation names some other person, get the same
recorded with full details. If she / he refers to Files etc. not in hand,
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(c) Analysis with respect to relevant Rules, procedures, guidelines and the
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NEWFIONTIIS. l'EWDREMIS

explanation of the suspected employee.

record these and take her / his commitment to submit the same within a
(d) Findings, clearly bringing out the wrongful omissions / commissions on the
ixed date.
part of each of the suspected of icials and the wrongful loss caused to the
(vii) Ensure all points are covered. Most of the time, the reply given leads to Company.
the next question to be asked. Even, in some situations, queries may get
(e) Need for system improvements, if any, with recommendations.
directed to a completely new dimension, issue or area of concern.
7.9.3 The Report of the Investigating Of icer should be comprehensive and completely
(viii) During the course of interrogation even a fresh case may crop up, be
documented so as to enable the Disciplinary Authority to form an opinion as to whether to
prepared for that.
take disciplinary or any other action. Seized documents and the Statements of the
(e) At the end of the Interrogation : witnesses and the suspected employee recorded during the investigation should be
enclosed with the Investigation Report.
(i) Ensure correctness of recording of all Statements.
(ii) Read out the replies / Statements given by the person interrogated. 7.9.4 CVC have provided detailed guidelines vide their Circular No.21/8/09
communicated vide letter N.006/PRC/1 dated 6th August, 2009 (Annexure-45) on the
(iii) Get each page signed and also at the end with date. documents to be submitted for seeking their First Stage Advice in cases involving of icers
(iv) Hand over the copy after obtaining a receipt for the same. under their jurisdiction (Two levels below Board level : In the case of BEML, of icials at the
level of General Manager and above). These guidelines detail the parameters according to
(f) The result of the interrogation shall now be analyzed in totality along with the
which a Vigilance Report needs to be submitted. For ease of application and
result of scrutiny of Files / records wherever applicable. This may lead to the
understanding, all Vigilance Reports (whether or not relating to the cases to be referred to
following:
CVC for advice) will conform to these parameters which are reproduced below :
(i) The allegations are not established.
7.10 Vigilance Report: Constituents of Vigilance Report are as given below :
(ii) The allegations are established in full or partly established.
(a) Source.
(iii) New cases with separate charges may evolve.
(b) Gist of Allegations.
(g) In all the situations, a comprehensive report with recommendations has to be
(C) Facts.
submitted to the CVO, enclosing all the documents and Statements.
(d) Observations.
(i) For case at f(Irecommendation shall be to close the complaint.
(e) Response of the Of icials Concerned.
(ii) For case f(ii), depending upon the severity of misconduct, the
recommendation can be either initiation of RDA for Minor Penalty (f) Counter to the Response.
including ‘censure’, Minor Penalty other than ‘censure’ or Major Penalty (g) Conclusion.
proceedings.
(h) Responsibility of Of icials.
(iii) For f(iii), begin with another investigation afresh with the allegations
evolved. (i) Recommendation for Action.

7.9 Regular Case (RC) Report (j) Recommendation for Systemic Improvement.
7.10.1 Source : Background of the Report, whether based on source information, complaint
7.9.1 The objective of the Investigating Of icer is to ind out the truth. After the detailed
referred to by the CVC, CTE / CTE type inspection or direct Inquiry.
investigation has been completed, the I.O. should prepare a self‐contained Report,
containing inter alia the material to controvert the defence and his own recommendations. 7.10.2 Gist of Allegations :
7.9.2 The structure of the Report may be formulated as under : (a) Speci ic and Veri iable allegations be extracted from the complaint.
(a) Speci ic allegations on each of the issues contained in the complaint. (b) One Allegation shall correspond with one alleged act of commission / willful
Omission.
(b) Facts on each allegation along with documentary and oral evidence relied
upon. (c) The allegations will drive the points to be probed.

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7.10.3 Facts
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7.10.6 Counter to the Response
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(a) The relevant facts relating to the issue under examination should be presented (a) In order to sustain the observations made by Vigilance, it is necessary to
in chronological or activity wise sequence. counter the defence given by the management / of icers concerned with facts
(b) Each fact should be supported by documentary evidence (other forms of and supporting evidence. It should be clearly and convincingly brought out
evidence may also be presented) denoted as E1, E2, E3, etc. Since the facts why the explanation given by the Management is not tenable.
occur in chronological order, the evidence E1, E2, E3, etc. should necessarily be 7.10.7 Conclusion
arranged below the Report in the same order, thus making it easier for
reference. (a) Conclusion is the logical summation of the observations. The observations
denoting various counts of irregularity, lapses or impropriety should inally
(c) While annexing the evidence, the relevant portion of the said document should lead to a logical conclusion on whether the case involves commission of
be highlighted for ready access. For example, the evidence for educational irregularity / impropriety with the intention of corruption.
quali ications for promotion should consist of the Photocopy of only the clause
prescribing the quali ications and not the whole 20 pages of the Promotion (b) Undue favour given to a Party or obtained for self and its adverse impact on the
Policy. government or the citizens in terms of additional cost, poor quality or delayed
service should be clearly highlighted.
(d) There may be several issues in a report which may be conveniently arranged as
different para viz. 2.1, 2.2 etc. 7.10.8 Responsibility of Of icials
(e) All relevant facts required to support the observations / conclusion should be (a) Having determined the Vigilance angle in the case, the next step is to ix the
gathered and presented. Irrelevant facts, bearing no consequence on the accountability of the individuals involved in the misconduct. Name of the
issues under inquiry, should be avoided. of icers should be clearly stated in this para.
(f) Evidence presented should be credible and adequate. (b) The role of each of icer should be judged with reference to his prescribed
7.10.4 Observations charter of duties. In case the Tender Committee is responsible for the
misconduct then, as far as possible, all members should be held responsible
(a) Ordinarily, observations are logical deductions arrived at through a set of facts. equally and collectively.
They are in the nature of discrepancies or anomalies observed with reference
to the gathered facts. There may be several observations arising out of the (c) Comments of Disciplinary Authority should invariably be included.
analysis of facts. 7.10.9 Recommendation for Action
(b) Observations are also arrived at by evaluating the facts against certain criteria, (a) Recommendation for closure of the case, if it is found that there is no
viz. rules, regulations, policies, procedures, norms, good practices or discernable Vigilance angle or criminal misconduct, should be clearly spelt out.
normative principles. Evidence of these criteria (extracts of rules, procedures,
etc.) should also be presented as E1, E2, etc. (b) Bio data of the of icials reported against in the investigation report should be
included in the given format.
7.10.5 Response of Of icials Concerned
7.10.10 Recommendation for Systemic Improvement
(a) It is necessary to elicit the reasons and clari ications of the management or the
of icers concerned for the anomalies pointed out in the observations. Every (a) Punitive action on detection of corruption does not by itself lead to a logical
deviation from rules or procedure cannot be attributed to a mala ide / corrupt conclusion unless it is able to prevent recurrence of the lapse. Any fraud,
intent. There may be situations where it may be dif icult to achieve the corruption, irregularity or impropriety indicates a failure of control
objective of a task by strictly abiding by the rules. Rules may be circumvented, mechanism or gaps in systems and procedures. Therefore, each case throws
while expediting the work or in the larger interest of the work, with good up an opportunity to identify these control failures and suggest ways of
intentions. It is, therefore, essential for Vigilance to distinguish between acts plugging them to prevent recurrence of the lapse. Therefore, at the end of the
of omission and acts of commission. Therefore, obtaining the response of the report, the CVO should also try to recommend systemic improvements in order
of icers concerned is essential in order to arrive at an objective conclusion. to prevent the risk of a recurrence of the lapse / misconduct.
(b) Response of the Management is also necessary in order to clarify differences in 7.11 Action on Investigation Report
interpretation / understanding of the issues between Vigilance and the
7.11.1 The following actions are required to be taken on Investigation Report :
Management.

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(a) The EA to CVO will process the detailed Investigation Report with
recommendations for further action and submit it to the CVO who, after
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(iv) Did the of icial act in excess of their delegated powers / jurisdiction and
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NEWFIONTIIS. l'EWDREMIS

fail to report the same to the competent authority ?

perusal of the Report, will take appropriate decision for closure or processing
(v) Did they or any of them show any gross neglect of their of icial functions ?
further to recommend RDA and also to make preventive recommendations.
(vi) Is there any material to indicate that any of them acted recklessly ?
(b) As per the provision under Article 311 of the Constitution of India which
applies to the employees of PSUs, action against employees is to be taken only (vii) Has the impugned decision caused any undue loss to the organization ?
by the authority who has appointed them and who is called the Disciplinary
(viii) Has any person / party or set of persons / parties, either within the
Authority (DA).
organization or outside it, been caused any undue bene it ?
(c) For the various categories of employees, the details of the Disciplinary
(ix) Have the norms or systems and procedures of the organization been
Authorities, Appellate and Reviewing Authorities are listed in the BEML
lagrantly violated ?
Employees’ Service Regulations.
7.11.2 In case the DA does not agree with the recommendations made by the CVO, or there
(d) For cases falling within the CVC’s jurisdiction (of icers who are two levels
is a difference of opinion between the CVO and DA on any issue pertaining to Vigilance /
below Board level), a reference to the CVC needs to be made for their First
disciplinary matters in regard to cases which are not to be referred to the CVC, the CMD will
Stage Advice, after obtaining the comments of the DA. The Bio data of the
resolve the issue in consultation with the CVO. If the difference of opinion still persists, the
suspected of icials, an Assurance Memo signed by the CVO and draft Charge‐
Sheet to be issued to the delinquent should also be sent along with the Report, CMD would bring the matter to the notice of the Board. In case the CMD himself is the DA in
along with Tabular Statement as prescribed vide CVC’s Circular dated 1st a particular case and there is disagreement between the CVO and CMD, the matter will be
December, 2008, which contains the names of the delinquents, the allegations forwarded to the CVC for a resolution.
levelled against them, the indings of the Vigilance Investigation, with the 7.11.3 The Disciplinary Authority would consider the detailed Investigation Report and
recommendations of the CVO and the DA. the First Stage Advice of the CVC and decide on :
(e) Other cases may not ordinarily be referred to the CVC unless, due to special (a) Punitive action – Regular departmental action for Minor / Major Penalty.
reasons, the Commission calls for a Report or in cases the PSE would like to
seek the advice of the Commission. (Ref. CVC letter No.98/VGL/51 dated 11 (b) Preventive action – Improvement of system, procedure.
August, 1999). (Annexure-46). (c) Issue of Advisory letter / warning / caution.
(f) As per CVC’s instructions, in a composite case which includes of icers / Staff (d) Action against private parties.
who are not within the commission’s jurisdiction along with other of icers who
(e) Closure of the Vigilance case.
come within the Commission’s jurisdiction, reference would be required to be
made to the CVC in respect of these ‘other’ of icers and Staff too. 7.12 Prior Consultation of CVO in Disciplinary Proceedings
(g) On receipt of a Report in an RC, the CVO will submit the case to the CMD with (a) There are various stages in Disciplinary Proceedings consequent to a Vigilance
recommendations for action who in turn forwards it to the DA. The recommendation where the Competent Authority is required to consult the
Disciplinary Authority is required to carry out their duties. She / he is also CVO before proceeding further.
required to assess the gap between what the managers at different levels of the
(b) Once the Competent Authority takes a decision to implement the Vigilance
decision making hierarchy actually did, and what they were required to do in
recommendations for award of Penalties, a draft Show Cause Notice is to be
accordance with the Manuals / guidelines / orders. They may follow the
referred to the CVO for vetting. No Show Cause Notice will be issued without it
following criteria for the purpose and highlight in their Reports if the answer to
any of the questions is in the af irmative. being vetted by CVO.

(i) Can Mala ide Intentions be inferred or presumed from the actions of any (c) If the Competent Authority feels that the explanation received is not
of the concerned of icials ? satisfactory and decides to proceed with the issuance of charge‐sheet, the draft
charge‐sheet will also be similarly forwarded to the CVO for vetting. If it is felt
(ii) Could any of the of icials be said to have engaged in a misconduct or that, despite the delinquent accepting all the charges, it is necessary to proceed
misdemeanor ? with a departmental Inquiry, the issuance of such charge‐sheet will also be
(iii) Was the conduct of any of the of icials re lective of lack of integrity? guided by the above Rule.

108 VIGILANCE MANUAL VIGILANCE MANUAL 109


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(d) If, however, the Competent Authority feels that the explanation offered by the
delinquent is satisfactory and that departmental action is not required, the
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NEWFIONTIIS. l'EWDREMIS

7.13.2 Complaints can also be lodged online on this portal through the Vigilance Complaint
Form on BEML Website – www.bemlindia.com
same has to be referred to the CVO for consultation within the time limits
7.13.3 The complaints will be acknowledged with a duly assigned number. Based on the
stipulated by the CVC. In case the CVO does not agree with the views of the
merit of the complaints, further course of action will be taken as per the Company Policy.
Competent Authority in the matter, it will be referred by the CVO to the CMD for
Nevertheless, the status of the complaints can be viewed at this portal through Complaint
a decision.
status.
(e) Once the Competent Authority receives the Inquiry Report from the Inquiry
Of icer / Committee in a disciplinary proceeding based on Vigilance
recommendations, she / he is expected to go through the Report and apply her
/ his mind before arriving at a decision to impose a penalty on the delinquent.
(f) After application of mind and after going through the Personal File and history
of performance of the delinquent, the Competent Authority will arrive at the *****
appropriate penalty to be imposed on the delinquent in keeping with the laws
of Natural Justice.
(g) It is necessary that all cases with Vigilance angle be regulated by the Vigilance
Department in order to maintain consistency in the penalties imposed and
ensure that penalties imposed are appropriate w.r.t. to the gravity of the
misconduct. Prior Vigilance consultation is, therefore, necessary before the
award of the penalty and hence the Competent Authority should seek the
concurrence of the CVO by forwarding the proposed Penalty detailing the
justi ications for her / his decision.
(h) The inal Show Cause Notice to be issued to the delinquent shall be issued only
after the CVO has been consulted with respect to the quantum of punishment.
(i) In cases where the Vigilance recommendations are for RDA for Minor Penalty
or RDA for Minor Penalty other than Censure, the Competent Authority may
proceed with the issue of the penalty without any reference to / consultation
with the CVO as long as the penalty being awarded is in consonance with the
CVO’s recommendations.
(j) So far as action against private parties is concerned, it shall be done by the
concerned authority as an administrative action.
7.13 BEML Portal - Complaint Registration
7.13.1 All complaints relating to corruption, lack of integrity / fairness / transparency in
dealing with BEML Limited (which necessarily have vigilance angle) have to be made in
writing to :
Chief Vigilance Of icer
BEML Limited, BEML Soudha,
23/1, 4th Main, SR Nagar,
Bangalore ‐ 560 027.
Fax No: 080‐22963277
Email: [email protected]

110 VIGILANCE MANUAL VIGILANCE MANUAL 111

 -------c NOTES
NB : As and when any Person inds out any Mistake / Point to be Amended / Added in this
Manual, may kindly make a Note of it in this Sheet, for subsequent consolidation and Feed
back to Amend the Manual.

Sl Page Chapter No
No. No. & Para No.
Issue
Date
Mistake / Point
to be Amended /
Recommended
by Name & Date Chapter ‐ 8
Added Signature
ANNEXURES, FORMATS AND
CIRCULARS

URES
ANNEX FORMA
TS

P O R TANT
IM A RS
CI R C U L

If something can corrupt you,

you’re corrupted already.
- Bob marley

112 VIGILANCE MANUAL

 ~., 1!I[ 'IR'I'

- - - - - - - - - - - - e 1111111
lft---
ANNEXURES, FORMATS AND
CIRCULARS
Letter & Subject Ref Pg Page No
Annexure Date
Circular No
1 CVC vide Of ice Order 12.04.2014 Vigilance Angle‐ 118
No. 23/04/04 & De inition
Of ice Order No. 21.12.2015
74/12/05
2 O.M. No. 14.01.1998 Sanction for 120
142/10/97‐AVD.I Prosecution
3 Order No. 4/2/09 27.02.2009 Govt of India Resolut 121
‐ion on Public Interest
Disclosures & Protect
‐ion of Informer
4 Order No. 57/8/04 31.08.2014 Time limit for Investi 122
‐gation of Complaints
5 15(7)/98(GL‐009) GM 25.09.1998 Model Vigilance 123
Structure for PSU
6 Circular No 16/3/06 28.03.2006 Protection Against 125
Victimisation of
of icials of the
Vigilance Units
7 O.M. No.321/77/91‐ADV.III 09.06.1992 127
8 Circular No. 1542 03.09.2013 Functions of Chairman, DVC 128
9 Omno. 22011/5/86‐ 10.04.1989 Con irmation of 130
Estt.(D) Order
10 DoPT OM no. 14.09.1992 Promotion 136
22011/4/91‐Estt.(A)
11 DoPTO.M. No. 31.05.1994 Acceptance of 140
28034/4/94‐Estt.(A) Resignation
VIGILANCE AWARENESS WEEK 12 Clause 6.14.1 of CVC 2005 142
Vigilance Manual 2005
13 No. 25013/7/77‐Estt. (A) 26.08.1977 Scheme of Voluntary 143
Retirement
14 25013/3/79‐Ests. (A) 28.07.1979 148
15 No. 25013/10/85‐Estt. (A), 05.07.1985 159
16 25013/3/2003‐Estt. (A), 17.06.2003 150
17 Sub Rule 4 of the Rule 9 & Provisional Pension 151
Sub‐Rule3 of Rule 39 of
the CCS(Leave) Rules, 1972

VIGILANCE MANUAL 115

 Letter & Subject Ref Pg Page No Letter & Subject Ref Pg Page No
Annexure Date Annexure Date

18
I Circular No
OMsno.11012/11/
I I
14.12.2007 Nomination of
I I 152 35
I Circular No
No.104/76/2011‐
I I
18.10.2013 Guidance regarding
I I 210
2007‐EsttA Of icers for Foreign AVD.I Handling of Complaints
in Ministries/Departments
19 OMsno.11012/11/ 27.09.2011 Deputation 155
2007‐EsttA 36 Circular No. 10/5/09 18.05.2009 Adoption of 212
Integrity Pact
19 A BEML circular 19.05.2006 Acquisition of movable, 156 37 Orders No. 41/12/07 04.12.2007 217
No: 1235 immovable, and valuable
properties by of icers. 38 Circular No 43/12/07 28.12.2007 219

19 B BEML circular 25.04.2017 Declaration of Assets & Liabili 157 39 Circular No. 18/05/08 19.05.2008 220
No : 1632 ‐ties and intimation/Obtaining
40 Circular No. 18/05/08 05.08.2008 221
sanction during buying/
disposal of properties. 41 Circular No.3/2/07 23.02.2007 Investigation of 223
20 AB 14017/101/91‐ 14.05.1993 Forwarding of 159 Complaints
Estt(RR) Application 42 Circular No. 01/01/ 23.01.2015 Procedure for Dealing 224
21 CVC letter no. 98/VGL/60 15.04.1999 Rotation of of icials 161 2015(98/DSP/09) with Complaints
22 CVC letter no. 98/VGL/60 02.11.2001 working in Sensitive 162 43 General bulletin 30.01.2015 BEML Complaint 225
Posts 1581 Handling Policy
23 Para 2.13 (v) of CVC 2005 163
Vigilance Manual, 2005 44 No.000/VGL/18 23.05.2000 Schedule of Time Limit in 231
Conducting Investigations
24 Rule18(1) (ii) of CCS CCS(Conduct) 164
45 No.21/8/09 06.08.2009 References to Commission 233
(Conduct) Rules 1964 Rules 1964
for First Stage Advice
25 OM no. 05.10.2009 Issue of Identity 167 46 No.98/VGL/51 11.08.2009 Special Chapter on Vigilance 235
VI/401/01/05/2008 Certi icate (IC) OR Management in PSE
26 Section 6(2) of the NOC for issue of 169
Passport Act 1967 Ordinary Passport
FORMATS
27 O.M. no. 05.10.2009 Prior Permission to 170
11013/7/94‐Estt (A) visit Abroad Reference Page
Format Description
Page No No
28 O.M. no. 11013/8/ 07.11.2000 171
2000‐Estt (A) 01 Annual Property Scrutiny Format 236
29 No. 11013/7/2004‐ 05.10.2004 172 02 Vigilance Complaint Register Format 237
Estt (A)
30 Supreme Court in the 11.11.1974 Moral Turpitude 173 03 Investigation/Preliminary Inquiry Report Format 238
case of Allahabad Bank 04 Fact Veri ication Report Format 241
31 Observations of Allaha 13.03.1997 Pendency of 201
05 Monthly Report Format 243
‐bad High Court in State Departmental /
of U.P. v. Jai Singh Dixit Disciplinary 06 Vigilance Clearance Formats 257
(1976) 2 LLJ(ALL)246 Proceedings (a) For the PESB interview / selection
32 Rule 9 (6) (b) of CCS Institution of Judicial 206 (b) For other purposes like con irmation/promotion /
07 258
(Pension) Rules Proceedings
outside employment,
33 General Bulletin 19.04.2011 Vigilance Clearance for 207
08 (c) For the purpose of obtaining Passport /Visa / 259
No 1228 executives/ Employees
Travel to be made by the individual (With Appendix)
34 005‐VGC‐101 11.08.2005 handling of Pseudonymous 209
/ Anonymous Complaints 09 CTE format 262

116 VIGILANCE MANUAL VIGILANCE MANUAL 117

 1ftf111•
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-~--
ANNEXURE - 01

~o 001 \"GL 18 211>) Any undue/ uojustlOed delay lo cho dls posol or u cast. perceived nOtr consldec·lng
Go, ffllJllCUI of ludia all relevant factors. would reinforce- a rondu.sloo as to tbt presenrt or vlgllanre
Cc1.ural \ "1e.tlance CouumsMou anglr in a case-•
••••••
:,nrn,knrn 8lrnwn11 Block-A. •• ns modified , ·hie orncer Order Ko. 74/1 2/05 dated 21/12/ 0~.
GPO Complex, INA,
New D,•lh1• I I00 23 3. The mi.son d'C-tre of v1!uJance ncuvny 1s no1 10 reduce bm to enhonce the le\'c-l of
Daied 13• •.\pnl 200 I mrumgcriol efficieucy and effe-cuvcuc:ss au 1he org.aubauou Commercfol risk cakmg. fom1s
p;i11 of business. TI1erefore. eve1y loss i:onsed to 1he or~ants:lnon. either in pecuniary or non~
OfOct Onltr Ko. 23/04/0.I p«tutlnry 1e1m,. need 11<>1 ueces.>ruily become 1110 subj,-cc 111n11er of a ,·i!?ilauce uiqui,y. Titus.
I rtad 'lill111101llnru1lnn ,·hi• om« Ordtr :--n. 74/I Wl~l wbe1her a person of co11uuon pmdence. worlin$ wuhin che ambi1 of 1he prescribed ml~.
reiula11ous and mstnic1io11.>. would hnve mk'°n the decision m th~ prtvnilin~ circumsrauce~ m
S ubjert: \'JgU•no •ngl• - deOnltlon of. 1he co111tt1<rcia11opera1ioual 1111e1·esis of 1h• orga111smio11 ,s on• l)OS,.1ble cri1erio11 fo,
cletcmnining the born:i fides of the- cnse. A positive response to 1hi.s question mny indicate the
As you art O\\lft 1bc Conumssion 1e11der, ad\lct III the ens~ ,,111ol1 111volw • exi; 1e11ce orbonn• fides. A ne~aiive reply. 011 che 01her hand, llli[lhl i11dicn1e their abse11ce
,,,i1ance aniz)e n,c 1m11 ''\ 10:,lance anpe" has bee11 defined Ill 1he SJ>CCi•I Chnpler< for
\"1gdance ~lana£!CUICUI 111 II~ pnbhc =tor eutei1insc~. pubhc <eclor bnnks and pnblit sec1or .s. .-\bsenct of vi~ilance nngle iu vnriou.s acts of omission aud conunissiou does 1101 mean
111St11·1wce rompau,cs The 111011,1 wnh ,e!!oi'd 10 b11n[ltll[l 0111 p,en1<1 qunli1y •nd prro,.,ou 10 tha1 the concerned official is not liabli! to face the consequences of his acuons. AU such
1h~ defuuriou ha~ bttu unJc1 reconsidera1io11 of 1hc C"onunission. T he Conuni~ton. nO\\ lapses not anrarllng \•Jgltanre angll' would, lndf'tct1 havt to lie cll'alt with ;lppro1>rla1ely
I\Ccordulpy. hai. fo11nuln1cd n 1cv1scd defutltiou of\ltuln11ce nn~l• n, tmder. n.s per the dlsdpllnnry prooedur• under 1be sen•Jce rules.··

" \'lgllnnco angle h olJYlous lo IM follo\\lng nc1>: • 5. The abov~ defhuuou be-conies a pan of the Y1,.t1nncc Mouual nud ex1stmg Special
Chap1e1 011 Pubhc Scc101 Bauk, and Public Sector Eulel))riscs b,ouilu 0111 by lh<
(i) Demn11d111g ondor acceptm[l pa1ttka11ou 01h<1 1han l~I renuul<'nlllon 111 Co11umss1on. m supersession of the existing definition4
re~p«1 of an official acr or for us1112 l11\ mOtttllC'e ,n1h any orhe,- otTicu\l
C\ "Os may brintt ibis 10 1he no1ict o f nil conoemecl
(u) Obt-iuune ,-nl11ablt thllUt. w11bou1 cou51dcr3non or wtth modequntc
COIIStOOIIIIOtl liow D person \\Ith \\hOIII he has or likely 10 ba,e omc,nl
deahn~, 01 lu, subord111a1es b.w• official deohn~s or wbcae he con •xe,t Sd •
mnucuce. (Anjan• Dube)
Deputy Secre1niy
(ml Ob10111111i,, fo1 huus~lf 01· fo, nuy othel' 1><1>011 any valuabl< 1h111, 01 1>«11111m)
ndvanln(le by co1111p1 or 11le![,1l mean, 01 by abnsm~ hi, po<111ou a, • pubhc All Clnef\"il_!tlauce Officers
wrvn111,

(i,·) Po«<s<1on of ass,i. dts(,ropor11ona1t 10 ha; btown SOUJ<'C> of wro111e

(,) Cn;,s of mi>0pprop1>ll0tL for!1<11· or challn!' or 01bc1 ,11111l,11 cr1111111al

offence,

~<•l.. Tlmt a,e ho,w,er. 01h<1· t1to[ll1ln1111t-- \\he,e c1rc11m,tances will htlve co be wdp.hed
ca1-cf111l) 10 1ak• a new wbttlt« 1h• office, •; 1111e11-ri1y is III clo11b1 Gro" or w11lruJ
ne~,,.,.,e recklessness III dec1<1on 111aktll!1' blainm violallous of ,y\ltnh nud
p1octdures~ exercise of d tscnmon 111 cxce-sc.:. where no os1e11s1ble pubhc mt~t ts
C\'tdelll. Ca,lure 10 keep 1he cou1roll111!1 n111horny,supmors mfoml<'<i 111 11111• thos,
•r• ,ome of 1he lrrcgulnrlllt> \\h••·• 1hr dbclpllnary au1borl1y ,-11h th• h•l1> of
1hc CYO should <"lrtfullJ' >1udy 1hr ca>e and weigh th• drc:um, tanu, 10 eom• to
n conl'lu>lon wht1ht1· lhtrt h rt•,onablt ground 10 doub1 lbt lnl<grll)' of lht
orncer conctrntd.

118 VIGILANCE MANUAL VIGILANCE MANUAL 119

 ..,,1Plffl
- - - - - - - - -e llllll
ANNEXURE - 02 ANNEXURE - 03

No.004NGU26
OOPTs O.M. No.142110/97 AVO dated 14.1.98 00 Government of India
Sonction for- pt"Osecution. .....
Central Vlglfance Commission

• Under SectlOtl 19 o.f t h e ~ ~ of COi1'\4'.)tl()rl .Act. \988" Gl.$0 section. 197 of the Or. PC, it
cs ~ for the proseeutn;I ootnooty 10 h3ve the pre-\ious S31letion ol ll'le competent Satarkta Bhawan, Bio~ 'A',
auihority for bunchmg prooecufioo ogaiMt a pll.lbic !lefV'ant in order toot the Ccx.ri concerned CM GPO Complex, INA,
bke cograanoe of the m31!er.
,. The Supreme Court In WP (Cnmin3f) No.340-343 ,of 1993 Vnttt Naroln and Olhef's Vs l.hal Olf
New Oelht- 110 023
India one! ooome, tm intef w given me ~ dJteetlon \lide Judometit dated 18.12.97:- Dated the 27 111 February 2009

,me llmtt of 3 month.$ ll gmn1 or :.30Cllon fOr pros.eamon must De smctry ~ e d to. H ~. Offico Ordor No.412/09
lldditloNI time or one month may be oDowed where OOM-u1!ooon itl required with 1he Attorney
GenN'ail oc :!lff'/ other law Officer 1r1 the AG'$ Office •
• The above direction or tne supreme Coutit is hereby ~ 1 10 tne attenllon ol id MIil 1StneS MCI Subjacl:- GovL of India Re-solution on Public Interest Disclosures &ProtectJon
Departments for the purpose of strict ~ ond Wlt'1 the request that rt may. sinll311y, be of Informer.
bt'Ougtlt to tne ooenoon of 311Ol'Q3niso:IOl"ls undet the >hnismes 3nd ~rtments v~ed Wltl'I Ulle
a ~ o1 sanctlOrl fOJ prosewtion und« the PrevenbOn ol Cc:K1upt>on Act, 1~ Md' the Code of
Cnmn.11 Procedure,1973. It lS furllhe,r emph.1~b!ed thait while the Supreme Ccut h3s, 13id doM1
the mrocmun imit, ~ eff<lrts shoUld be to ronvey the deas,on reoaroino such requests as e31ty Pfease refer to the Canmission's Office Order No 3315/2004 dated
.u po$$iNe in e.1on C3Se. 17 5.2004 wherein the Government of India authorized the Central V-iglrance
Commission (CVC) as the 'Designated Agency' lo receive written complaints for
dtsclosure on any anegauon at· corruption or misuse of office and recommend
appropnste action CVOs of the Ministries/Oeptts JOrgns were required to submit their
investigation report on complaints forwarded by the Commission under lhe PIOPI
Resolution withm a period o1 two weeks.

2. The issue regarding submisston of invesltgation reports on PIOPI

complair,ts has been reconsidered In the Commiu1on end takmg In V1ew the C11fficultae!i
being faced by the CVOs 1n submission of reports •l has now been decided by the
Commrsslon to extend the time l1ml1 ror subm1ssion of reports. Henceforth CVOs would
ubmit the reports within a penod of one month from the receipt of rererence of the
CommlSslon.
3 AU CVOs should adhere to lh& Commission's above Ume limit for striC't
comphance

\).,.......,
~
(Shalint Darbari)
Director

All Chief Vignance Officers

120 VIGILANCE MANUAL VIGILANCE MANUAL 121

 NEWFRONTIERS.t-EWDIIENtG -------c ANNEXURE - 04
C
• - - - - - - - - - - - Q -~
'dt il!ll l!iil

NEWFRONTIERS.t-EWDREN.G

ANNEXURE - 05
l;entr Iv,

00

To

i o llmf •f rdl ng.

ada ,

l
u.
lil

( )

OU1'5 Fai full •

122 VIGILANCE MANUAL VIGILANCE MANUAL 123

 - - - - -c C - - - - - - - - -e 111111
-----
•'f'INUI

ANNEXURE - 06

No006NGUOn
d)Prr.rnrin \1pfancr Win;
Govemment of India
- Sr \'1pmn.ce Offic:~
- \°,gum.er Offiett Ont
...
Central \rgllance Com"'1ss1on
.-.

• Stmo Ont Satar1ua Bha ....an. Block 'A' .

G?O Complex. INA.
t) Itdmttl!! \\Jns ~ u applicable t<> PSU5 ~ p d m e o ~ md othtt t«hww Ne.•. 0-elhi- 110 023
o,-_i-.inom) Dated the 28" March 2006

• Sr \"tplma OfficrtOnr Circular No.16/3I06

• Yt@llatlce Officer One
-£."PM One Sub: Protec tio n against victimisation o f officials of the Vlgilonce Units o f
- Stato Onr various Ministrles/Depat!lu1enl lorgan isotions.
:? Rqiooitl'Projttr,'Pbni Offict: (This" appbc~to Sdledule 'A" ad ' B' PSUs onJy) The Comm,ssaon has ie ,.,·ed senously certa,n instances of harassment and
altempts at 1w1cttmisat10n of -.igfance offic,als of certarn org.:in~tions The need to
- Sr Vi!,llmlce OfficttOD.e
allo,-. the .191lance officials to .•,o"" mdependentl) and freeJ ,\1thout an1 fear ... hich
- lm~b?!Or Onr as the founda1wn for effe.ct, .e ...,,gtlance admin1s trahon in an1 organisallon has been
-Steco Ont
recognized since long In ract lhe Comn,11tee on Pre1Jent1on of Corruption
3 Thu 1ttommendmoo has bttu ..rpnt1o,rd m &ms Dq,artmea1 and It bn been &oded that (Sanlhanam Committee) had recommended that those posted to the V191lanc,e
PSU, mould tau unm.rdia:tt ~t1:p1- for ndoptum of the ~ , , ~ slructlJtt mth StUtable. Organ1s.a11ons shoold not hai.e the f~r of returning to therr parent cadre mlh the
mo&fic:1-1.1om ~ upoc lh.e uu. fimetton and optntlon oflb! Of!~tlon. poss,b1hty or facing the .:,nger and drsple:,sure of lhose against :.-.honl they n,ad~
mqw1es The Comm, ee had also recommended that ·those ,.,orl<ing in Vigtlance
.l All ~ Admmutn.n,·r ~J.umtnes ~artmmtt. ~ 11ft ~ f l t 10 ad,i:w the- PSI.:, Orgam~tJQns should h3.e an assurance that good and efficient w\Ork in tl-t,e
Wider theu' admmutnlI\~ rcotr0l ro rm Df'CHSll1'' acnon on~ abo\·e ~ md fumtsh 11tllon Vigilance Organisation ,.,di enhance their opportunities for promotion and not
tueu repot1 10 the OPE v.-ithw ;a penod of m monlb.5 from the c:b•~ o f ~ oflhl.$ OM be«>me a son of dt:Squal ficatton·.

2. The Comnuss1on has considered the problem of possible vic:t1m1sation of

Vigilance offmals after the, finish their tenure in the Vigdance Department 3nd re ..ert
lo their normal dunes In the c,:,se of CVOs. already, the Comm1ss1on, as Accepting
Aulhonty. 1s in a position to moderate 1f neces~ry. any btased repo11ing against the
CVO in h1s ACR S1m1'3rt:. the Comn,iss,on h3s at.vays been extremely c.3reful and
caulious whrle takrng cognizance of complaints against the CVOs and as a matter of
prme1ple- al,•.a, s obtains the CVOs response before coming to .l!O/ conclusion on the
Med to 1n1Jestigate- such comptamts.

3. In ordler that the required degree of protection is conferred on the V191lance

officials supponing the CVO and keeping in -vae 1. the spirit of the Santhanam
Committee which :.,th commendable foresight had anticipated .ery cleart1 some of
these issues. the Comm1ss1on issues the follo.v1ng consolidated msuuctions in
exercise or ns po.1,ers under Secbon 8 (I) (h) of the CVC Act

(1} All personnel rn Vigrlance Units ,,.,ube posted only in consultatJon .,,,th
and the concurrence of the CVOs Th'"Y ...,II be for an rnrt1,3I tenure of
lhree ye.Jrs e:ctendabte up to fi e ~ears Any premcJture re.ersion
befor,e the expiry of such tenure ,.,,tt onJy be .-.,th the concurrence, of th~
C 10 The C O shall bnng 1o the notrce of the Commisst0n any
de~1auon from the abo.e.

Contd ••. 21-

124 VIGILANCE MANUAL VIGILANCE MANUAL 125

 -----c - - - - - - - - - Q llall
..,.,'CN'IZI(

ANNEXURE - 07
: 2: (DOPT O.M. NO 321/77/91-AVD.III Dt 03 Jun 1992)
(11) The ACR or P-ersonnel :,orkmg m the Vigilance Department N1U be
,•,ncien by the CVO and reiile,•,ed l>) appropnate authonty prncnbed
ASSOCIATION OF CHIEF VIGILANCE OFFICER WITH WORK OF DEPARTMENTAL
under the rele,ant conduc• rules The rematks m r-evae.-. shall be DUTIES, HANDLING SENSITIVE MATTERS
perused bv the CVO and in case he has reservations about lhe
comments n,3de under the re,IeN. he shaQ take ,t up ,•,'llh the Chref 1. It has been observed, that Vigilance functionaries such as CVOs, VOs etc. are
ExecuthelHOD to resol.e the issue In case he 15 unable ro do this, he sometimes associated with the work of various committees constituted to
shall repon the matter to the Comm,sswn ,•,ho .-.111 intercede ., the
matIBr suitabtJ perform several administrative jobs such as finalisation of tenders, projects,
market surveys etc, dealing with purely administrative/performance matters
(in) Smee the problem of ictrnwsaoon occurs, if at J.11 after the re ,ersion o!
1he personnel 10 lheir normal line depanments, the Commission .-~ould such as procurement of materials from suppliers, placement of work orders,
reiterate the fotlo,,ing· awarding of contracts, disposal of scraps and other unserviceable materials
(a) On such re .. erSK>n the vigilance personnel sh.111 not be posled to and other matters of similar nature. The desirability of permitting the CVOs
work under an officer agamst :mom. ,•;h1le ,•,00119 in lhe and other vigilance staff to as sociate themselves with the functions of such
-..ig1lance department, he had un<iertaken ,enfication of
complamts or detailed 1m.es1,gatJon thereafter Needless to sa 1
nature has been examined by the Government in consultation with the Central
his ACR shall not be ,mtten by such officer/s. Vigilance Commission.
(b) Al such Vigllanoe personnel .-.111 be deemed to be under the 2. It is considered, that participation in decision making or close association
CommissKJn"s puMe ,·, for purposes of consultation 1n therewith on the part of the vigilance staff in such matters over which, they
d1sciphnary maners. This 1s trrespective of their grade. Th,s
co, er ,,,.,11 be extended to ;, period of not less than ft,e years may be required, at a later stage to sit in judgment from vigilance point of
from the dote of re~ers,on from 1he v1911.:lnC-e dep.lnment. view, should be avoided. Accordingly, it has been decided, that the vigilance
(c) Al Vigilance perso"nel on re ers,on shall be entitJed to functionaries should not be party to processing and decision making
represent lhroogh the CVO and chief executi11e of the processes or in other similar administrative transactions of such nature which
orgamsauon to the Commt-ssion rf lhe:,• perce1"e any
,1cr,mIsabon as a consequence of therr .•,or1'1ng an the V191lance are likely to have a clear vigilance sensitivity. While it should not be difficult for
depanment This ,,ould mdude transfers. denial of promotion or full time vigilance officer to comply with this requirement by dissociating
any adm1nistrat1Ve actton not considered roulme or oom,al This
protection wdl be eJ((ended for a period noa lsss than f,~e years
themselves with decision making process in the substantive work of sensitive
after lhe r•hersion of such personnel from 1he vigilance nature in their organisations, similar compliance of these instructions could be
department. achieved in respect of part time vigilance functionaries also by confining their
4 The .ibo.e ,nsfruchons may be no1ed ror stnct C-omphance. The CVO should duties (other than those connected with vigilance work), as far as possible to
report promptly to the Comnussion. the detads or any real or perctw,ed o11ctimisalion such items of work, that are either free from vigilance angle or preferably serve
of any offic13I ,\ho ,s .-.or1ung ,n the V191l;u1ce Unit S1m1kuty, he should 3lso report
such instances pert11nin9 to the former officL3ls of the V191lance Untl up to a period as input to vigilance activity for example, inspections and audit etc.
of fi~e ! ears after the/ had completed their tenure 111 the Vigilance Umt He should
also report ;,here such deser..mg offtc_13Js- are ignored/superseded m matters of
promotJon

]
-
(V Kannan)
Director

AJI CM Os of Pubhc Sector Underta.lun9s1Publ1c Sector Banks

All Chief Vigilance Officers

126 VIGILANCE MANUAL VIGILANCE MANUAL 127

 NEW FRONIBS. NEW DREAMS - - - - - - -c ANNEXURE - 08
c - - - - - - - - - - -Qlt!I!)
lftf~l!R

Circula No.t~4L ..... Conti , aiion to,Cin::u!ar No.~d .ted oJ .O~Ull 3

Sub: Raco · titu on of DM ·onal Vig ranee Commi and rn-410111 . ·Comm, for :: 2 ::
ere iype In -paction
Ref: (f) Clrcut r No. 1251 d lad 25.07.2106 1(i" )1Each ,Committee II nspect .at easl 2 High Value Purchase• 1Orde s /
tHJ Clrcul r Ne, 12S8 dated 25.07.2186 O.iviJ Woms ,e very quarter. Ttie , m, wil subrmit ttie inten:s~" ·. exami io
(iiiJ Clrc,ular No.13'4dated 11.12.2007 reports lo the CCJporate Vi - 'lance in uie formal preSOliibed by eve within
(iv~ Olrcut-r No.1uo1d1te.d 11.01200 o . mon· h from lhe date of inspeo'lion .
{Y) ,c rr: r o.1390 da _ d 11J oa.•21os
,(viJ Circurar No.1453 da _ed 28.09.2010 (2) The Chalnn n of _e respective DMJonal 'Agilanc Committee
1 - ,1,00 duct l
Me lings regularly, du y reoordltlg ".ts · inue •
(3) This wilr come into fo:ree with imrnediat,e effect.
Management ha accord d appf\oval t reconstitute d:'le following Committee as
detai ed be ow, due to the transfer and separations o ·is Members : ( )1lih - .· a,;- -rova of GOfflJ)etent Authority.
(l), The Oivis"onal Vi; 1ance Committees ,(,IDVG); and
1

(U) 1n-h0\l&e CommittffS forCTE Type Inspections.

1

(D The Division~! VigHance Comm1lee (DVC:) : ~

a) The Di .* ·onal Vigtlan<:e ,eommi ees (DVCs) have been recons@uted vide
Cira.ala ·lndicatem1unlfe · ref. '(i) above.
IEnd : -s
b) The Committees..are reeoRstitutat as ind ea,ted de Annexure-1.
c) The roles & fundion:S of tile DVCs as nolffied vi' e Annexu:re,.1 of he above
,referred Circular are appended herewith for refe:iience.
HIJ ltn_.J]ous_e Commuttees {or CIE Typ_e h1snections ~ ..
a) The fn..,hou:se Cammiittees for CTE Type Inspections have bee'1 constituted I
reoonstilut,ed v de Circulars ind'jea:t:ed under r. ·~·i),to (vi) above.
b) The Committ ,s are It eby reoonst wed as indicated v·cte Anrteixu~n.
c) llle Com.m,ttees Will perform ·ts actillities as ·specified in pa~.D o Cimular
1 dlcsted at ref. no. ~'i) above, which are feproduoed below : •
{) From lhe quart:ert~ reports reoeived from Untt Vigilance the Co,porate
Vigilance will randomly s .eel lhe H'gh Valllle Pwrchase· O~ders I CMI
Worts which are consi ,e·ed lo be sensitive & mportant fmm h
1

vigilance .angre and refe Ir .,case to the above said in pecflon t·eams for
oondu: ,ng nten ·,,,e, examina ·on. The refer,e..nces received ·frorn the
eve I MOD t CM.o - a1so,lbe sen.t to ttie Commiltees fo eumi111ation /
i111sp -cUon.
. ... 2

-----
128 VIGILANCE MANUAL VIGILANCE MANUAL 129
 'l'tfwu:
......._
- - - - - - - - -e llllll
ANNEXURE - 09 - 2-
/
F.No.35034/7197-Effl(D) 2.2 In the aff or promotions !\-om lowu Groups to Gro11p 'A', while the
Gon!Ulffll orllldla
Ministry or Ptnoaaol, hblk Grievancot and Ptaslotts m* or promotion bappens to be 'sc1«1lon by mtrit', the bench-mart
Otpan-• 1 of Ptnooatl and Tr.laing prescribed is 'good' and only tltosc offlcrrs who obtain the Aid bench-mark
New Ddbl • 110 001 are protnoltd In the ord..- of mmt as per a;rading obtained. Tbus, officers
Frbnaary 8, 2002 cettlQg II superior grading supersede tlloH geUlng lowtr gnidlng.. In otb..-
wonls, an offll"er graded u 'outs.anding' supuudcs IJIOK gnckd u 'nry
OFFrce MeM~NbuM aoocl' and an o ~r graded as 'ney goocl' , upersedcs officers graded as
' good'. Officers obtailling the same grading att arrangtd in I.be stlffl pand i11
S..bj ut1~ to be ob-,! by I) •F to-41 ~ -
Co..,,,in_ (lll'Cs) • No ...-,.uioll ill •sa1ectto11·
the order of thtir seniority In the lower e,-adt. TbOff who get a grading lower
pn41ootloft • ltrt!Md "-dellfta ,...-ding. thao the presc'l'ibc-cl balch-m11rk ('good') art not empanelled for promotioa.

(i) Ool'&'T O.M.Ho. The undrnlK)M<l ls dlnctrd lo lavll• rtruuct IO Ill• Otl)llt1JDral of 2.3 In promotions to the levtl In Utt pay-scale of lu.12,000-16,500{• and
221111 /$1$6- above, while the mode of promOCion Is 'sdtdioa by mtril', the bench-mark
P,nonnel and Tnoini"I (l)oP&n Ollltt. Memorandum (O.M.) No.ll01 l/5/86-
"'"(0) -
IG.3.1989 £st1(D) claffll Man,.h 10, 1989 and O.M. or n tn nambu dated April lit, 1989 prescribed is 'nn l(OOCI' and only those offlttrs who obtain the said beach·
(lo')OoP.tT O.M.11«
(., • lllfcndNI by O.M.No.2201l/ 5/91•£111(D) dakd Mardi 27, 1997) wbldl mark are promoltd In the order or merit as per the grading obtained, officers
2:011/SM, COAlala lbt lastnactlons oa the Otpa~otal Promolloa Conunltltn (OPCs) getting s uperior avadiag supersede thOff gdtlng lower gradln& as uplalntd In
t.M~O) dl1<d
IQ.4 1989 • ad rwitrd matkrs. In "Prd to lllt 'i<tlttllon' mod• or promotion
pa.,.raph 2.l abovt. Officers obtainlq the sa.-. iiradina are arnn&td in the
('selttlloa-<11m•nnlorlty-' and 'ldectloa by m«lt'), lb< • romald IIIStnl<tions
(ill)lloP&TO.M.'<o. select panel in lhe onkr of their seniority in the lower grade. Those wbo get a
ZMtlMI • prescribe tbt guldrlints (as blitlly difculstd I• P"f'9Vl'pb 2 below) ror
&11(0) dol<d
overall 'vad)nlt' to bt pven by Ille DPC, 'btlldl-mark' ror UHSSmtnt or grading lower llum the pracrlbed btncb•mark ('very good' ) art not
17.J.1997
prrfonnaact and IIH fflllllllff la wbkb lllt '$dtt1 pantl' b• s lo be • rnngtd for e mpant lk-d for promotion
promotion>lo vulo111 klvels orposl/gradc,.
J. RcviKd Guidelines
2. Esh1inlt Gvldt llna

The aforemeatloned gulddlnes whlcb permit supersesslon in

2.1 As ptr tbr nlrtina (• rortmtntloatd) irmrudlons, ID promotions If' ,.
'selection' promotion ('sdecuoa by merit') have been reviewed by the
- ~ t.b• Ind lo lbt p,y....,lo or Rs.12,000-1',SOO (a«ptiq
promotion> 10 Group 'A' posll/senlcu lrom lite lower 1roap), tr l.b• inodt Government and • ne.- co111prtbenslvt/utenslve U1UDUU1t.lon or relevant lssuu
happtDS 10 be 'S<'ltctioD<DJD·st• lorily', thto tbt lltacb,mark prtSCrlbtd Is It bas bttn dedd~-d that thert should be no supertes.~lon la mauer or
· ~· lad olllttn oblaialng lbt said btotb-mark lrt • monpd II Ult sded 'stltction' (IM.r il) promollon al any level. ln kttpina witb Utt nid dttisioo,
paul la lb• ordtr or lb.tr seniority In lbt lowtr (rtNltr) lfll(lc,. Tb115, lbtrt 15 lhe following revised promoliou norms/ guidelines, in partial modlllcatlon (lo
ao 1uprrsesslua • mona t.bose wllo mttl lb• iald btndl-marll. Offlccn ~tti11& the txltnl ttl,vant for the purpose or IIMse lnslructlons) of all existing
• ltJ'l'Cllnc 1o..-... lban Ibo prescribed bcndl•lllark ('pod') lrt DOI tmpaadltd instructions on the subject (as referred to in parapph l above) are
ror promotion.
prucribed in the succeedlag paragraphs for providing lUiduce to the
Departmental Promotion Commltlfts (DPCs).

130 VIGILANCE MANUAL VIGILANCE MANUAL 131

 1ftfwa ~i'lll'UI'

8 1111111 - - - - - - - - -e lllllll
--- ---
- 3- -4-

3,1 Mode of Promotion 3.3 Promotion to the revlRd pay-scale (gnde)

or lb.12,000-16,500 and above

In I.be case of 'selection' (merit) promollon, I.be hitherto ulsting

(i) The mode or promotion, as indicated lo paragraph 3.1 above,
dbtinction in the nomendat11re ('selection by merit' and 'selection-cum• sball be 'seltttlon'.
seniority') is dlspenKCI with and Ille inode of promotion In all sucb cases Is
rechristened as 'ff!fftiod only. 1lle ele-nt of selectivity (hlgber or lower) (II) The ht:nch•mark for promotion, u It Is oow, shall contJaue to be
slu,U be determined ,.ith reference to I.be reJeyant bench-mark ("Very Good" ' nry good'. This will easore element of biper seledlvity in
comparison to selecuon promotions to the grades lowtr than the
or "Good") prescribed for promotion.
aforesaid level where the bencb•martl, as Indicated ID the
followh1g paragraphs, shall be 'good' only.
3.2 •Bench-mark' for promotion
(iii) Tbe DPC 5hall for promotions to said pay-tcale (grade) and
above, grade officers as 'flt' or 'unfit' only witb rtftttnce to the
The OPC sh•II determine I.be merit of those being assessed for bcnd1-1nark or 'very good', Only I.bow who are graded u ' flt'
promotl11n wltb refcrmce to tlae prescribed bench,mark and accordingly shall be included in the select p• JN!I prepared by the DPC In
grade the officers as 'Ill' or ' unlit' only. Only those wbo are craded 'flt' (I.e. order or thtlr laln-se seniority In t.bt feeder grade. Thu, as
already uplaloed in pengraph 3.2 above, there sball be no
who med the prescribed bench-mark) by I.be DPC shall be included and
supersesslon in promotion amoaa those who ll't round ' flt' by
arranged In the selttt panel In order to their lnler•M Mniority In the feeder
Ille DPC in lenn$ of the aforesaid prescribed bench-mark of
grade. 'fhose officm who are ivaded ' unfit' (In terms of the prescribed ' very 1toocl'
bench-mark) by the DPC shall not be IDclllded In tbe select panel. Thus, there
shall be no s11persesslon In promotloo amoq those who a.r e graded 'flt' (In
3.4 Promotion to grades below the revised pay-scale
terms of the presaibed bench-mark) by Ille DPC. (gradt) of lts.12,000-16,500 (lndudlna promotions
from lower Gn>..!!J!! to Group •A' posb/fD'!des/servlca)
3.2.1 Although among those ..;ho meet the prescribed bench-mark, inter-se
(I) Tht mode of promolloo, as lndfcatl-d In para11raph 3.1 above,
seniority of the feeder jU'llde shall remain Intact, eUglblllty for promotion will Shall be 'sel«tion'.
no doubt be subject to fulflhmnt of ail the conditions laid down la the relenat

·~·.
T ht bench-mark for promotion, as It Is now, shall continue to be
RecniitmenVSenice Rules, Including I.be conditions I.bat one should be the (ii)
holder of the relevant feeder post on regular basis and that he should havt
rendered Ille prescribed eligibility service in the feeder post.
(ii) The DPC shall for pro::aotloo to postslp-ades/servlccs in the
aforaald categorla_ grade offk:tn u ' flt' or •unfit' only with
rtfen:noe to the bench-mark of 'aoc,d'. Only those who are
gncled as ' Ill' shall be lnduded ID the sel«t panel prepattd by
I.be DPC in order of thtir lnttt•se seniority In the feeder grade.
Thus, as already explained la paragraph 3.2 aboYe, there s hall
he no super$Utlon In promotion among those who are found
•fit' by the DPC in ttnns of the aforesaid pn:scrlbed bench-
mark or 'i:ood',

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.5.
6. Miabtria/Dq,ar1muts art requested to 11.-e widt clmdation to thae
3.5 Zone of considCl'atlon nristd lnstntc:tions for aeDfflll pldance ID the matla' so that Immediate steps
att lallu IO • -ocl 1k Sa-rice lbalallkcnltmcnt Rales of various
,enlea/posll/grad<S so • to appropriatel1 lncorporatt 1k IIIOde o1
1\t gulddl- rdlltlog IO lllt '2oot ol coaskltratloo' ID 111 alwog promotloa 111 'tdtdloo' (In accordance with llltse laslnlCtioDS) ID place or
DoP.tT O.MJ'lo.
22llll/1/ 90- rorm (lwkt lilt DWDbtr or ••cudts plwt four) shall coall• uc to ban F~ral ',elcc:tloa b1-•ii' wa,
ud 'ldfftloa-cua.-ftfllorlty• (as bltlluto prHUIMd
Eill(l))d.M<d
ll.10.1990
appllcatloo. Howe.er, In ,kw or the aodilkatloas la promotion "°""' by lllt afo.-tloatd O.M. dated Mardi rt, 1997) as UM cue aay be. The
lodlcakd la pa"IJ'IIIIII 3.3 above, the rollowill& 11lpalatlon (as b already po,ren 10 • -ad Sutlce Ralcs/Rccruitmml RDles lo Ws rtprd art ddcpted
applicablt la tht cue of pro•ollo111 ~ • lilt rtvlst(I pay-scale (gradt) or to 1k Miab~pu1mfflts. DoP&T aetd not be couollal lo carry oat the
lls.12,800-1"500/· rid6 DoP&T O.M.oo..22011/1198-£5tt(D) d11td Novtmbu 6, nqulrtd alMtldmcats.
1998) 11 also made ID the rtprd to the i.ont or conslcltntlon for promolloa to
I.be rtv!Std PIY•IIC'lllt {&nldt) orRs.12,000-16,50()(• and abo,t: , J ,..,..._ l - (
(ALOIC SAXENA)
"while tllc - of -d11 <1tloll ~ ,..,._. u ---., l)q,uty s«:rctary to fha Go~a n,1~ of Indio
,,,_,.,..d. th& DPC, it, tho afcnS41d cmgory of emu. 1MY GSKSJ the To
Ntobllty of dlgl,M ......,_.. i.. the • - or CON/derolloft (1ft Iha
dosc."""9 ordor) fo, lld#IM l,r flw - ' for,,,_,,,,,, Cf' tr, 0 ,-,ba- All M.inistries/l>eportmu,ts ~ tht Government of Indio
rik/, ;, ~ ,ufffd,,,t ilfPM' ,,.. - i - of _ . ., .,.,,,.
r.grd to ,,,. ,.,,,,.,,. of .,,,,.,.u "' ,,.
-,, .,_ 1M ,..,,....d rr, ,,_p ,;, -
/itej,dw/ "' ,,.. ,,.,.,. flw c,c
tlw _ , _ ;,--, -
C4f/'/to:-
D rJ .1 ..,,,,,.,,, of ?a uavl Md ""°""'I OHi« .tk,n.c. o.1d.a No. L TIit Praldtnt'I Secretarial, Ntw DdbL
IIO/JIJI/IT-&n(O) dttlwd Ap,11 9. 1996 tw"""9 to fWffll for
p, ....,, ~ - ' , . , . p,o,•rfotl. D, ...«1 of,,,._,.,.,.,,
• I\, f )WCI. tJw 0,C Ny put d MfC II, ,,. tniNfu 11,of "'1w a«tt • ff
l.
3.
4.
111c Prime Mlnlsttr'I Om«, New Deihl.
Tht Cabled Secrdarlal, New !Hlbi.
Tht R,tjya Sabluo S«nlariat, New Ddhi.
of flw ,.,,,,.1,w,g .,,poyou • tlw - of_,.,,;,,,. II _,.._,, ,.,,, 5. The Lok S.bba Stent.rial, N•w !Hlhi.
-• > u _,,,._, ,_.,. 6f oq,«.,._ wtth fl"U&r/lMd "-h•- ' t 6. TM Complrolkr ud Audit Central or laclla, Ntw Dtlhl.
7. The Ualoa Public Service Conunillloa, Ntw Ddhl wllh
MVi - - - 0110.WAt."
rtftrtn<e to thdr ldltr No.10(7/2001-AU(C) dated 30.10.1001
(20 copies).
8. TIie Sialf Sekdloa eo-1ss1on, New Ddhi.
4. Pro,blons or lllt Jlllrll&nph 1 (nl) of tilt DoP&T O.M.No.AB• 9. All 1Uacbtd olllcts uadc:r the Ministry of Penonnel, Publk
14017/1/97-Estt(RR) dattd May 25, 1998 stud modilkd In 11CCOrd111tt with Grle.-.nces and Puslon,
10. f'Atabllsluotnt Ol'llctt & Sa:ntary, ACC (10 copies)
thtst rtvbtd lnstructloas. In addition to tills, tr the guldtllntS contained In (Sml Olitn Cl>opr11)
this Offltt MtlllOl'1UldWD tolK ill conAlct witll the proriPOIH or any other 11. All Offlctn and Sectloas In the Dtparuroeal of Ptnonntl and
ntatlvt Instructions (O.Jll) isslKd by OoP&T.., this subjm, tbt nmt shall Tralnl"l-
ll. Establbh-• t {lla) Stdio• , DoP&T 0 0 copl,s). They may 1150
be tallca lo be modllkd lo lht exttnt pn»idtd btrtln, Issue separate instruclioru in tenas of lite position Indicated In
1N11"18raph 4 above.
13. Facilitation CClllrt, OoP&T - 20 spare copkt
5. The illflructlons contah•ecl in Ibis Office Mtm0randum shill rome lnlo 14. NlC (DOP&T Bl'DDCh) fo r placing this Office Mtmonndum on
roru lroon tllt datt or tis Issue. !he wtbsllc of DoP&T.
IS. Eslablisbment (D) Sec:tlon, DoP&T (500 copies)
.....6

. ,... .. . ... . :-

134 VIGILANCE MANUAL VIGILANCE MANUAL 135

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ANNEXURE - 10
53 54

No.22011/~/9 I -811 .(A) vacancy in 1he higher grade only in au officia1ing capacity when rhe findings of the
Govenunen1 of India DPC in respec, of 1he s11i1abiliry of a Govemmem servam for his promo1 ion are kept
Mims1ry of Personnel. Public Gnevanccs nod Pen,ions in a sealed cover.
Departmem of Persom,el & Trnuuug
2.2 The same procedure outlioed io para 2.1 above will be followed by the
Nonb Block. New Delln-1 l0001 subsequent Depanmental Promotiou Comminee convened rill the disciplinary
Doted. the 1,,•b Sept.. 1992 case/criminal prosecmiou against 1he Govemment servam concemed is coucluded.
OFFJCE MEIVIORAND\Thl
3. On the couclusiou of 1he disciplinary case/criminal prosecuriou which
Subjec:1: Pro11101ion of Governnu.•111 se1·vnn1~ agninsl whom d~iplinnry court resuhs in dropping of allegations agains1 the Govennnent servant, 1be sealed cover
proceedmgs n,e peuding or whose conduct is nuder iuves1ig;,1ion - or covers shall be opened. In case tl1e Govemmern se1vau1 is co111ple1ely exouera1ed
Procedure and guidelines to be followed. 1he due date of his promo1iou will be de1ermiued with reference 10 1he posi1iou
assigned lo him in 1he findings kepi in the sea led cover!covers and with reference 10
The undersigned 1s direc1ed to refer 10 Depn11me111 of Personnel & Trniuing 1he dace of promo1ion of llis uexr junior on 1lie basis of such position. Tile
O.l\ l.No.12011 286-Esn.(A) dated I~., January. 19S8 and subsequen1 instrucrious Govemment servanl may be promo1ed. if necessary. by revening 1he junior most
tssued from time to 1i111e on the above subject and 10 say thal tbe procedure and officiariug persou. He may be promoted notionally wi1b reference ro the dale of
guidelmes 10 be followed 111 1he nmne, of promotion of Gov,munelll servnllls promot ion of bis junior. However. 11·herher rhe officer concemed wi ll be e111itled ro
ogainst whom disdpliuory Court proceedings nre pendmg 01 whose conduct ,s any arrears of pay for the period of notional promotion preceding the date of actual
under i11ves1 iga1ion have been reviewed carefully. Governmem have also noliced promo1 iou and if so 10 whm extent will be decided by rhe appoiuriug amhoriry by
the judgment dated 27,S.1991 or the Supreme Conn iu Uuiou of lndin e1c. ,·~ K.V. raking into considera1ion all the facts and circmustances of 1he disciplinary
Jankimmnu e1c. (AIR 1991 SC 20 I0). As a nesuh of 1he review and in supcrscssion proceediug/criminal prosecution. Where the au1ltori1y denies arrears of salary or
of all lhe earlier i11srmc1fo11s 011 the subjecr (refoJTed 10 in the margin). Tue. part of i1. it will reco,·d i1s reasons for doing so. 11 is no, possible 10 amicipa1e and
procedure 10 be followed 1111bis 1cgnrd by the m11hori1k-s concerned is laid dowu iu enunciate exhaustively all the circumstances tmder which snch denials of a1Tears of
the sub;eque111 pa111~ of 1hi> O.M. for their gnidnucc. sa lary or par, of i1 may become oeces.sary. However. 1here may be cases where rhe
proceedings. whether disciplinary or criminal. are. for example delayed al the
2. Ar 1he time of considera1ion of the cases of Govenune.111 sen1101 for instance of the employee or the clearance in the disciplinary proceedings or
promouou dernils of Govem111cu1 serva111 111 1he co11s1dem1io11 zoue fo, promotion acquinal in 1be ctiminal proceedings is wi1h be11efi1 of doub1 or on accoum of non-
falling under 1be followmg ca1egot)' should be specifically brougl.u 10 1he uouce of availability of evidence due to the ac1s attribu1able to the employee e1c. These are
1he Depamnental Pro11101iou Committee. only some of1he circumsmnces where such deuiol can bejus1ified.
i) Gove11.uuciu -serv:m1s nndt:r suspension
3. 1 If auy penalty is imposed 011 the Govenunem sen1a111 as a resuh of 11le
ii) Govt1'1lUlent se,vallls iu r•s~• or whom a charge sh~, has been issued aud 1be
d1scipli11ary proceedings Rl'C peudmg: and disciplina,y proceedings or if he is found guihy in 1he criminal prosecmion agaiusl
iii) Gownun•nt servnnb 111 reSJ)O<I or whom pros«u11011 fo, cn111i11nl cllllr~• 1s him. 1he findings of rite sealed cover/covers shall nol be acted upon. His case for
pending promo1 ion may be considered by the nex1 DPC in the normal course and having
regard 10 the penalty imposed on him.
2. 1 Tue Oepart111eu1al Pro11101ion Conmuuee shall assess the s1111abili1y of
Govcm111e111 sen11n1s conung wi1l11n the p11n·1ew of tbe c1rcu111s1ances menuoned 3.2 l1 is also clarified 1ha1 in a case where disciplinaty proceedings have been
above along 11~1b 01her eligible candidates without raking imo considerauon 1he bold under tile relevant disciplinmy rules. ' wamiug' should not be issued as a result
disciplinary case criminal prosecution pending. The assessme111 of lhe DPC of such proceedings. 1f i1 is found as a resuh of 1be proceedings. tba1 some blame
mduding ·1111Ji1 for promo1io11 • nnd the grndmg nwnrded by i1 will be kepi in n auached 10 1he Govemmem servant: a, leas, the peualry of ·censure· should be
sealed cover. TIil" cover will be. )llJ>C'lliCribed ' Fiudiug:s n.:gardmg s uilabili1 y for imposed.
promotion 10 lite grade posl of .......... in respecl of Shri ........... (name of tbe
Gove111111e111 sen11111) No, 10 be oiwned 11ll 1he 1em1111n101 of 1he disciplinary 4. 11 is necessmy to ensure that 1he disciplinary case/criminal prosecu1ion
case/crimurnl µrosec111io11 against Shri. ..... : The proccediug of the DPC ueed only institured agaius1auy Governmeru se1vau1 is 1101uuduly prolonged aucl all effo11s to
con lain the no1e 'The findings are cootained in 1be attacl1e.d sealed cover·. Tue finalize expedi1iously rhe proceedings should be taken so 1ha1 the need for keeping
aurhonty compele.nl lo Jill 1he va<,111cy should l>e ~epara1ely ad,ised lo fill rhe 1he case of a Goven111le01 serva111 in a sealed cover is limi1ed 10 the barest miuinmm.
11 has, 1herefore. been decided 1bai 1be nppoiming authoriries co11ce111ed should

DoP&rs 0.111 No.2001 1 I 200S•Esn.(D) Da1ed I 1•h l\ovember2010

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review comprehensively the cases of Gol'erumenl ,c1vnn1;. who;c suitabili1y for 1i) the 1>ro111011ou shall be "1111til further orders" II should also be
JJ1omo1io11 to n hii;l1cr grnde ho; been kepi iu a sc~led cove, on tl1e cx1>il-y of 6 iudica1ed iu 1he orde~ tha1 Ille Gove111men1 reserYe 1he right 10
momhs from the 001e of couvc11ing 1he first Oepartu1c111al Promo1io11 Conuui11cc cancel the adboc promotion aud rewn al any time tl1e Gove111D1eu1
which bad adJudged his sui1abilit)' nud kept i1; fiudiug, iu the ;ealed cove1. Such a servam 10 1he post from which be was promo1ed.
review should be done subsequently also every >1X months. The review ,hould.
imer alia. cover the progress made in 1be disciplinary proceedmgs1c1imiual 5.3 If 1he Govenune111 serval\l concemed ~ acq11i11ed m 1he criminal
proS<1c1111011 and 1he further measu1-es 10 be 1aken 10 expediie 1be complei ion. prosecutions ou 1be ments of Lhe case or is l\1lly exouermed 111 1he depa1t111e111al
proceeding. 1he ad-hoc promotion already made may be continued and 1be
5, In spite of 1be six mo111hly review referred 10 in para 4 abo, e. there may be
0
promotion treated as a regular one from the dale of the ad-hoc promo1io11 will aII
some cases. where 1he disciplinary caseicl'iminal proscc111ion agai11s1 1he a11c11da111 be11efi1s, In case 1he Gon:mment ~ervnnl could have nonnally go1 his
Gon:mmen1 se1,11ur is 1101 concluded even nOe.1 the expiry of two years from the regular 1>romo1io11 from a da1c p1101 10 1he date of hi, ad-hoc promo1iou \\ilh
da1, of 1be nieeting of the rus1 OPC. which kepis i1, findiugs in •~1>ect of the refrreuce 10 bis plocemen1s in 1he DPC proceedings ke111 iu 1he sealed cover(s) and
Go,·cnuuc111 Set'\11111 iu a sealed covet . In such a si111ntion 1be oppoinuug autbonl)
may review the ease of 1he Govemmelll sel'\·am. pro,•ided be is uo1 uudet the acrual date of promotion of the person ranked inunedia1elr jllllior 10 him by the
suspension. 10 cousider the desirnbihry of given him ad-hoc promo1ion keeping iu same OPC. He would also be allowed his due seniority and benefit of uotionol
11ew 1he following a~-pects:• promo11ou as cuvis1111ed m parn 3 abon,.

a) \\11elher lhe promotion of the officer will be against lhe public mleresr. 5.4 If the GowlllDlenl servan1 is not acquitted on merits iu the criminal
b) \\11e1her 1he charge nre gm,·e enough 10 w;umol con1in11ed denial of prosecution but purely on technical grounds and Goverume111 either proposes 10 take
pro11101iou: up 1he 111a11u 10 a lug.her court or 10 proceed against him depanmenrnlly or 1f the
c) \\11e1her there i~ auy likelihood of 1he case coming 10 tl co11clusio11 111 the Gownuneltl serva111 i~ 1101 exonera1e<I m 1he d~J1,,11me111a l proce••<hngs, the ad-hoc
11cm' fim1Je: promo1iou granted 10 h1111 should be brough1to 011 e11d.
d) \\'he1her 1be dclay iu 1he fi11alizat1011 or proceedings. depnnmeu1al or iu ~
co1111 of law. is uo1 directly or iuclirectly nm ,bumble 10 the Go,•emm,u1 6. Tiie procednre outlined in rite preceding paras should also be followed in
sem1U1 coucemed: and considenni 1he claim for coufin11a1ion of an officer under suspension, elc. A
e) \\'berher there is aoy hkebhood of misuse of official 1>0s1tioo which the pennoueut vacancy should be reserved for snch Oil office, when his cnse is placed iu
Govemmenl se1van1 may OCCU j))' after adboc pro11101ion, wbicb may sealed cover by 1he DPC.
ndvcrwly ntTec1 1he conduc1 of 1he dep.11'lmen1ol case ·cnminal prosec1111011
7. A Go,·enllllent servanl, who is recommended for promo1ion by the
Tite ap11oi111ing nmborirr should also co1tiuh the Ce111ml Bureau of lnve~1ignrio11 Oepa11111en1al Promouon Co111111it1ee bu1 iu whose ca;e any of the circmus1:111ces
and 1nk.e then views mto acconul wh,ere rhe clep:utmental proceedings or criminal
me1111oned m porn 2 abo\'e arise aOer 1he 1econunend.11ions of1he DPC are recehed
prost'cuuon nrose 0111 or the invc..""-Sllga11011.S conducted by 1he Buretm.
b111 before be is acmally pro11101ed. wtll be considered as if Ins case bad been placed
5. 1 In ca,e the appou11iug nutbotlt)' comes 10 • couclusiou thnt 11 would uo1 be in a sealed cover by the DPC. He shall not be promo1ed umil be ,s completely
•~•inst the public in1eces1 10 aUow ad-hoc promouou 10 1be Gowmmem >el'\'anl. lus exonerated of Lhe charges agamst hint and the pro,is,ous contained in Lhis O.;\ L will
case should be placed before 1be 11ex1 DPC hold m the uonual course atier 1be be applicable itt his case also.
e$p1ry of the iwo year 1,enod ro de<:id-, whe1her 1he officer is suitabk for promouou
on ad-hoc basis \\~1ere the Go,·e111men1 sel'\'3nl is considered for ad-hoc S. Ju so far as 1be persomiel servrng in 1be ludian Audi, and Accouurs
promo1io11. the Departmenta l Promotion Conuuinee should make its assessmem 011 Department are concerned. rhese insm1ctions haw been issued after consultation
the basis of 1he 101nlity of 1he individual's record of service witho111 lnkm_g in10 wilh lhe Comptroller aud Auditor General of lndia.
accou111 the pending disciplinary case c,'iminol prosecu1ious ngaius1him.
9. H111di version will follow.
5.2 After a dcc1s1on is lakeu to promote a Go,·enmtent servant on an ad-hoc
basis. an order of promouou 1118)' be 1,sued makmg ii clear iu 1he order ns.,lf 1ha1:- Sd -
(M.S. Bali)
i) the promot ion ,s bemg made on purely ad-hoc basis and tl1e ad-hoc Direc1or
promouou will 1101 confer any righ1for regular promotion: and

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,411--,, /tu· k--1 ...Lo ~~u....

No.28034/4/94-Estt. (A)
Government of India -2-
•Ministry ·of Personnel, Pub. Gri evances a Pen,!.o r. s
(Department of Personnel a Training) In recent t imes, cases have come to notice wtier.-
.3 .
.., roa1gnat1on of officials not fa~li!"9 in. ~he two c!lt~gor.,
. .' . New Delhi , the 31st May , l994
mentioned in the preceJ!ing P~.llgraph, have been. t Cte t.,d
without in,isting on vigilance clearance and sunsequirt.iy \
~ •f••
! ..·· ' it came to: light that the said official while in sorvice
OFFICE MEMC>!IANDI.M · ..
. . ~.' .,.. ,,...
' .' had boen involved· in' aeriOl.1$ "i.rregularities_. In view of
.. ..
'• •
. • I
· this , it has, now, be1tl\ decide.d •;tl)at 1n all cases of
;,acceptance· of ··resignation,' "tlie competent authority , shall
Subject .~ -Acceptance of rea~gna~i on - Procedure in •
.• , . •. respect of. . , •· ., , . . . ·' •· . !. ·;lns1at, a1ha •111andat ory meal;Ure', on prior vigilance
'. . ,
. --.·. .
. .
•• -c:l'ear;inca•, oefcn-e ,' ta1<ing a ·decision· on. the requ,n .t for
,.• resign ation . When an authority refers .: a cue for vigilance
.. ·: • clearance, the autho;i ty copu,et.ent ;to accord vigilanc<,
The under signed is direct"e d to say .that questions ~ ·1;leara,nce &hould ensure oxpodl tious consideration of the.
liav·e b e en raised from · time to time r 09ardin~j the , '· " ,._,'-lr,equ·est/·' <' ,,. •• ., •: ." :~ • ; •• ".,.t ,. •'
requiremen t of obtaining vigilance clearance ~n respect of .• . ~-- ., ' 1··· .• ·. ·.. . t'.

an official ._b..e.foi:e .acceptance of' -resignati-on lrullc!!1°l.teirfiy 4. · In all c.ases where accept .a nce of resigna,ti on is
"hirn from -~overnment service. The motte: h ..;; b £f'<•, !,~•.,: 1·: considered--necessory , tho rostgnation -m,y bv- accopttrd-with -·
examined and the position is clarified in tho follc,wing the prior approval of tho Head of Ocpe :-tmen t l., rvt;-c' t · •
paragraphs. Group •c' and 1 0 1 posts and that of the Minister-•in-charge
in reapec t of holders of Group 'A• and ' 8 • JNSh . In ~o
2(1) Undar existing instr uctions it is provided thet' far as officer5 of Group 'A', '8', 'C' and '0' cadres ot
- where a GOVC!rnment servant who is under suspension subr.1u the Indian Audit a Ae c ounts Doportment are concern~, tho
hi4 resignation , the competent aut.horlty should examine, ·reGign11tion may be accepted by the Heads of Department o,
w1 th ref erencn to the m-,::-i t of the di ~ciplinary c as'l designated by the Cooptroller a Auditor General of lndi~.
pendir.o a~ai nst the Gove::-nment serv~nt, whether it ~9uld , Concurrence or the Centr11l Vigilance Conniasion should be
- .bo "in tho ;,u!>lic inter•st to accept t he resignation; ' •. obtairied before submission oi the cue to the Minister-in-
· Normally , LS Officers are placed under suspension only in ,:~ha.r;g~/Com9troller a·nd Auditor Generd, if th'e Central
.-., • cates of ,;rav ~ .delinquency, it would not be corr~ct ~o • , ·~ . Vigil;i(lco COllll:lts·s1on· had adltised initiation of departmental
~cc~~t the resignDt~on from ep oi=1cer unde::- sus;-ans1on. • , action aga'.,tlt the Goveinment SC!rvant coneC!rned or such
•;.,
E.cceptions to this rcle would be where the alleged ~c~1on has' beiin,, tni ti ated on the advic e of the ContraJ.
offences do not involve n:o::-al turpitude or wh~re the ...-:.,v~gilance Co~~'?si c.,n . '
' quantum of evidence against the accused officer is not t ... ~ ' •
strQng enough to juetlf)• the assumption thH if the ~. In so far · as persons sorving in the Indian Audit
departmental proceedings were continued, the officer woulo and Accounts Department are concerned , the•• instructions
issue after consulta t ion with the Comptroller and AudLtor
be removed or ~ismissed from service, or where the
departmental proceedings aro likely to be io prot~acted
that i t would be cheaper to the public exchequ• r to accept
the resignation.
.. .,, General of l f1di11 .
Hindi verGion will follow.

(11) Existing instructions on the subject ot

acceptan~o of resignation of officials against wl\0111 inq,!i.ry/
invast1gat1ol\ is eendi.n g (wht> ther he had been placed un '")T
suspension or not) provide that where such an official
..
"
, ' ,
.. ' L
( Krishna Menon )
Under Secre t ary to tho Govt . of India.
'
submits his resignation, such re•ionation should not '
nox,nally be acceptod . \fhero , however, acceptance ic '
considered nC?Cessary , in the plJblic interest, the c0111pe l ent
~ authority shal l exrunine tho case with re ference to the I • .All Ministries/Deportments
fu.J.filmont of..,c'ondi tions mentioned at para 2(i) 3bove . f • ,o • I :0• .o! the Goverruaent ot ,India.
----:- ' ,
•
2 . CCClptroller a Auditor General.
-- 2/- .'
,I •
3. Central Vigila~r. P Com.uission.
4, SGcreLlfry , Railway Board.
. ':;. . ... 3/-
•' I • 'r
'

140 VIGILANCE MANUAL VIGILANCE MANUAL 141

 'l'tiwor
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- - - - - - - - - - -e llllll
77~11,1:.(A)
ANNEXURE - 12 , or I~ll ANNEXURE - 13
Ki 1i st r ilo ~ ;. ~airs
cJ c,;,.a:t.~~ tit .Perso-:11)81 <'I'

.-1.CCEPTA'.',CE OT 6 14.1 If .., offic<r aglWlSI whom an inquiry or m,·estig•tiou is

RESIC:-.An o:-;, ~ndulg (whet!M,r he has beai placed 1111.ier suspension or 001)
:-on CE TOR subnuts !us ~ s,gnauoo. such rH1gnat1011 should 1101 norm.illy be
lfcw D-'1ni •U0001 1
\ 'OLl,":\1.-1.RY ace~•~ \V~, however, UM, acc~tance of res1gnauo11 111 such a OFFICE "WfOllalWIJf
RETDU:1\1£:'ff case ,s considered necessary mpublic 1.01eres1 because oae or more es
DCRI:\C of the follo\\'lllg conditions are fulfilled. 1M ruigna•ion niay be

emc ot V->11.LOt;g:y a~1remeut r~~•atnl

66 erQ»nt; ei:iployeea.
•

• undc:n,1111i: ta d1rectc4 ,:o •~ ~?un: .iae

ve llotoriu C 0-.:..1011 had "S"oo-.nd~-1.a
on .Pcraonnel .. ~ru.str.i.-1:1011, as roll~
'f a)(.1)1 A civ115-lrva~ aay bo all.,c4 "o
¥'iti..r<• volun~ i t ho bas qoc:J)ict-4
US ;, r..ira ;,t sorv10o a:il 11ve11 proi>pn1onuoc
~ n• io, and ur ·,,1.11."y.11

142 VIGILANCE MANUAL VIGILANCE MANUAL 143

 -------c
- 2 -

144 VIGILANCE MANUAL VIGILANCE MANUAL 145

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(R.C. Gupto)
Do;,uty Socr,:t:u-y t, tbo G :wt •

146 VIGILANCE MANUAL VIGILANCE MANUAL 147

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ANNEXURE - 14 ANNEXURE - 15
llli:~.. ,,,
-~.
~•· yr -
.\
., .,
.,
. No. 25013 '3/79- tits(,.)
Government or \ndi•,'Bhorat Sarkar
llinUtry or Ho.,, ,.rraiu/Crih- l'lant..raJ.liya
\
\
l' , No• 250 13/10/05-~ t .
Govern~nt of J'ndiO
Hinietry of Porsomel & Trolni n9
nd"'lllnilltrotlvo Raf.irq & Plt,lic •
Cr iuvoncea Gnd Punsion,
Cl.1 •

, . Department or Peraonnel dnd Ad•ini•tretiv• ft•ro~-• U>q,arlmont of Pursonnol " Trotnin9)

(Karaik Aur Praoh•anik Sudhar U JJ>hag)
r ,, ti_- New D.Jlh1, dat od •• r-=1 ~&
r ,, r , h HeuDelhi- 1 dated ). {J' Jul.,, 1 79
.
PJf.J.S.f.• •• l'lJ:l'IPMNJ>Jllt ' Subject • Schon of Voluntary ret1r1:acnt for Cm,t,ral.
?ovommc.nt E.."\:) l oyo.:a.
S',ll>,111~1rScl\&J111\ 011{.oluntary Re ti ro•nt roi- Central .cov_orM•f't
.. [Mployo•• • ,. -.. , ----
I Th• undeulgnod i~ • di~a~ted to ,roror to par• J(U)
I. or th• l'llnhtry of' Hom• Arf•ire' o .l'I.No, 25013/7/77- t a tt(,.) ,
.\ttontion of a 11 the Mtntst:r 1o:i/Dq,artmonta lp
i nvited t v tho provia l cna contat1,ed 1.n para 3 (xi 1U of
dafe'd 11tlii' '2fi , 8 , 77! '\thich Uy• down thel beforo a go,c.r nnient t ha l>-Jportnio(lt of l\tra onnal & .\,A, ' a 0,11 . tlo. 25 0 13/
I lll~Y• nt 6t'i,i~ riot da or voluntary retir ..ant, h• • h~1d 1ati1 7/77-E:Jtt. u.J clutod 21;. o . 77 which ~-.1.UA.; al;ipulato
I hia!•l.,!q°jr,•iidne1o.r t a •reraranca to th• 1ppropriote."'4Jlllj,_ni.!\ll', VII mhot a 9ovarM'Cnt aervont 9lvi nc:, not1.co ot .volWltllrY
aut.H8rl't'y th·at "",haa/ in f•ot; coaplote<I 20 yaare, ,M&V i~ 1 i:"l tlremont r.-ey oleo apply, boforc tho o,q,iry ot· tho
qual,i'Y!ni tro,fpenaion.In orde r to onGure th• cor~ct:ci••• or. t not:1.ca, for t ho leave stundinc:, to his cradlt which ne)·
leng~oll Q'11J.11'fy1n·g aall'Vice ror pension under the f\'-4; •~01111 it be 9ro ntod to him to run cunourrontly wit h tha p11rio<1
1111 ba•w '«•c1~ed•U.•~h• l'linletry o r Coane r ca eto, 1h~41iAro;1 of notice. Cn:ies hllvo coma t o eho notica of thia deport
tho 1natrudtlona ~ontainad in th• l'liniatry or r1nanoel1 Q,l'l, N . men t: whotro ths 'JC)vornm,nt sorvont. 1,lther ai>s,ly for
l"!(/\J ..S;r~' dated 6.7.1960 ( C"i>Y anclooed) , .;,. volunt.)ry ratiroll'Ont while olr oody t-e t n9 on extra-
· ~i'.~ n Wt.vill t ollov . ~ / ._. o rdinary l.o.lve .>n privat e of!al.r:1 CS' on 111,!dicol rounds
or thily apply fc. :,uch l e.:ivl) during thlo pariod o the
'> :
.,,;lt \ 'I'• I, -~•l"•
.1,, ,1" ' • ··" • ,• a
~'I l ..,.• ., • •n. , •
( 1'110:
Under Secy to tho ·covl/,
.. l}
T'rikha
of· Indi
,st notico f,:,r voluntary r otl roman t givo)ll by tbem whic h is
9 ronted to tho111 l'J'l d l :1 ollow~d t o run concurrent ly with
~. I
l I
ll ... I •• • '
100
• •
th~ perio d of such n!n: i oo. It is clarified that, tor
th.i pu,s:poaa of tlNi< iootructio na c ontain.>d in O,H , •,
0

n~~t "lt~i~t r.lH .~n~ Oeparuiaote ( u1th uaua-1. Nv11b or •~;J~a~laa)

0
rof o.cr1td t o ::ilX:v~, tho ' lh:tro-- or dinory I.G avo ' of any
Ila, 2~ 3/3/?~~l;!t&(AJ lbw Ilolhi , July·, 79 , ' tho;,?· kt.,d "a1u1t..J~IIJJl4111na ?'1 Jc,wu at:an<1,1119 s;o tho c;roait..
Rt. a ~~ '\'llk-lJJo(d~•r.llA-~~ot r \11\...
Copy t o:- ~nc~~~~~,t'
r. .:_______ vlt.lt..l\..!.!l.U2.-:rJ.Qcl
~: - i - ~. rutlrerrpn.1u.
.,.J:. no~~'l.al vnn 3m...
C l 11 . c , Tt,r . t , U,Q. llo.792-T,-A/12-78 dt..16, 6 . 79.
UPSC .J , ?. . ln eo fQJ.'. as pur:1:>n.1 :iorvi n<J in t:ha Indian t.u,dlt:
eve ond .\ccounu a:i,ort~rit' a r n· 0:,1,c..rno~ T.booo :ir (l:.ro i s,;
Conw. ro r l . l'I, AlUhab "d
~ll U.T. Ad11oe. l n consultatio n with tho C01'l)t.J:u ll or ond i,uditor !'.\-,nor l
IU l Zooal Council•. of lrn11.a t
Lok S~h• ,'Rajya Sabha seott. .;( q<l.t.(O l0,7'1>< ~

i Supra•• Court o rlndia

All attached and oubordil>•t• o rr1 coo o r
IIHA & DOPAR
{;. .A'Ql;J-lllN,
DlRIIC'TOR

;JI
All Seo tiona of ~HA & OOPAR

( 1'1191
•S,I- I J
ffi ha) All tlinlstrioa/0.-,portmcnta vf t t,;, Covt . of India
with uau:> l nllllOar of :,pore ccr,1oa ,
..-
Under Secretary to th.Covorn11111nt of ndla

Copy forworouO with usual nun1'ur c. f al)41:o c~t .ia tor

in formati on GM no)C~e:.ory octi:>n t o ,-
1, Conptrollor &t s.utittor G.:noro l of IndiB !low .03 lhl,
2, Uni un .l\iblic !i<lrvic.: Ci.AM1 i.5'l1!>n, New l>,)lh1,

148 VIGILANCE MANUAL VIGILANCE MANUAL 149

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ANNEXURE - 16 ANNEXURE - 17
No. 25013 / 3 / 2003 •Ratt. (A)i
Government of India
Hinlatry of Peraonnal, P.G. a Penllklna
(Department of P•aonne! a Tralftllng)
Provlsronal pension whe~ ~panmv.tal or jud1dal proceedings may be pendin&

(1) (a) In respect of a Government servant referred to In sub-rule (4) of Rule 9, the Accounts
New Delhi, dated the l7tti June 2003
Off,cer shall authorize the provisional pensron equal to the maximum pension whk!l would have
OFFICE MEMORANDUM been admissible on 1J>e basis of qual,ty,ni serv,ce up 10 I11e date of retirement of 11>e Government
seNant. or if h~ wa$ under sm~nsion on the date of retirement u_p to the date immediateJy
ntral precedina the dale on which he was placed under suspension.
Subject:• Scheme of Voluntary Retirement for
Government employees.
----,,\., ...
Attention or all Ministries/Departments Is Invited o the 2. cases can occur where a permanent Govemmv.t servant who has bttn granted 1nvalrd pension
provisions contained para 3(xlli) or Department of Pe nel & un~r Rule 38 or compensation pens,on on abolition of permanent post under Rule 39 of the CCS
Training O.M. No. 25013/7/77-Estt.(A) dated 26.8.19 and (Pension) Rules, 1972, at a comparatively vouncer aae, Is re-<!ml)loyed subsequently and after
darlflcatJons contained In O.M. No. 25013/10/85· tt.(A) renderine temporary servke of not less than 20 tnow 10) years ,s either deda~d to be permanently
dated 5.7. 1985 on the above subject. It has been lald wn In
incapachated for further se:rvtee. or finally re·tircs from service on attainina the aee of
the ON'lce Memoranda referred to above, that: a Gover ment
servant giving notice of vOluntary retirement may also pply, superannuation. Suell a servant will become elieib4e to earn a second pension in respea of his
before the expiry of the n ouce, for the leavf: standi ng o his temporary servke. A question arises whmer such a person wdl be ehglble 10 exercise the option
credit whlct1 may be granted to him to run concurrent! w ith available 10 a re-employed pensroner under sub-rule Ill of Rule 18 of the CCS (Pension) Rules. 1972,
the notice period except in the case or Extra-orolnary Le ve os which is to be exercised by a r-mployed pensioner within three months of his confirmation in a
such leave whether on medlcal ground or on private ffalrs
am nnt. he termed a,; leave standing to the cred of a permanent post. The exerose of such option enables him either·
Government servi tnt. I n~-, n6ttc1•-h11-:o "eP.11 reviewed nd It
has been dedded to m odify t he provisions contai ned In
(xiii) o f O.M . No. 250l3/7/l977· Estt.(A) dated 26. 8.19
O. M. No. 250 13/10/1:lS·E!.tt.(A) dated 5.7 . 1985 as foll

Para J(xHII A Government servant glvtng notice of v01 ntary

rettremP-nt may a1so apply, before the expiry or the not! e, tor
the leave standing to his credit which may be granted o him
to run concurrently with the penod or notlCe. Extra· lnary
leave Is not termed as leave standing to his u- t and
therefore, It cannot run conamently with the period or notice
given by hi m for seeking voluntary retlreu,ent. In se, a
Government se rvant applies for vol untary retlremen while
already on extra-ordinary leave other than on medical
the notice period need not be Insisted upon and his
may be accepted with Immediate effect provi ded he I
from vigilance angle . However, If a Government serva
already on extra- ordinary leav~ on medli:al ground,
tor voluntary retirement, the notice period, if any, gl may
be ar.cepted and he may be allowed to retire after the expiry
of the notice perto.l subject to vl9llance clearance.

2. tn so rar e s persons survtng In t.ha Indian Audit and

Ae:c::ounts department a ro cono:rned, tt'tese o rdef'S tssuo tn
consult,a tlon wit h the C o mptrolle r and! Auditor General of
India.

l '
q ,nt....,,.."..,,
• ( V .A. PllLLAX)
Un der 5ecret.a.rv to the G o vernm ent. of :rn dfa

150 VIGILANCE MANUAL VIGILANCE MANUAL 151

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ANNEXURE - 18
MOST IMMEDIA TE -2-

No, 11012/11/2007-Estt. (A) C) Vigilance dearance shall not be wittneld i.lfess (i) the officer is
Government of India lMlder suspension (ii) a chargsheet has been issued against the
Ministry of Personnel & Public Goevances & Pensions I officer in a disciplinary proceeding and the proceeding is
(Department of Personnel & Training) pending ( iii) 01 ders for instituting disciplinary proceeding against
the officer have been issued by the Disciplinay Authority
New Delhi, provided that the chargesheet Is served within three months
Dated the 14111 December, 2007 from the date of passing such order (iv) chargesheet has been
filed in a Coc.r1 by the lnvestigabng Agency in a aiminal case
OFFICE MEMORANDUM and the case is pending (v) orders for instrtuting a aiminal case
against the officer have been issued by the Disciplinary
Subject:- Guidelines regarding grant of vigilance clearance to members of Authority provided that the chargesheet is served within three
the Central C1vtl Sel\llces/Central Civil posts. months from the date of initiabng proceedings (v1) sanction for
invesbgal.lon or p(oseo.Jtion has been granted by the Competent
Authority in a case under the PC Acl or any other criminal
The undersigned is direaed to say that the matter regarding guidelines matter (vti) an FIR has been filed or a case registered by the
for giving vigilance clearance to members of the Central Civil SeMcesl ooncemed Department against the offioef provided that the
Central Civil posts has been reviewed by the Depar1ment of Personnel & charge sheet is se,ved witllin lhree months from the date of
Training and it has been decided lhat the following guidelfnes for the grant of filing/registering the FIR/case and (viii) The officer is Involved in
vigilance dearance to the Government seMIIlts belonging to the Central Civil a trap/raid case on charges of coouption and investigation is
Services/ Central CIVIi posts shall be applicable wrth immediate effect. pen<fu,g.
1 These orders regarding accordance of vigilance clearance lo members d) Vigilance daarance shall not be wittneld due to an FIR filed Ol'l
of lhe Central Civil Servk:es/posts shall be appflcable with respect to (a) the basis of a pnvate complaint iness a c:hargesheet has been
empanelment (b) any deputabon for wt11ch clearance is necessary, (c) filed by the investigating agancy provided that there are no
appointments to sensitive posts and assig • nents to training programmes directions to the contrary by .a competent court of law.
{except mandatory training). In all these cases, the vigilance status may be
placed befae and considered by lhe Competent Authority before a decision is e) Vigilance clearance shall not be withheld even after sanction for
taken prosecution if the ,nvestigabng agency has not been able to
complete its investigations and file charges within a period of
2. The C1tCUmstancas under which v1g1lance clearance shall not be two years. However, such vigilaice clearance will entiUe the
withheld shall be as under officer to be considered only to be appoint9d to non-sensitive
posts and premature repatriation to the pared cadre in case he
a) Vigilance Clearance shall not be witttleld due to the filing of a is on deputation and not for any other dispensatiOl'l fisted in para
complaint. unless 11 1s established on the basis of at least a 1 ofthisO.M
p(ehminary inquiry or on the basis of any information that the
concerned Department may already have in its possession, 1hat 3. In cases where compl8lllls have been ref81T'8d to the administrative
there ,s. pnma faae, substance to venliable allegatlOlls authonty concemed, and no substantive response has been received from
regarding (i) corrupbon (n) possession of assets such administrative authority concemecl within three months from the date on
disproportionate to kslown sources of income (iii) moral turpitude which the reference was made, the Disciplinary Authority may provide e copy
(iv) violation of the Central Civil Services ( Conduct) Rules, 1964 of the complaint to the officer concerned to seek his oomments If the
comments are found to be prima facie satisfactory by the Competent
b) Vigilance clearance shall not be withheld if a prehminary inquiry Authority, vigilance clearance shall be acoorded.
mentioned in 2(a) above takes more than three months to be
completed. 4. Vigilance dearanoe shall be decided on a case-by-case basis by the
Competent Authonty keeping in view the sensitivity of the pt6pOS8, the gravity

•.. 3/-
••• 21-

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ANNEXURE - 19

No 11012/t.t /2007-Estt.A
Government of India
of the charges and the facts and csrCl.lmStances, an the following situations: Mini stry of Personnel, Publlc Grlevanoes & Pensions
Department of Personnel & Training
a) where the investigating agency has for.r,cf no substance in the j
allegation ix. the COi.St refuses to permit cloSln of the FIR., and ~ New Deihl, Dated 27" Seplember.2011
b) ~ the investigating agencyfinquiry office( holds the charges as ••
proved but the oompetent administrative authority differs. or the OfflCE MEMORANDUM
converse
Subject: Guidelines regarding grant of 'Vigilance Clearance' to
5 While considering cases for grant of vigilance clearance for the
ii members of Cennl Civil Servlees / Posts.
purpose of empanemeot of members of the Central Civil Services/Central
\ The undefslgned Is directed to say that It has been decided by the
Clvil posts of a particular batch, the vigilance clearance/status will conb!UI to
be ascertained from the respective Cadre Authority In all such cases, the
I Government tnat officers who have not submitted the An,-,al Immovable
•;1 Property Returns by the prescribed time would be denied vi gilance
comments of the Central Vigilance Commission winbe obtained. However, rt ~ clearance and will not be considered for empanelment for senior level
no comments are received within a period of three months, it will be
~ posts in Government of India.
presumed that there Is nothing adverse against the officer on the records of
the body concerned. 2. ACCO<dingly, in this Depar1ment'a OM No. 11012/1 1/2007-E.att.A dated
14.12.2007 , lay1ng down guklellnN regarding grant of vtgllance.dearance
6. Vigilance clearance win be issued in an cases wrth the approval of the to members of Central Civil Sen/ice$ / Posts, In para 2 a MJW sub-p«a (I}
Head of Vigilance Division for offioels upto one level below their seruority ,n will be insel'10d as under.
servio8 In the case of officers of the level of Additional Secretary/Seaetary,
this will be issued with the approval of the Secretary. In case of doubt, orders (f) Vigilance cl-ence snail be denied to an officer if he falls to
of the Secretary will be obtained keeping in view the purpose fot which the submit his annual Immovable property re1um of the previous year
vigilance clearance is required by the indenting authority. by 31 .. Ja.n oary of the following year, as requlred under Government
of India decisions under Rule 18 of the Central Civil Services
7. Vigilance ciearance will not nonnally be ganted fOI' a penod of three ! (Conduct) Rule, 1964.
years after the cumincy of the pw,ishment, if a minor penalty has been
imposed on an officer. In case of imposition of a major penalty, vigilance .;
clearance will not normally be granted for a period of five years, after the "i'-
(U1'81lCy of pi.nshmenl DI.ring the penod, the pefformance of the offioef ~
....
should be closely watched.
' ~lstries / Departments
8. Insofar as the personnel serving in the Indian audit and accounts
Oepal1ment are con<:emed, these instructions have been issued after ; Copyto:
consultabon with the Comptroller and Auditor General of India !
1. Prime Minlstel's Office (w.r.t. their I 0 . No. 600l31/C/33/2011-ES2.
9 All the Ministries/DepMJ'Tl81lls are requested to bring the above guidelines dated 15.03.2011)
for the notice of all oo ,ca, led for information and compliance. 2. Cabinet Secretariat
3 sec~ary. eve
4. UPSC
(P. Prabhak..-an) 5 C~G
Deputy Secretary to the Government of India ,t_,.Mfc (0OP& T Cell) with the requ&st ,t~~pload this O M on the website
of OOP&T 1 \ ~ "\-
1
• ✓,

154 VIGILANCE MANUAL VIGILANCE MANUAL 155

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-~--
ANNEXURE - 19A ANNEXURE - 19B

BHARAT EARTH MOVERS LIMITED

BEMLSOUDHA
BANGALORE - 560 027

Circular No ·235 , e" May 200€ : : "'" - M -;;;::

s::,,_ souc~--"
:OE~:;;._ _,?.._ SlZ: ::-

Sub· Acqu1sitJon of movable. immovable ano valuable properties by officers : rcu ar 'Jo 1632

Sue :Je-:::!aratton n' A.ss~ts S ~.ac1h:11:.s anC lntv-ati~n obtaining: sanc:11or c...,nr,g
Rule 16 of BEML Conduct. D,sclpline and Appeal Rules. 1976 imeralla provide that ouy,ng d1spesa1 ~f propen1es
no executwe v.rill enter into any Immovable property transact;on vmhout pnor
1n11mahon 10 :he Management and obtain pnor ~ermlss,on of the Management before
entering into any transact:on concerning mcvable and 1mmovabte prooerty VAth a
In terms of ex,sung rules of the Company all Executves are •equireo to stcbM,t
oe-rson having oVicial oeahngs •111tr'I the er,p:loy~e or h 1s subordinate
Deciaranon :,f Assets & 1..1aot11~es at tne time of :rst apoo1ntrren: in :ne Comoa"f
ano as o:- 31" March ol every year Ses,des trns Executives are a1s0 reou1red :o
02 O! t:ne ,i ls ob-served b'J the Managerr:"'~ aiat :he execuw,es are ge11erail'.' rot
inumate regarding acquire , 01soosa of movaole I immovable proper:ies ,~ te rms
~-e~;: rig t11e Maragemen: .n.fcrmed tetc,e e"ter.ng m:o 1mmo·1able prope~y of Cond.JC: Olsc1pl!ne & Appeal Rules of the Compa ny applicable 10 E xecu:t·,es
transaction ,.or :h~y tn·~rm ~h~ C\l anagemer.i af:e,r the trans-ac:ioris are c·Jer ri--e wn,ch reacs as below •
sa'T'e ,s ,n ,, clat.:;;n of Rul,a 16 of BEML Cordac:. 0-sc.;,l,ne and Appeal Ru.es 19,S
No emcloyee ~f the Comccmy snal 1 except .vrth ~he
03 It 1s toerefore once agmn brougm to :r.e no.ice cl all the execut,ves tna: provis:cn previous snowtedge or me competent authonty aeqult,; or
Ruu, 'c ( 11 of CDP. di&oosa of any immovable orooeny by lease mongage
cf the said rJle snould oe stncuy comol!ea w,;.• a~d are reproduced or.ce aga,n fer Ru1es
reaay reference of all execullVes purcnase sale grft or othel'Wis-e euner 1n his own ,ame-
- - - ~ _________o_,_,_n_tn_e na~e of a~ member of "~ fa'l'llly _
ta) No employee of :he Company shall ex<xpl with the previous kr.owiedge r.o emo!oyee o( tne Cor.pany shall. exceot w1t'l ;t,e
of the competent authcnty, acquire or dispose of any immovable previous sanction of tt'!e eor-ipeamt authority emer 1n10
property by lease. mortgage purchase sale gill or otherwise, either in
his own name or in :he name of any member or hJs family
.-- ~ <tule 1S 2 of CDA
Ruie-s
any transaction concemmg any tmmovao1e or rnoveole
property w1th a person or a fln,, having offic;ai oeahngs
with the '9mployee or his subordinate
Jo No employee ci me Comcary shall except ,,.1tn we
pre,ious sanction of Every employee of the Company shall have to ,numat-s
tne comcetent authority enter 1nii: ar.:, transaction concern:ng any any transae11on in. moveable orooerty ertner in his ov,.,r.
:mmovaole er r-:ovatle i;ropeny w,:h a person or a ' ,rm having cft.c1al Rule 16 il of COA name or .n the name of any memoer of tits fam11y to me
dea ings wi:h the employee or hls scborchnah: ~ules o,v,s1onal HR Deoanmen1 w1th1r one montn of sJch
transacuon. kf the value such pr.open:y exceeas
:, Every errp!oyee of the Company shaT reoon to the competent au1h<>nt1 Rs 20000'-
every transact.or concerning movaole propen/ owned or heh:! by him in
n,s own name er ,n the name of a rremoer o' n,s 'am1ly. 1f the value ~f 2, WI" •le perusing tne kmua Prooeny Returns , AP Rs) subrr nen by some ol :ne
such prooen1 exceeds Rs '5,000/- El<ecu:,ves t,.,e !olloW1n9 d1seteoanc1es >iave bee., observed -

O,t! A I execut1·.ie are n!-owen that t"e Rt..:.e ·sis t':) be stnct!/ compf1e.a 1.-ntr, as aoove 1a The Prooerty Re:urns as on Joining T rre anc tnereaner d1..ring • 990 s a·e
3r.d '/!Olatlcn of said rule shall b-e con-str_eJ as neglect ' m1sde~ear,oup a'"'O tt~ .,ot ava11aole
a;:e:ut,.-es are l,aOla tl'lems~lves- for c-0n:seclJer:: ac:1on b,P,.e--,..,ntJmatJo., sa11ct1on as "'equ,red ..;.naer CDA Rule 1611 or 1S(2 1s
1nvanao1, no! CO'T+Plif:O
(C P:--:.. irt1mat10,, 'or purcras.e a · s.:es fro- SECS ·s a sc ... o: give"
-.::_:::ev,
..---, ~ ' ~.i'ffi\
<::: d I ... 5-orr,e ~' :hE- ~s:s r~aS:>"s. reco"ce~ '=r nor--suorniss ,c ... o' .;;::a,P.5 r
IR ,< Rustagll : "'!'\e, •s ce.ak -orod;...ic:;cr. ::er od
D1reetor (HR)

156 VIGILANCE MANUAL VIGILANCE MANUAL 157

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ANNEXURE - 20
---
2

3) I! 1s also n-otad while pt:rus1ng some of tne clanficauons rrom :.he Exec~:.-1e~ ., ~ ..
"or noi comoly,ng N1th me reQu1rerr:eri· 111 t:r"""s of above sad ruIes thaf :ney
rave indicated tne ourpose n ;he loar ava,.,ng forr:,at :rom BEML Prov1oen: AB 14017/1D1/91-Eott,(RR)
Fund T l"'JSt aro also they Nere anoned site by BECS etc ana Ino1canng mat :lie Govemment. of' Indh
l'linia try or Personnel, P,C,, Penalona
same st,ould be taken as -n1Jma11on How,;,.,er ,t shoulo be noted cnat s ...cr (Q.partm., t or Personnel & Training)
,n:imanons are not ,n comohance with the Company Rules MUHi
4 1 7'ereiore w1tn a ·11ew to s-.nctlv follow the reou1rements U"lder Rule Neu o.;hi,. thef .. July, 1993.
15(" 1 '2)"' \ 3) ot CDA Rules oi the Comoany all Execuuves are nereby aov.sec
to specJficallv com·cly With tne reauIremer•c; ,n r.om,,.;
16 1 16 2 S 16 i3) of CDA Rules of :ne Compary to obta1r onor sanct<on
or Ruli:: orr1c£ "El'IOR~
lrumate the oe:alls of transacnon of p•ooerty 1botn Movable Immovable as
Subject: forwarding o r applicetion• ror other poets -
appilcaole ,vhlle buy1n9 . dIspos1ng a so to ensure S\Jbm1ss1on of deciarallon o! p dn cipl ee r aga rdi.ng ,
Assets & L1ao111t1es eve•y year ,n the prescnbed format on or oe!ore tre last date
'Jnt,I :he sarie IS replaced/ amended by tne Authonty concerned ...•'
5) I may be noted :nat non-comoliance W1th regard to tne above NIii ar.ra=t The 111dereiQ1nad is directed to uy that the que&tio~
action as deemed fit as per rules of tl'e Compary regulating the r or~rdlng or application• to the l'llnlatrua/
Dopart.ante/other Covam111., t orricaa or to the UPSC rrom
5 / Hindi ~ers,on ,vIfl folloy, can dl'datH urving 111dar the r.ova l'f1t11811t has bHn revieued.
2, lt has been decided to consolidate the lnetructions on
tha au~j•c~, Tharerore, the rolloulng in• tructi ona in
auperueaaion 0 r the i natrucUone contained in this De~art,,ont 1 s
N 11012 A 'D"•* mantloned in the mer9in are laeu1d r or guidance or all
1~in;.. 1
the Aaninhtrattve Authodtiu . .
E(st)tdt • 3, App lication or a Govern11ant urvant t or appointment ,
A • • uhether by 0l rect Racrult,nnt, tran1rar on deputation :, r
18.10. 75, tranerer , to any other po1t should not be considorad/toruarded
No . 4201Sj •irl-
4/78- (at\ (1) He la under su1paneion1 or.
(C) dt, I (ii) Dtsclpllnary proceedings ua pending again•t
,.,.19 him ar, d a cha rga ahaet has beer, issued; or
~~---!.
(111) Senction ro r prosecution , 11hara necessary hi s
been acC<>rdad by thu co.,potent authority; or
(iv) IJhora a preaecution sanctlon ta not nocasauy,
a charge shaet has baan r11ad In a court o r law
aga.tn1t hito ror crlfflinal prosecution ,
4 I.Jht.Jll the a, nduct 0 r a Covam11an t Servant ls undor lnvastl-
g;tior> (by• the CS! or by tho controlling Oepa r bnant) but the
invastlg-atlon hos not reached the atago or iuua !'' ch3 rga ah.. t
or proaacutlon aanctlon •6F tlling~~r c~.r;a.1f hH t::ror crh1lnal
pr oaacution in a court , th~ application ot s uch• Covorn11ont
urvant 11 ay be ro ruatdocl together ulth bri er colllfflants on tha
nature or ·auaga tlon• and it should alao bo msde clear that in
the avant 0 r actual 1ol ectlon or tha Covarn11ent servant, ha
uould not be released ror taking up the appolnbnont 1 lf by that
time chu118 ahnt tor l11pl,aition o r penalty 111der CcS(CCA) Ruloa ,
196S o r aenctlon ror prosecutl ~n la heuud o r • char9a ahaat lo
rUod i n a court ta prosecuto the Gavem11ont Servant, o r ho h
placed under suspansi:,n ,
••••• 2/-

158 VIGILANCE MANUAL VIGILANCE MANUAL 159

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I 2 I ANNEXURE - 21
s. Uher• Govem11ant eervents epply dir11ctly to UPSC as in
tha case or direct recruitntent, they mu,t lmmadiatoly inform
tha Head of th11 r otti ca/Oepertinen t giving details or tho
exemination/pos, tor uh1ch they have applied{ roquaating hi~
to colftllunicate hi• per11ieaion to tho Co••ias on directly. 98/\.GU60
If, houaver , the Head of the Offica/Dapartonent considers it Go\'trnmtnr oflndia
necessa ry to uithhold th• requisite pareiaaion, ha should infom
the Commission accordingly within 45 days or tne data of oloalng Ctnrul Yigiboc, Commission
lr:iri:i-i
for, receipt of applications . ln caae any situation meot1oned
in para 3 h obtoining, tha requl.ait,e permiaa1on ahould not ba
grented and UPSC aho4ld be i mmediately infomed accordingly. Sararkta Bh.,wan, Blork •A·.
In caaa e s ituati on 11entloned in para 4 is obtalning, acUon GPO Complex. IJ\..t.,
tHy be taken to infom UPSC of t hia fact aa alao tha nature, of
'.'i'tn· Delhi - 110 01.3
allagationa a,;jainat th• Government servant. It should alao be Dattd tbt 1~•• April 1999
mada clear thot in tha event of actual eiilect1on of Gov11m111en t
servant, he uould no t be relieved tor taking up the appol.ntmont ,
if tha charge ah1et/proaacut1on eanction la laaued or a chorge To
ahaat ia filed in a court tor criminal· prosecution, or lf the
Covomment aorvan t la ploced under auapanaion. All CWtf, ·igilanct Officers
' .
6. Tha achinietratlva l'liniatriea/Oepartmenta of tho Govt. of
India may also note that, in ca•• or Direct Recruitment by eeloo- 'Subjtct: Rotation of offfrfals worldn: in stnsitin posrs.
ti on viz ,, •seioction by Interview• it h the reaponalbility of
the raquiaf.tioning l'llnistry/Dopartmant to bring to the noUco of
the Comm1aaion any p:,int ragarding unauitabllity of the candidate
......
(Govt. eer vant) rro11 th• vigl.lanca angle and that the appropriate . . Instructions haw 1-n issutd from lime to time by the Central Vigilance
• tago for doing so wul d ba the a, nsul tatlon at tha time of Co=ion and th_e Department of P~onnel and Training for making rotational transfers in
prelim!nory ecrutiny i . e . uhon the caae ls refer r ed by the RSpect of the officials pos-ttd on sens1ti,·e posts at periodic intervals. These instructions are
Commiu l on to tho l'linlatr y/Oepartmenta for the comments of tho
l'linietry '• RopraaantatlvH on tho provhional a alectlon of the not bemg strictly followed and fallen into disuse.
candidates for interview by t.11e Commh alon,
2. In order to implement lhese instructions in a letter and spiril. it bas been
7. In ao far as peraonnal sa-r;ving in Indian Audl t & Accounte decidtd by the Commission that a list of sensiti,-e posts in ,·arious DepartmentvOrganisations
Depart.manta ara concemed, theeo inetructiona are iss ued in '$hould be !denti.-fied by the Chief Vigilance Officer of the Oepartme.nl/Organisation. A list of
conaultatlon with th• Comptroller and Auditor General of India,
!POSIS so 1dentifitd by the _ CVOs may b~ intimated 10 the Commission immediately
Therea~~ CVOs m consul.ranon with the Chief E.'tecuth-es would ensure that officials posted
,on sens1nve posts are rotated .,_.ery two/three years to avoid developing ,·ested interests. In

" i:c: ~R~E)

0IRECT0R(E)
T"1: 3011479
case officials posted on the sensillve posts continue to function in ,iolation of the e.mnn2
,orders, the Commission may be apprised so thal ii may lake up !he matter n~th !he concerned
Deparonent$f()rganisations for implementing these instructions.

\
To
AU l'linistries/D•eertaonta o t tho Govemment of India.
(200 spero copies)
q~ - • C,. ~-

(P.SJ-. - \ T I ~ ~ ,
All Members of Staff Side of the Departmental Council DIRECTOR
(Jo.I)

160 VIGILANCE MANUAL VIGILANCE MANUAL 161

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ANNEXURE - 22 ANNEXURE - 23

PRE\"EXT.I\"E
\ "IGILA.'-CE
~o.: 98,VGL 60
Government o( Indu

...........
wtnl V,pl.mN Commm1011

Suvlcu Shawm, Block 'A',

2. I 3 5:anrhaoam CoDlDllttee, while ourlining the pre,·en.11,~
GPO Compln, INA. mea$Ul"es, th:11 should ~ rnken to sigiuficnntly reduce corruption.
~tw Dtllu - 110 023 had 1denn1ied fouc maJor cause.s of c:onupuon. ,·iz. (1) admi.wstram.~
D>1ecl tl:t 2,. Nonmbor, 2001 delays: (ii) Goves-umen1 taking upon themsel\•es more thao wtuu
tbey can manage by way of regulatory fuocrions: {w) scope for
To personal discretion in rbe exercise of powers ,~ted in different
categories of govemmen.1 sen=rs; and (iv) cum.~me procedures
of deahog worth \1triou~ maners which are of 101portance 10 cilize0$

... ...-... in ~ir day to day 11ffairs. The CVO is thus expected to take
SubjKt·: Rotario11 of offiri~b workms ia n11~irin pon~.
-. followw.g measures oo pre\·eotfre \"igtlaoce side:

Artt.onon t> lDmed 10 Cucular No. 981\'GL60 dott<I 15• Apnl 1999 oftbt Cctn1 (i) To undertake a study of exjstiog procedure IIDd
\ r ~ • Commi,,ioc, rtprd,na rou11on of offia.ili ,.,.,1w,,
m .-un•t pom pracuces pre\·ailiog in lus orgamsation with a \"iew to
modifying those proceduce.s or procedures or practices
2 h •• lwtby clanli.d lhot po,IIJICS m lh.t \lpw,<t wmr., ~ e ..-. cia.,m,td which pro\ide a scope for corrupuoo, and al.so to find
ilO>t=U\"'t. Tbtrtfort, ti:, •l>o\·t WlrUC0011' >bouJd b. :.,ncdy foll0"'-.d wbilt lnl»ftmq
out the causes of delay. the points at which delay
officuh to .md nun'~ occ:uts and device swtable steps to mmimize delays at
3 AccordiD;ly, per-AllDll dtp<1tt<I to the \lpbD,o wins frcm opentiolLll WlZIJ' are 10 different stages;
hn•• • tem,r, of lhr••
)"Un follo\\-mg wtu<h th.y ..-. to b. •~•en,d 10 opennanal ,ru,_ In tl:t
•~ of orpmzatiotu lhot ha,-. •:..pamt cadrt for ,~Ji]anct. tl:t rotmco ::.bowd bo doot "°"'-' (ii) To undertake a re,·iew of th.e regulatory functions wilb
repom on expo;· ofte11un oftbao ynr. m • p:ut>cul.u-ofliu.
a view to see whether all of them are strictly nec:6Sal')'
and whether the maooer of discharge of those functions
and exercise of powers of control ore capable of
impro.~eot:

(iii) To de\'ice a~ua•e methods of control o.-er exercise of

discretion so a.s 10 en.sure that discretionary powers are
001 exerased arb1tranly bu1 10 a traOSparent and fiur
Sd:- 013Jl.U.r;
(C.J. lbtl>tw)
Deputy Sttret3f: (iv) To educate the C1tizeos about the procedures of deahog
with vanous marten and also 10 simpW"y the
w.mbe11001e procedures as fat as pou1ble;

(,·) To ideJltify the areas in his organisation which are

prone to conuptioo and 10 en.sure that the officers of
pto\·en integrity only are po~1ed in those areas:

{\'1) To prepare a list of officers of doubtful wtegnty-The

162 VIGILANCE MANUAL VIGILANCE MANUAL 163

 NEWFRONTIERS.t-EWDIIENtG -------c ANNEXURE - 24
c--------------e 1t11~
'dtil!lll!iil

Th nires .-ondu t) lbdes. 19

l MO "ABLE, ".U.liABLE PR.0 PERIT:

U) (i) :E
lflUIDO[
me full p1;;n;alC'IIU• ll'I

(b) ,._.,.,.,... d
cqm1Nt or bud b. r lu.m.

(d)

... TOIE 1.- S\il).m]f ( !.) ll

ttiff-tl t&nt i nppl t
&p. nil-

(:t )

(b)

m i:&,·;myCm 'B ' · -

164 VIGILANCE MANUAL VIGILANCE MANUAL 165

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ANNEXURE - 25
No. Vl/40 J/U l/0512U0II
Co, ~rnn1tnt of India
Ministry of Ext~nutl Affairs
(w) ~•d of Office. 111 tht case of• G<n-.mment ltt\,11111 holding any Group •c· or Grollfl •o• (Cl'\/ Oh•hinn)
pos1;
Pa1iala House Annut
(b) u, ttsp<et o f a GO\·emmtn1 stn,.111 on f=i!D ....,1ce or oo deputation 10 aay olbtt Muusuy New Delhi 11 0 00 1
or any othtr Govfflllllt111, tM parent cltpartmffll oo th• r odz-. o f wluch such Go,•fflUllffll ~ •
is borne or th< Ministty to which h• is adminislt'alJ\'t ly subordUlalt .. member of thal cadrt. s•• O ctober 2009
E.-.p!anation ll.- For tht pwpo"' of thi• rulo 1out' mtans. acopt wbett it i• obtained from. or Offke Mem orandum
granted 10, • .,...on ha,-iog officiJll de.tings with tht VO\' ttnmtnl •=·11111. • le- of Wl!DO\'llbl•
propeny Cram year 10 yoar or for any •trm e,ccttding oot )'tat or ~ g • )Urly rent. Sub: bsue of ordina ry passport lo Ccntrlll and State Govern1J1t111
18-A. Ro.mcrioos 1n rtLlrion to acqw..1100 and dupa..J of unmo\"3ble p,~rty oulSlde lwha
Sen-ants, rsu employc«, cw11loyccs of con5tirutional bodiu,
ond 1t1U1SaC110m with fomgi,en, etc. Municipal Corporations, et al Requiremcn1 of ldcn1ily
Certificate (IC) or No Objcct,on Ccnlficarc (NOC).
Nom,thstandulg anythmg cOOlalDed u, sub-tule (2) of Rulo IS, oo Government ,.,,_'ant shall.
excopt with tht p=ious ..,,,tion of tho, proscnbod a1uhonty • With a view to expediting the issue or passport, the Minisuy had in
Ociobcr 2006 revised the p:oceduru [n respect of Oovcmmcnt Krv:ww'PSU
(a) acquu•. by pwdui~ mongo~. !tut. gift or othtrwist. oilbtt u, his own ~ or in th• employees. er al, by introducing Identity Ccnifioatc (JC) in lieu of No Objection
name of any memt,,,, of Ill! fmuly. any imnio,·•bl• propony <iru3red owsidt lnd:a. Certificate (NOC), thereby exempting them from polie<: verification. The -Offia:
of an emplOyf.-c was required to a:nify that the provisions of Section 6(2) or the
(b) ~ of. by salt. monpgo. gift or OWt:1"150 or gn>nl any leas• 1n rtSJ)tt1 of any Passpons Act (enclosed) a.re not otu11etcd, and the Go~cnr Scrvantldcp<-ndeor
UWDO\'llbk property situated outu dt India which was ocquirod or is hold by him oitbtt in !us also needed to provide a no!Ariud affidavit (AMexure I) The spouses of such
own name or u, th• oamt ofanymembtroflus famtly; employees, end dependent children up 10 the age of 21 yew, had an option to
submit IC' for expeditious issue of p:asspon. However, mnny subordinate offices
(c) onter mro any lriln53cbon with any fort1gntt, !ort1gi, Govommen~ foreigi, orgamsanco or of both Central and S1111c Oovemmems Md PSUs h:tvc bceo found to be reluCU\nt
concern.•
or dccliniog ro issue the prc$Cli~ IC to their st40', thereby defeating lhe vcr)
(1) for tho, ac:qwsirio11, by put~. mcngag•. luse, gift or otherwi.se. either u, his own cam, or
purpose of intmduction of IC.
in tht mm• of any -mbtr of his &mily, any 1mnxm 1bl• p,cporty;
2. Oovcmment servants, rt al, wcrc required to submil rresh IC (carhcr
(ii) for tht du-posal of. by sale. mcngage. gift or o ~. or tht graru of any ltas,, in rtsp«1 of NOC) 41 1hc time of rc•i.<sue or J>IISSporl (on expiry of existing p.uspon, on
any immovabl• propmy which w.u ocqw,-.d or i5 held by !um either 1n his own oamr or in !be ~xhn ustion <lf ,•isa pages, etc) i( they \\Crc employed in a scnshi"c oftke.
- of aoy membtt oflus famil)'· Military pc:rsonn:l too were r«1uin:d to ,ul11ni1 IC for reissue of p:L!spon. rasspon
Offices were facing difitcully at the lime of reissue of p:is~po:1 to Govt scrv311L,;,
ct ni. in NTiving 01 • conclusion whether rl1cy were working in scn.<iti> <
depanmcnl.$ and, thrrcforc, fresh IC wns required or not It is not possible II'
defi ne scnsin,·e departments or seats in an e.·dmusth·e manner

3. In view of the foregoing, "itb.: view to achieving 1ranspru-cocy ond

fociliming issue of pnssporU U> lhc Gov,:nuncnt scrvonts, et al. it ha.s been
decided that :

(•J The Government cmployccs/J>Sll cmploycwcmployees of Municip., l

Corporations/constitutional bodies. ct al, would hnve an option 10 submit
CJlhcr existing IC (formal modified to include l'.lltionalily, ond is enclosed)
or NOC [without ccrtiliu1io11 of Sce1ion 6 (2) of l'as,;poru Aet; format is
cnc!oJed]. If IC is submitted, passpon will be issued wilhou1 police
,·ctilication: and if NOC i, submuted, passpon wJli be issw:d on pos1•
police verification basis.
(b) AMCXUf'C I in rcspeet or cmpl~)~ thern5el\'CS Md child1cn (uptO 18
yCIU'S) is dispensed with Howc,u, spouse " ill require Anncxurc l, if IC i~
submiued.

166 VIGILANCE MANUAL VIGILANCE MANUAL 167

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-~--
ANNEXURE - 26
(c) L>,:p,:nJcms "iz. ,puus.:, and children uptn 18 )CUN uf •s• (opm"1 21 YI"
DI prc>Cnt, to olisn w;th minnr p,es.pon rcgu1>tiun<) onl) ha,'< the or1ion
or ,ul•nitung IC. Otherwuc. the) c.,n appl) under tht nonnal pru.:css Section 6(2) in The Passports Act, 1967
(as any orhc:r public)
(d) NOC (not IC) is rc:quircd for n:issut ot pa~n to (',o,,c,nr.>cnt (2) Subject to the other provisions of this Act, the passport authority shall refuse to
c:mployc<:$, ct al, on eipiry of p.is$JlOl'VC>.h:lu,1ion of ,is:, p.,gc:s CtC. issue a passport or travel document for visiting any foreign country under
Huwc,cr. no police vcrifica1ion is required nt rci=c 1u,gc. For rcissw,,
dcpendc:n1s should provide fresh IC (and Annexwc I alS<! by spouse) or
clause (c) of sub-section (2) of section 5 on any one or more of the following
.apply Wider nom1al process £No prc-polir-<' veril~otion is 11onn.,Uy grounds, and on no other ground, namely:—
rcquirl'<I for n:ii;suc under nonnal process).
(c) While IC should be issued on official sUllioncl') (h:ncrhead); NOC on (a) that the applicant is not a citizen of India;
plain paper v.'ith signatun:l&IJllnp can be acccptc:d. on lhc assumptio~ 11,..t
•ucb offices ore using plain p:,pc, for <13) tu day t01Tbpo1ukoce (b) that the applicant may, or is likely to, engage outside India in activities
However, lckphone!fax and e-mail (10 the exlent available) be indicaled ill prejudicial to the sovereignty and integrity of India;
NOC ro, I.he purpose of confinnation. if cllilt,d for. a1 SM discretion of the
Pa.~11 Office. \\ttich should be replied 10 im,ncdiarely. (c) that the departure of the applicant from India may, or is likely to, be
(f) Militnry pcno~I with c/o APO addrcu (q; S6 Al'O/99 APO) mn)
detrimental to the security of India;
submit applicationi at !heir stauon of posting or a1 1hci1 ~rmancnt
addn:ss, and wri1e llieir pennancm addn:ss in pas.,pon lagaUISI pn:senl (d) that the presence of the applicant outside India may, or is likely to, prejudice
address otherwise), provided IC (NOC nt n:issuc) is submincd a.nd
pcrmMenl address is ccnifiod by their office. Spouse of such personnel the friendly relations of India with any foreign country;
(and adult children, when spoWIC lus expired/divorced) mAY receive the
p:1$SJ>Or1, "ith authority lcucr, either by hand or by poSI This would •pply (e) that the applicant has, at any time during the period of five years immediately
to rimibrly placed Air Foru/N•vy personnel as well. preceding the date of his application, been convicted by a court in India for any
(g) If Govt/PSU cmploycc:s, ct al, arc uan.•ferTcd nfler >1Jbrniss,on of the offence involving moral turpitude and sentenced in respect thereof to
passport appliclllion or ~port is returned undtli"cred d~ to such
1rarufer. lhe same be rc-disp.,ichcd, on request (alon; with copy .,r imprisonment for not less than two years;
trumfcr order), •I 1hc llC\\ &ddre,ss, iulcr co1Tcc1i~nlcnJoncmen1 of
addrcst. Such pcr.!Ons need nol submh mi!«'.cll•n<QU5 Conn & fees for (f) that proceedings in respect of an offence alleged to have been committed by
ad~ss com,etion However, i( police vcrificnt,on wa, requueJ and wus the applicant are pending before a criminal court in India;
no1 eompleted, ii will be done a1 the new plaec.
(h) The validity of IC/NOC v.ill be •ix months from dntc of issue. Expired (g) that a warrant or summons for the appearance, or a warrant for the arrest, of
IC/NOC will no1 be ncx,:pteJ. the applicant has been issued by a court under any law for the time being in
4. Mln,ru,cs of the Cc:nu~I Oovenuncn1, oJ\d the Su.1c: Go,cmmc:ntsl Un:on force or that an order prohibiting the departure from India of the applicant has
Tcmtori~ ore rc:qucsicd to circulate these itUtruCCion5 10 Ill! 1hc emplovees been made by any such court;
working under them, incluJinll 1hos.: in n1tachcd and subordinate offices, &11d
SIAIUIO,Y bodies. (h) that the applicant has been repatriated and has not reimbursed the
expenditure incurred in connection with such repatriation;
S. Thi• S\1p.:rscedcs •II p<cvious in~1ructions on the subjea of issue of IC:/
NOC fo1 the purrosc of issue of nrdin.'U')' pa.sspon. (i) that in the opinion of the Central Government the issue of a passport or travel
\!..<\,) document to the applicant will not be in the public interest.
(K.R RaJIUI Pilla,)
Deputy Sccrc1nl') 10 the Oovttnmcnt of India
Telefax: 01 l 23387013
ro
,\II Minimie<IOcplll1mCOlS oflile
Go"cnuncm of lndi~ (/\tin; Join1 S«rclAI)'/Adm}

The Cl11ef Secretary

All Sui1c OovcmmcntvUTs

Copy to RPOs/POs.

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Nn , ll0l3/7/-0.r.,. -::at t . ( ., ) ANNEXURE - 27 ANNEXURE - 28

Oovernmon,; ol" I:1di.,
l!j,nistry or p .,rson nel. , Publi c No. 11013/ 8 / 2000-Estt. (A)
Criev!I.D ces & P ensio:-&.:
(Dop&rtment o r PersoMel. & Tni.ning) Government of India
.... Ministry of Personnel, P.G. & Pensions
Nev Del.h i , d ated I.he l8t h:lo.;· , 9 '1
( Department of Personnel & Training )

OFFICE MS10M "IDU!1

SUb l oct , lre qu l.re u ma or ·t~illg prior. per,lb :.1.on New Delhi, dated the 7th November, 2000
by Covem.,e n t ser v!lnts t o r l&:ivin
stat ion/he.dqu~rt or a - c l ¼rific~t 1on
r ~curdj;J:l8 .
OFFICE MEMORANDUM
Tt.o U.'l~~r s 1.:;n ~d 1s d irected to s ~y th~t doubts h•v e
been c Xl)re ssc-d by l-11ni s tr i l-3/De;nrt.~cnts "'s tv v:\Oth or Sub. Requirement of taking prior permission by Government
o Gover n ~Jent s uvant 1s r equir ed t o t -311:e ,iormis sion b.-.fore
l.&1>,ving s:t•ti on/bea.lquartei:s during l.eave or othcrwi:ie, servants for leaving station/headquarters - Clarlflcatlon
e s pecio.l.l.y f or visits abroad , regarding.
2, Attentio n ot the Ministri6e/De part01gt s is invited
1n t h is connection t e the provisie n a of PB 1.• vbich provides:
t hat 1unl.ess 1n any cose it be o t her wise distinctly provided The undersigned Is directed to refer to this Department's
the whole time ot a Covernnent serv,i,nt 11 at the disposal. O.M. No. 11013/7/94- Estt. (A) dated 18th May, 1994 on the
of t ho Covernmmt which pays hie ,., .. , Article 56 or t h e
Ci vil S ervice Regul.s tions el.so provide s t hat •no off icer subject mentioned above In which it has inter-alla been clarified
is 6nti tl.ed to p:iy o.:wi all.o..-ance to r a.'ly time ho i.uy spend that separate permission may not be necessary where a
beyo n d t he 11oJ. ts or his charge vithout autborit y , 1 It
is impllci t 1n these prov1sions tb:lt a Governmm t s ervant Government servant has Indicated his Intention of leaving
is r e quired to tllko perniasi on fo r leaving station/heitd- headquarters/station alongwlth leave address while applying for
quorter s . It is t hus cl. ell' t h::t such permissi on is
es s 1mtiol. beforo a Covernt:ent so rv:mt J:eaves his leave. It has also been clarlfled that In case leave applled for the
stat ion or h e 3dq.1arters snd CJOrc so wen he pro pos e s purpose of visiting foreign country is sanctioned, It would Imply
to g o abr o 'ld during such absence. , 'ls such v i ait may
h1ve vi.der i mpliciltions . that permission for going abroad Is also granted and, therefore,
leave sanctioning authority should keep thi s aspect In mlnd while
3, However , sep'lr!Lte perm1ss1on ..:>.y not bi. nec ess"> ry granting the leave applied for.
v horo !I. Cov.-rnmcnt ser vant hss 1ndic'lt t,d his intention o f
l.o'lv ing headquvt er~stn t1.on ol.ongvith losvo address while
!lpplying tor J.eo.ve . Tho le1 V11 oppl.ic,tion form preacr i bed 2. The above Instructi ons have been reviewed and it has been
,md•r t.h<> CCS(Lesve) RUl.u, l.972 cont!l.1.ns n e cos•~Y col.Wllns decided that 'while granting leave the sanctioning authority shall
i n this r og'lr d . I n c!lso tb" l e 'lve iipp llro .to r the purpose
or visiting fort-itn ooWltry is oanctio n ed , it 1,Qulcl i mply take prior approval, if requ ired, for permitting the officer to go
th~t po-mission tor &o1-ng o0brolld 1-s ,:iJ.ao gr 'lntod· :ind abroad as per the existing instructions.'
thoretoro 1~Vll ae1cti on1-n~ a uthoritlts should k eep
this aspect 1n mind vh.J.l.c gr:t.nt ing the l.e:>.ve a ppli ed f o r .
In t.ho oaao of or ficors •.mo !U'e competent to sanction 3. All Ministries/Departments are requested to bring these
leilve for them,ol.ves they ~'loul.d obtilin perrdssi on
tor le::ving st'ltio n tmr.i th•ir supe rio r :mtbor1ty. Instructions to the notice of all concerned under their control and
ensure that these are strictly followed.
F:dl1n-o t o obtain p, rmiss i on of conp:,tcnt !lUtborit y btfo r<1
l.e!lvi.ng s t!lti on/h.,:,dqu">r h rs cs pe c1·:l.l;· r or r or ei:;n ·:1s'.. t s
i G to be v1.-v cd se riousl y :nd m~)' mt ~ l disciJ)lin , ry ,.ctfon . r..--- -r-
(smt. S.Bandopadhyay)
4t . nt.niatr yct Fin-:.nc<> t tc. ,.r s r<o qucs t.d t o ),ring tM Director
conten ts or this Offi ce H6oo r ·.n, Wl t o th< noti ce. or 1l l To
Cove rnm~nt s t.rv:ints s erving WldH thfir c ontrol -:.nd
c:1sure th,.+; t h, s, 1r e str ictly f ollowed by lll oonc«rnt·d ,
Hindi VHsi on "111 °f ollov. l ·-~ , , ,C<'-1
( ICRIS:-.i-;,1, IC'!O! )
USD~,, s ::cn::T.J:1 TO T!IS ,;;cvT. o; I '>Dl-

170 VIGILANCE MANUAL VIGILANCE MANUAL 171

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ANNEXURE - 29 ANNEXURE - 30
Bencn: DMa1hut. KAsthana.. sChandra, YNandan. NOlha
No. 11013/ 7 / 2004--Es tt. (A)
Government of India JUDGMENT D.S. Mlllhui;, CJ.
Ministry of Personnel, P.G. • Pensions
( Depa rtment of Personnel a Training)
1. These four Special Appeals NO$. 129, 137, 189 and 234 of 1974 arise out of writ
petitions undl!f Article 226 of the Constitution, wherein ordeJofsuspension pending
inquiry was challenged. Jai Singh Dixit, respondent in Special Appeal No. 129 of
New Delhi, dated the 5111 October, 2004
1974, Rama Kant Saxetla, respondent in Special Appeal No. 137 of 1974, and
OFFICE MEMORANDUM Ganesh Dutt Josl,i, respondent in Special Appeal No. 234 of 1974, were suspended
under Rule 49A oftlle U.P. Ovll Services (aasslflcatlon, Control and AppeaO Rules (1o
Sub. : Requirement of taking prior permission by Government servants
for leaving station/headquarters. be referred hereinafter as C.CA Rules), whlle lnder Deo Tiwarl. respondent In
Special Appeal No. 189 of 1974, undl!f Rule 1A of the UP. Punishment and Appeal
Rules. The order of suspension pending inquiry was quashed in tile first two Special
The undersigned Is directed to refer to this Department's O.M. No.
11013/7/94-Estt. (A) dated the 18111 May, 1994 In which It has.,lnter alla, Appeals because the respondent was s11Spended before the framing of charges or
been clarified that the Government servant should take permission for completion of tile preliminary inquiry, and there were no compelling or exceptional
leaving station/headquarters especially for private visits abroad. It has circumstances to depart from the! normal rule not to pla«:i! a Government servant
also been daritied In O.M. No. 11013/8/2000-Estt. (A) dated the 7tb
November, 2000 that the leave sanctioning authority while granting leave under suspension before tt,e framing of tt,e charges. The order of suspension was
shall take prior approval, If required, for permitting the officer to go quashed In the other two sped.II appeals on tt,e basis of the Full Bet'lch decision In
abroad as per the existing instructions. Despite these instructions, the State of U.P. v.Jawahar Lal Bllargava (1974)A.LJ. 282. The State of Uttar Pradesh
instances have come to the notice of the Government where Government
servants have left their headquarters without taking prior permission and and tile heads of departmentl or authorities «ir1a!ffled, wflo were respondems in
proceeded abroad. the writ peti1ians, have pA!f-efred these special appeals wflich came up fur hearing
2. The High court of Delhi, In Its Judgment dated the 28,i, May, 2004
before a Division Bench which felt that in view ofthe deletion ofthe Note to Rule 49A
In the Criminal Writ Petition No. 1004/03 (Chandra Kumar Jain Vs. Union ofthe C.c.A. Rules with relrospedive effect, the decision in tile above f'1lll Bench ase
_of India,) has observed that a Government servant who had visited some required re<:ol\Sldemlon. Slmllarty, the DMslon Benchfeftthatthe observation made
foreign countries 161 t imes on private visits without permission was
never questioned and no one In the customs and the other departments
In tt,e f'1lll Bench case reganllng absence of Inherent power to suspend an employee
suspected why a Government servant was so frequently (161 times) . required recoMideration. The Division Bench did notframe any question of law, but
maklm;i private visits without permission. The High Court has, therefore, referred all tile special appeals for hearing by a larger Bench. This is how tile miltter
directed the Central Government to frame guidelines on foreign private
visits of t he Government servants.
h1!6 come up before this f'1lll Bench offive Judges.

3. Keeping In view the observation of the High Court t he

3. The hearing ofthe special appeals on merits by all of us situng tDgetflerwill result in
Ministries/Departments are requested to bring the existing instructions unnecessary waste of time. We are, theref-ore, e:,q:,ressing our opinian on tile
on the subject matter to the notice of all concerned and ensure that question of law involved and thereafter 1he speaal appeals can be heard and
Government servants take prior permission before leaving for visits
abroad as required under these Instructions. When such permission. to
de.cided by a Division Bench.
visit abroad Is sought the Government servant Is required to furnish 4. The material partofRule49AoflfleC.C.A. Rules runs as befow:
Information relating to the proposed and previous private visits as per
the proforma (enclosed). A Government servant again.rt wflose «ir1d1Kt an inquiry is contemplatl!d, or is
Hindi version will follow .
proceeding, may be placed under suspension pending Ille «ir1dusion of the inquiry
p.~ in the disaetion of1he appointing authority:
(Smt. Pratlbha Mohan)
Director (E-n) Provided that in Ille case of any Government servant or dw of Government
servants, not belonging to a State service the appointing authority may delegate its
State Of Uttar Pradesh vs Jai Singh Dixit on 11 November, 1974 power undeJthis rule to1he nextlowerauthority.
Equivalent citations: (1976) ILLJ 246 All
Author: D Mathur

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N.B. As a rule, suspension should not be recorded to unless the allegations against quashed by the single Judge will make no difference. While re-hearing the case we
the Government servant are so serious that in the event of their being established, must proceed from the facts as were, in the eye of law, in existence at the time the
they may ordinarily be expected to warrant his dismissal, removal or reduction. jurisdiction ofthis Court under Article 226 was invoked.
Suspension, where deemed necessary, should, as far as possible, immediately
10. At this place it may be observed that the law altered by a subsequent Amending Act,
precede the framing of charges and their communication to the Government servant
applied retrospectively, was given effect to even at the stage of the review of the
charged.
judgment under Order 47, Rule 1, C.P.C. in the Full Bench case of Mohammad Azamat
5. Rule 1Aofthe U.P. Punishment and Appeal Rules has been similarly worded. Azim Khan v. Raja Shatranji (1963)A.L.J. 92.
6. The Note below Rule 49A of the CC.A. Rules was deleted under Notification. No. 16 11. It cannot be denied that the Bench hearing the special appeals has the jurisdiction
111-1973-Apptt. (3) dated March 23, 1974, and the Note below Rule 1A of the not to base its judgment on the earlier decisions if in its opinion, the view expressed
Punishment and Appeal Rules was deleted under Notification No. 18/111-1973 (3) therein is erroneous. However, if the earlier decision is by a concurrent or larger
Aptt. (3) dated March 23, 1973, and in both the cases the deletion was to take effect Bench, the case or the question of law involved must be referred to a larger Bench for
from October 29, 1968. reconsideration. Thus, where the earlier decision is by a Bench of lesser number of
Judges, the larger Bench hearing the case may not follow the precedent and arrive at
7. In all these special appeals the meaning and scope of these rules is in issue.
its own findings, keeping in mind that frequent changes in the interpretation of law
8. The learned advocate for the respondents in the special appeals (who shall by the High Court can cause injustice to persons to have acquired rights or have acted
hereinafter be referred to as Government servants) has raised two points with regard in accordance with the law laid down by the Court. This principle was recognized in
to the propriety of the constitution of a larger Full Bench to reconsider the points the Text-Book of Jurisprudence by G.W. Paton, Third Edition, at page 192, as below:
recently decided by a Full Bench, not only while deciding the main special appeal but
Undoubtedly, reversal of a precedent may cause injustice to those who have shaped
also an application for review of the judgment, and the nature of jurisdiction
their conduct in reliance upon it, but this is an argument for extreme care in
exercisable by the Full Bench. It is contended that this Full Bench is not sitting as a
overruling precedents rather than for a complete denial ofthe power.
Court of Appeal againstthe judgment in the earlier Full Bench case ofthe State of U.P.
v. Jawahar Lal Bhargava (supra) and on the principle of stare decisis the earlier 12. The observations of Blackstone quoted in Law In The Marketing by Sir C.K. Allen,
precedent, namely, the decision by the Full Bench, should not be interfered with. Sixth Edition, at pages 224 and 225, are similarly as below:
9. The interpretation of Rule 49A of the CC.A. Rules and Rule 1A ofthe Punishment and It is an established rule to abide by former precedents' except when former are '
Appeal Rules has been raised in these Special Appeals also and, therefore, what this contrary to reason' or' unless flatly absurd and unjust.
Full Bench is entertaining is not an appeal against the decision in the earlier Full
13. Similarly, the observation of Lord Tenterden, C.J., quoted at page 184 of the Law
Bench case but is reconsidering the correctness of all the matters arising in the special
Quarterly Review, Volume 50 is:
appeals on such appeals being referred to a larger Full Bench. It shall have to be kept
in mind that the decision of a single Judge ofthis Court is also a decision ofthe Court The decisions of our predecessor's the Judges of former times, ought to be followed
provided its correctness is not challenged in appeal. If challenged in appeal the and adopted, unless we can see very clearly that they are erroneous, for otherwise
matter can be reheard exercising the same jurisdiction which the single Judge there will be no certainly in the administration ofthe law.
possessed while originally entertaining the writ petition. (See Lachmeshwar Prasad 14. In the State of Uttar Pradesh v. Firm Dea Dutt Lakhan Lal (1965) A.L.J. 862; it was
Shukul v. Keshwar Lal Chaudhuri A.I.R. 1941 Federal Court 5, Gummalapura Tagina observed by a Full Bench ofthis Court:
Matada Kotturuswami v. Satra Veerayya and Amarjit Kaur v. Pritam Singh . Further, as
Similarly a High Court in India is not bound to follow its own earlier decision and may
enunciated in these decisions the appellate Court is entitled to take into
depart from it. The departure is done by a Bench of a larger number of Judges.
consideration any change in the law subsequent to the decision of the judgment
appealed against. In short, while deciding the special appeals we can exercise the 15. With regard to the applicability ofthe principle of stare decisis in the Supreme Court,
same jurisdiction as the single Judge, based on the law as amended and in force at the majority view in Bengal Immunity Co, Ltd. v. State of Bihar, is that in a proper
the tune of the hearing of the special appeals. The fact that the impugned order was case it is permissible for the Supreme Court to go back upon its previous decision,

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though it should not lightly disent from a previous pronouncement of the Court; and the amendment has been given effect to retrospectively. For amendment of the
if on re-examination of the question it comes to the conclusion, that the previous decree or order, the parties shall have to take other steps, if permissible under the law.
majority decision was plainly erroneous then it will be its duty to say so. In the instant cases, the orders passed by the single Judge have not become final and
while deciding the special appeals we can take into consideration the amended rule.
16. Our attention was also drawn to Chapter V, Rule 6 of the Rules of Court to suggest
that we must express our opinion on all points raised in the Referring Order. Under 20. Section (5 of the U.P. General Clauses Act can be of no help as the section by itself
this rule, either the whole case or a question of law can be referred to a larger Bench. provides that the provisions contained therein shall be applicable unless a different
Where the whole case has been referred to a larger Bench, we need not decide all the intention appears from the amending or repealing enactment. In the instant case, the
questions raised in the Referring Order. When the whole ease is before us, we have to intention to give retrospective effect has been expressed in clear words.
decide only those points which need be decided in the case: there can also be no
21. Another legal question which may be disposed of at this stage is the effect of the
objection, to save the time ofthe Court, to decide the questions of law involved in the
administrative instructions of the Government whether they have the effect of
case leaving it open for the Division Bench to hear the special appeals on merits
reducing the scope of the Conditions of Service Rules or are mere guiding principles,
accepting the decision of the Bench on the questions of law on which an opinion is
departure wherefrom can be made in suitable circumstances The law on this point
expressed.
can he said to be beyond controversy. In Commissioner of Income-tax. Madras v. K.
17. As already mentioned above, the Note below Rule 49A of the C.C.A. Rules and Rule Srinivasan it was laid down:
1A of the Punishment and Appeal Rules was deleted retrospectively from October
The interpretation placed by the department on these sub-sections cannot be
29, 1968. Both the Notifications deleting the Note were issued under the proviso to
considered to be a proper guide in a matter like this when the construction of a
Article 309 of the Constitution and, therefore, the changes made are in the
statute is involved.
Conditions of Service Rules as contemplated by Article 309 of the Constitution, and
not by an administrative order. It is a settled law that the Conditions of Service Rules Similarly as observed in State of Haryana v. Shamsher Jang Shukla.
can, by virtue of the proviso to Article 309 of the Constitution, be amended The Government is not competent to alter the rules framed under Article 309 by
retrospectively. See B.S. Vadera v. Union of India, and Ram Lal Wadhwa v. The State means of administrative instructions.
of Haryana A.LR. 1972 S.C. 1982.
However, the right of the Government to fill up a gap in the Conditions of Service
18. In the State of Mysore v. Padma-nabhacharya, the impugned notification or rule was Rules by means of administrative instructions has been recognised by implication, in
regarded as a rule not made under the proviso to Article 309 and, therefore, it was this case and directly in Union of India v. K.P. Josaph . The material observations are
held that it could not have a retrospective effect. The case of K.A. Krishnaswami v. as below:
The Director of Technical Education, Chepauk, Madras (1968) L.I.C. 1377, is of the
Generally speaking, an administrative order confers no justiciable right, but this rule,
Madras High Court: however, it can be distinguished on the ground that the rules
like all other general rules, is subject to exceptions. This Court has held in Sant Ram
regarding qualification for the post were amended after the Government servant
Sharma v. State of Rajasthan (1988) 1 S.C.R. 41 : A.I.R. 19S7 S.C. 1918, that although
had already entered the department service. They are merely the Conditions of
Government, cannot supersede statutory rules by administrative instructions, yet, if
Service Rules framed under the proviso to Article 309 which can be given
the rules framed under Article 309 of the Constitution are silent on any particular
retrospective effect, and not the administrative instructions (vide Ex-Major N.C.
point, the Government can fill up gaps and supplement the rules and issue
Singha Iv. Director General, Armed Forces Medical Services, New Delhi .
instructions not inconsistent with the rules already framed and these instructions will
19. It was further contended that the two Notifications deleting the Note below Rule 49A govern the conditions of service.
and 1A did not contain any validation clause and, therefore, the amendment cannot
To say that an administrative order can never confer any right would be too wide a
be given a retrospective effect. A validation clause is invariably incorporated in an
proposition. There are administrative orders which confer rights and impose duties.
enactment to upset a decree or decision which may have already been passed or
It is because an administrative order can abridge or take away rights that we have
taken and which has become final, and in absence of the validation clause, decrees or
imported the principle of natural justice of audi alteram partem into this area ....
orders which have become final will not be affected by the amendment even though

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We should not be understood as laying down any general proposition on this up by executive instructions. Consequently, none of the executive instructions can
question. But we think that the order in question conferred upon the first respondent have the effect of amending the Conditions of Service Rules duly framed under
the right to have his pay fixed in the manner specified in the order and that was part Article 309 : the maximum that can be said is that the G.Os. give out the policy of the
of the conditions of his service. We see no reason why the Court should not enforce State Government, but they are not such as can be enforced in a Court of law. The
that right. executive instructions contained in the two G.Os. can simply be regarded as a guide
for the appointing authority, being of an advisory nature.
22. Briefly speaking, it can be laid down as a safe rule that no administrative instruction
can override, enlarge or reduce the scope of a rule duly framed under the proviso to 26. To avoid any controversy in the future it shall be proper to first of all consider the
Article 309 of the Constitution, though the administrative instructions may be unamended rules and thereafter the effect of the deletion ofthe Note.
regarded as a guide for the exercise of jurisdiction under and in pursuance of the
27. At this place it may, however, be observed that the Note appended to a rule or to an
Conditions of Service Rules duly framed.
enactment does not, ordinarily, restrict or enlarge the scope ofthe main provisions: it
23. Rule 49A ofthe C.C.A. Rules and Rule 1A ofthe Punishment and Appeal Rules were generally serves as a guide line for the officers authorised to take action under the
incorporated under Notification, dated January 30, 1953, duly made in exercise of rule. The Note has, however, to be read along with the main provision.
the powers conferred by the proviso to Article 309 of the Constitution, to implement Consequently, where the Note is directory and not mandatory, it shall, in no way,
the recommendations of the Disciplinary Proceedings Inquiry Committee. They were restrict the powers conferred under the main provision; but if the Note has been
amended from time to time. To implement the recommendations contained in the worded in a manner which restricts the power conferred under the main provision,
Resort of the Disciplinary Proceedings Inquiry Committee, the Government issued and is as mandatory as the provision itself, it can be said that the Note is an
certain instructions under G.O. No. C-305 IIP- 1953 dated January 31, 1953. A important part of the rule and has the effect of placing restrictions in the exercise of
perusal of Annexure I to Ill to the G.O. makes it clear that Annexure I and II were jurisdiction. To put it differently, if the directions contained in the Note are directory
issued under the proviso to Article 309 while the instructions in Annexure Ill were by nature, they shall not have the effect of restricting the scope ofthe main provision,
mere executive instructions. It was provided in cl, 8 of the G.O. that: though while exercising the jurisdiction, the guiding principles contained in the Note
must be kept in mind. The difference is only this that the breach of the directory
Suspension pending inquiry I should not ordinarily be resorted to unless the
provisions of the Note will not by itself invalidate the order.
allegations are serious enough to warrant dismissal, removal or reduction, and
should in such cases immediately proceed the framing of charges and their 28. Coming to the instant case, the Note has two parts:
communication to the accused Government servant.
(1} As a rule, suspension should not be resorted to unless the allegations against the
and in para 2(a} of Chapter IV of Annexure Ill that The charge or charges should be Government servant are so serious that in the event of their being established they
handed over to the charged officer within 15 days from the date of taking the may ordinarily be expected to warrant his dismissal, removal or reduction.
decision to start formal proceeding (at the same time a decision should be taken
(2) Suspension, where deemed necessary, should, as far as possible, immediately
whether the officer should be placed under suspension pending inquiry}.
precede the framing of charges and their communication to the Government servant
24. Similarly, it was reiterated in a Government order dated 2-7-1971, Annexure II A II to charged.
the Writ Petition in Special Appeal No. 137 of 197 4, that suspension pending inquiry
It shall be noticed that the rule-making authority has used different words in the two
should be on objective consideration and resorted to where a decision has been
parts- 11 as a rule II in the first part and II as far as possible II in the other. Even if the first
taken to start a formal departmental enquiry, and prior to that, if necessary, the
part is regarded as mandatory, the same cannot be said about the other. The second
Government servant can be transferred from the station.
part being directory cannot restrict the scope of the main provision and in suitable
25. Rule 49A of the C.C.A. Rules and Rule 1A of the Punishment and Appeal Rules are circumstances suspension pending inquiry can be ordered even though informal
complete by themselves conferring jurisdiction in the appointing authority to preliminary inquiry or the fact finding inquiry is not complete and no firm final
suspend pending inquiry a Government servant. These Rules previously contained a decision has been taken to initiate departmental proceeding against the
Note below them. There was, in substance, no gap in the rule which could be filled Government servant. In other words, there can be suspension pending inquiry even

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before the framing of charges and the communication thereof to the Government The legislative scheme ... is thus clearly indicative ofthe intention ofthe rule-making
servant charged. authority to restrict its operation only to those cases in which the Government
concerned is possessed of sufficient material whether after preliminary investigation
29. The question for consideration now is : What is meant by the words II inquiry II and 11
or otherwise and the disciplinary proceedings have in fact commenced and not
contemplated II used in Rule 49A and Rule 1A?
merely when they are contemplated ....
30. To avoid any confusion it may here be noted that Rule 49B of the C.C.A. Rules was
... Again the fact that in other rules of service an order of suspension may be made
deleted under Notification No. 3419/11-B-19(I}-58 dated September 9, 1958; even
when 'disciplinary proceedings were contemplated' should not lead us to take the
then it has been wrongly printed in the Official publication of the C.C.A. Rules. Rule
view that a member of an All India Service should be dealt with differently.
49B is, therefore, being disregarded.
It was further observed in para 19:
31. The word II inquiry II has also been used in Rules 55 and SSA ofthe CC.A. Rules. Rules
55 and SSA relate to formal departmental inquiry where major punishment of But independently of this consideration we think that the plain language of Rule
dismissal, removal or reduction can be imposed. Such an inquiry is invariably 3(1 }(a} and (b} which concerns us does not authorise suspension when disciplinary
preceded by framing of charges. It is of significance that in the other rules governing proceedings have not been initiated but are only contemplated.
cases in which minor punishment can be awarded the word II inquiry" has been The meaning of the word II contemplate II has been given in Shorter Oxford English
omitted and the rules merely provide for the award of punishment. It is true that most Dictionary, Volume I, as:
of the minor punishments shall be awarded after some inquiry, but when the rule-
1. To look at the continued attention, gaze upon, observe. BEHOLD. 2. To view
making authority intentionally avoided making a reference to this term in the other
mentally; to meditate upon, ponder, study. 3. To consider in a certain aspect, regard.
rules and used the word II inquiry" in Rule 49A and also Rules 55 and SSA the
4. To have in view; to expect, take into account as a contingency; to purpose and in
underlying intention was that the inquiry contemplated by Rule 49A is the one held
the New International Dictionary, Volume I, as:
under Rules 55 and SSA. It must, therefore, be hold that the power under Rule 49A
can be exercised only in those cases where one ofthe major punishment - dismissal, 1. To view with sustained attention : gaze at though fully for a noticeable time; observe
removal or reduction shall ordinarily be imposed. with ostensibly steady reflection,

32. The inquiry contemplated by Rule 49A cannot have reference to an informal 2. To view mentally with continued thoughtfulness, attention, or reflection : muse or
preliminary inquiry or a fact finding 'inquiry preceding the actual disciplinary ponder about. 3. to view mentally in a stated or implied way with thoughtfulness
proceeding, otherwise it shall be permissible to suspend a Government servant and reflection; A to think about or regard from a certain view point or in a certain light
pending such informal inquiry, but not after charges have been framed and regular or respect, b : to have in view as a purpose anticipate doing or performing : plan on:
departmental proceeding is pending. This shall lead to an anomalous situation. We INTEND, PLAN. c. to dream of as a cherished aim : ENVISION-d: to presume or imply
are, therefore, ,of opinion that the II inquiry II contemplated by Rules 49A and 1A has as a concomitant or result: POSTULATE PRESION-d: to presume or imply as a
reference to the formal departmental inquiry, end not to any informal preliminary or concomitant or result POSTULATE, PRE-SUP-POSE 4. to view or regard (as an object or
fact finding inquiry preceding the initiation ofthe formal disciplinary proceeding. an objective fact} with detachment.

33. The scope of Rule 49A or 1A does not appear to have come up for consideration 34. The proper meaning which can be assigned to the word 11 contemplate 11 used in Rule
before the Supreme Court, out the difference between contemplate ed 11 and 11 49A or in Rule 1A, therefore, is to have in view 1111 to expect, 11 11take into account as a
initiated 11 was noticed in P.N. Nayak v. Union of India . This is a case governed by the contingency." Therefore, whenever it is in the mind of the appointing authority that in
All India Services (Discipline and Appeal} Rules, 1969 where suspension during due course a formal departmental inquiry shall be held or there exists a contingency
disciplinary proceeding could be ordered if such proceeding had been initiated, and for such an inquiry, one can say that a formal departmental inquiry is contemplated.
not, as in the present cases, where such proceeding was under contemplation. It was It is, however, necessary that there should be application of mind, in the eye of law,
observed in para 15 of the Report: in good faith, and not arbitrarily.

It does not suggest that suspension can be ordered merely when disciplinary 35. A formal departmental inquiry is invariably preceded by an informal preliminary
proceedings are contemplated .... inquiry which itself can be in two phases. There can be a summary investigation to

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find out ifthe allegations made against the Government servant have any substance. 41. This leads us to the consideration of earlier decisions of this Court. The Full Bench
Such investigation or inquiry is followed by a detailed preliminary or fact finding case of State of U.P. v. Jawahar Lal Bhargava (supra) was summed up by Gopi Nath, J.
inquiry whereafter final decision is taken whether to initiate disciplinary proceeding. as below:
The first preliminary inquiry may be in the shape of secret inquiry and the other, of an
A Full Bench of this Court in Special Appeal No. 214 of 1973 decided on February 25,
open inquiry. In the alternative, when complaints containing serious allegations
1974 explained the scope of Rule 49A and held that the enquiry mentioned in that
against a Government servant are received, the authority may peruse the records to
rule means the departmental inquiry as envisaged by Rule 55. When the preliminary
satisfy itself if a more detailed preliminary inquiry be made.
enquiry is over and a decision is reached that formal departmental proceedings
36. In many instances the appointing authority will be in a position to form an opinion should commence the question of placing an officer under suspension arises. At any
after the summary investigation, secret inquiry or inspection of records that the point of time prior to that stage the question of placing an officer under suspension
allegations made against the Government servant have substance and in due course does not arise.
formal departmental action shall be taken against him. These all would be cases
42. As already discussed above, that is the stage for initiating the departmental inquiry
covered by Rule 49A, i.e., cases where formal departmental inquiry is contemplated.
and the stage contemplated by Rule 49A is much earlier when the appointing
37. In a few cases it may be possible for the appointing authority to form such an opinion authority is satisfied that disciplinary proceeding would eventually be taken against
at an earlier stage also, i.e, at the stage of receiving or entertaining a complaint. the Government servant.
These also shall be cases where it can be said, in good faith, that formal
43. The Full Bench approved of the decision in Rajendra Shanker Nigam v. Stale of U.P.
departmental inquiry is contemplated.
(1973) A.W.R. 271 and disagreed with the view of the Division Bench expressed in
38. To put it in brief, a departmental inquiry is contemplated when on objective the special appeal arising therefrom, that is, in the State of V.P. v. Rajendra Shanker
consideration of the material the appointing authority considers the case as one Nigam, (1973) A.L.J. 703. While approving Rajendra Shanker Nigam v. State of U.P.
which would lead to a departmental, inquiry, irrespective of whether any preliminary the Full Bench observed as below:
inquiry, summary or detailed, has or has not been made or if made, is not complete.
Seth, J. in Rajendra Shanker Nigam v. State rejected such an argument. He held that
There can, therefore, be suspension pending inquiry even before a final decision is
the inquiry referred to in Rule 49A means an inquiry under Rule 55 and the
taken to initiate the disciplinary proceeding i.e., even before the framing of the
expression an I inquiry is contemplated 1 would mean that an inquiry under Rule 55 is
charge and the communication thereofto the Government servant.
expected, that is the appointing authority has decided that in the circumstances of
39. This view finds support, not only from the difference in the phraseology noticed in the case it would proceed to hold an inquiry as provided under Rule. 55.
P.N. Nayak v. Union of India but also from the provisions contained in Rule 43A and
The learned Judge finally observed that:
Rule 1A. A departmental inquiry proceeds from the stage a 11final decision is taken to
initiate II such inquiry, in any case, when charges are framed and communicated to I am accordingly of opinion that merely because serious complaints against a
the Government servant. If the rule making authority had intended that the power to Government servant are received by his appointing authority and it decides to obtain
suspend under Rule 49A was to accrue on taking a firm and final decision to hold an a report with regard to it from the vigilance or some other authority it does not
inquiry it would not have incorporated therein the expression II an inquiry is necessarily follow that the appointing authority contemplates to hold an inquiry
contemplated 11 ; in any case, would have in its place used the expression II an inquiry against the Government servant under Rule 55 of the Civil Services ((Classification,
has been decided upon." No part ofthe rule can be regarded as superfluous. Hence Control and Appeal) Rules. Such a report is called for enabling the appointing
the word " contemplated " must be given its ordinary meaning, as already indicated authority to make up its mind whether or not to initiate regular departmental
above, proceedings.

40. Naturally, it shall depend upon the facts and circumstances of each case whether, 44. It shall be noticed that in the opinion of the Full Bench also, the expression an "
prior to the framing of the charge and communication thereof to the Government inquiry is contemplated " means an inquiry is expected. However, a restricted view
servant, it can be said that a departmental inquiry is expected. was taken of the expression to mean the decision to hold an inquiry under Rule 55 or
the decision to initiate regular departmental proceeding. Once a firm and final

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decision has been taken to hold a formal departmental inquiry, such an inquiry is even before deciding to hold a departmental inquiry under Rule 55 against a
certain and not merely expected. Consequently, we are in respectful disagreement Government servant for, that will again leave the matter to the subjective satisfaction
with the view expressed by the Full Bench regarding the scope of Rule 49A or Rule of the appointing authority and to call upon it to justify the exercise if its power by
1A. establishing the existence of compelling and exceptional circumstances 1 will hardly
be of any benefit to the Government servant against whom the power of suspension
45. The Full Bench also accepted the submission made on behalf of the Government
is exercised. Even a review by a Court of law in this regard will hardly be an adequate
servant that" the contents of the Note ought to be given full effect in construing the
safeguard against discrimination as the content of I compelling and exceptional
material provisions of Rule 49A," and held that an inquiry is contemplated against
circumstances 1 being elusive in its import and some what ephemeral in its content
the conduct of the Government servant when a decision is taken by the appointing
will introduce uncertainty in the situation which Rule 49A with the Note appended
authority to start formal proceedings and at the same time it is decided whether the
aims to avoid.
officer be placed under suspension pending inquiry. It was further observed that at
any point of time prior to the taking of such a decision, it could not be said that an 49. In case the matter is considered in the manner already suggested by us above there
inquiry under Rule 55 was contemplated. At another place it was observed: shall always be objective satisfaction of the appointing authority before the
Government servant can be suspended pending inquiry. To suspend a Government
The Note does not permit the appointing authority to suspend a Government servant
servant on receipt if complaints containing allegations of dishonesty or if
before it decides to initiate a formal inquiry under Rule 55 against the Government
misconduct, without the appointing authority being satisfied that the allegations
servant. The Note fixes the earliest point of time for the exercise of the power of
made have substance, which would later justify taking disciplinary proceeding, shall
suspension. The phrase "as far as possible" cannot be construed as leaving a power
be on subjective consideration and has to be disapproved by the Courts of law. But
with the appointing authority to suspend a Government servant at a point of time
where there exist circumstances to satisfy the appointing authority that the
earlier than the earliest point oftime fixed by the Note.
allegations made have substance, suspension pending inquiry shall be on objective
46. Under Rule 49A suspension pending inquiry is permissible where the departmental consideration, and not subjective. It is a different thing that the appointing authority
inquiry is proceeding or where the departmental inquiry is contemplated. Once the may like to have the matter investigated or further investigated so that the total
charges have been framed and communicated to the Government servant, the material may come on the record and a proper departmental inquiry can be held.
inquiry comes into existence and is being proceeded with. Consequently, if the
50. While construing the Note to Rule 49A, which has since been deleted, the Division
intention of the makers of the rule was not to permit suspension pending inquiry
Bench deciding the case of State of U.P. v. Rajendra Shanker Nigam, (supra) observed
before the framing of the charges, it was not necessary to authorise such suspension
at one place :
when the inquiry was contemplated.
The use of the phrase " as far as possible leaves latitude to the authority to exercise
47. The Full Bench interpreted the word" allegations" used in the first part of the Note"
the preexisting power of suspension even before the framing and communication of
as allegations having substance revealed by the investigation of an informal nature U,
the charges. But, of course, this is not to be done as a normal rule, but in an emergent
and not " allegations contained in the complaint received against a Government
situation.
servant." When allegations are substantiated and charges are framed, allegations
take the shape of charges and they are invariably called charges, and not mere and at another place observed :
allegations. There is, therefore, no reason why a restricted meaning be given to the
It, indicates a stage where an inquiry into the conduct of a Government servant is
word" allegations" used in the Note.
imminently expected with a view to impose some punishment upon him.
48. While not accepting the view of the Division Bench in State of U.P. v. Rajendra
51. From the observations made by the Division Bench subsequently, it is clear) that in
Shanker Nigam, (supra) the Full Bench observed:
using the word "emergent II what the Division Bench meant was that where there is
For the above reasons it is also not possible to accept the view of the Division Bench to be a departure from the ordinary rule 1 there should be an " exceptional or
in the case of State of Uttar Pradesh v. Rajendra Shanker Nigam that if there are compelling circumstance." Likewise, the word" imminently" referred to above, is to
compelling and exceptional circumstances the power of suspension can be exercised be read in the light ofthe observations made in the same paragraph to the effect-

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When the Government sets in motion its machinery for investigation the alleged inquiry in exercise of the inherent or implied power of suspension vesting in the
complaint so that it may hold a formal enquiry is clearly contemplated and the power appointing authority. The inherent power of suspension recognised in the case of V.P.
to suspend comes into play. Gindroniya v. State of Madhya Pradesh A.I.R. 1970 S.C. 1944, is the power to
suspend the Government servant from performing the duties of his office without
52. Even Seth, J., in Rajendra Shanker Nigam v. State of U.P. {supra) was of the view that it
adversely affecting his rights and privileges. Such suspension is not covered by the
is permissible under Rule 49A to suspend a Government servant pending inquiry, of
conditions of service Rules, which contemplate suspension accompanied by
course, in suitable circumstances, even where no informal preliminary enquiry has
reduction of emoluments,
been conducted and the stage for framing of charges has not arisen as will be clear
from the following observations made by him: 56. To conclude, suspension pending inquiry under Rule 49A of the U.P. Civil Services
{Classification, Control and Appeal) Rules or Rule 1A of the U.P. Punishment and
In appropriate cases, the appointing authority may make up its mind to hold a
Appeal Rules can be ordered at any stage prior to or after the framing of charges,
departmental enquiry even on the basis of the information contained in the
when on objective consideration the authority concerned is of the view that a formal
complaint made against the Government servant concerned whether calling for a
departmental inquiry under Rules 55 and SSA ofthe CC.A. Rules or Rules 5 and SA of
report or holding an informal enquiry and in such cases it will be open to it to pass
the U.P. Punishment and Appeal Rules is expected, or such an inquiry is proceeding.
order for his suspension.
At what stage the power under the above rules can be exercised shall always depend
In a particular case the question whether or not an order of suspension has been on the facts and circumstances of each case.
passed in contemplation of an enquiry under Rule 55, will depend upon its facts.
57. The records of the Special Appeals shall now be sent to the Division Bench concerned
Clearly it is for the appointing authority to indicate that after receipt of complaint
with our opinion on the question of law involved.
against the Government servant and before making the suspension order it intended
to hold a departmental enquiry against him, N.D. Ojha, J.

53. For the reasons indicated above, we are of the opinion that even when the Note 58. I agree.
below Rule 49A or Rule 1A was a part of the main rule it did not restrict the scope of Satish Chandra, J.
the relevant rule. The power of suspension pending inquiry under this rule could be 59. I have read the opinion of My Lord the Chief Justice. I would like to add a few words.
exercised at an early stage also, i.e., before the framing of charges and
60. By a notification dated January 30, 1953, the Governor added Rules 49A and 498 to
communication thereof to the Government servant, provided that on objective
the U.P. Civil Services {Classification, Control and Appeal) Rules. The material part of
consideration of the material the appointing authority was satisfied that after
investigation or further investigation there shall be a formal departmental inquiry Rule49Astated ::
under Rules 55 and SSA. This power was to be ordinarily exercised in the manner 49A{1 ). A Government servant against whose conduct an inquiry is contemplated, or is
contemplated by the Note. proceeding may be placed under suspension pending the conclusion ofthe inquiry in
the discretion ofthe appointing authority:
54. While deleting the Note below Rule 49A or Rule 1A, under notifications dated March
24, 197 4, the Government did not amend the executive instructions contained in the Provided ...
two G. Os. referred to in the earlier part of this judgment. These instructions are still in Note-As a rule, suspension should not be resorted to unless the allegations against
existence, but they cannot in any way affect the scope of Rule 49A or Rule 1A. They the Government servant are so serious that in the event of their being established,
can be utilised as laying down guiding principles for the information of the they may ordinarily be expected to warrant his dismissal, removal or reduction.
appointing authority. As such they can, to the most, be said to be advisory in nature, Suspension, where deemed necessary, should, as far as possible, immediately
of course, entitling the State Government to pass a proper order on a representation precede the framing of charges and their communication to the Government servant
being made to it by aggrieved Government servant. charged.
55. For purposes of these Special Appeals it is not necessary for us to express a final By the same notification of January 31, 1953, the Governor issued administrative
opinion on the question whether a Government servant can be suspended pending instructions to the appointing authorities. One of them was that suspension pending

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an inquiry should not be ordinarily resorted to unless the charges are serious enough 64. The matter was reconsidered by a Full Bench of this Court in State of U.P. v. J.D.
to warrant dismissal, removal or reduction and the same should precede the framing Bhargava (supra}. The Full Bench dissented from the Division Bench decision in R.S.
of charges and their communication to the accused Government servant. Nigam's case. It held that the words " allegations " used in the first part of the Note
did not mean the allegations contained in the complaint received against a
61. Another instruction provided that the charge or charges should be handed over to
Government servant, but would mean the allegations having substance received by
the charged officer within 15 days front the date of taking the decision to start formal
the investigation of an informal nature. It was also held that the phrase " as far as
proceedings. (At the same time a decision should be taken whether the officer should
possible " occurring in the Note does not permit an appointing authority to suspend
be placed under suspension pending inquiry}, These administrative instructions
before it decides to initiate on inquiry under Rule 55. It only authorises the authority
were virtually identical with the note appended to Rule 49A.
to defer the decision to suspend to a date after the framing and communication of
62. Rule 49A came up for consideration in Rajendra Shanker Nigam v. State of U.P. the charges. It was held that the term inquiry referes to an inquiry under Rule 55 only
(supra}. The learned single Judge held that the inquiry referred to in Rule 49A means and that the phrase" inquiry is contemplated" can only mean an inquiry is initiated.
an inquiry under Rule 55. The expression an " inquiry is contemplated occurring in This stage is reached when a decision has been taken on the basis of the material
Rule 49A, would mean that the appointing authority has decided to hold an inquiry collected on preliminary investigation and the appointing authority is prima facie
under Rule 55. ltwas observed: satisfied that they have substance and the starting of the formal proceedings would
Merely because serious complaints against a Government servant are received by his be justified. At any point of time prior to the taking of such a decision, it cannot be
appointing authority and its decision to obtain a report with regard to it from the said that the inquiry under Rule 55 was contemplated.
Vigilance or some other authority it does not necessarily follow that the appointing 65. The Full Bench rendered its decision on February 25, 1974. Within a month on March
authority contemplates to hold an inquiry against the Government servant under 23, 1974, the Governor issued a notification under the proviso to Article 309 of the
Rule 55. Such a report is called for enabling the appointing authority to make up its Constitution, repealing the Note appended to Rule 49A as well as Rule 1A of the
mind whether or not to initiate regular departmental proceedings. Punishment and Appeal Rules retrospectively with effect from October 29, 1968. The
Thus, the word" contemplated" was equated with decided or initiated. position is that with effect from October 29, 1968 Rule 49A and 1A to be deemed on
the statute book without the Note. Evidently this retrospective amendment was
63. This decision was taken up in Special. Appeal in State of U.P. v. Rajendra Shanker
brought about because the Governor did not accept the theory of compelling
Nigam. The Division Bench held the term inquiry under Rule 49A is not confined to an
circumstances enunciated by the Division Bench in R.S. Nigam's case because of the
inquiry held under Rule 55. It also includes an inquiry which may ultimately result in
term "as far as possible" occurring in the Note. It is also apparent that the Governor
a lesser punishment being awarded. It was held that the word contemplated means "
did notacceptthe construction placed upon the Rule by the Full Bench.
to have in view," " expected " "to take into account as a contingency." When the
Government sets in motion its machinery for investigating the alleged complaints so 66. Though, after the repeal of the Note it is academic to say anything about its correct
that it may hold a formal inquiry more properly, the formal inquiry is clearly construction or its impact upon the main part of the Rule, but we agree with My Lord
contemplated. In support reliance was placed upon S.C. Kharbanda v. State of U.P. the Chief Justice that the word " allegations" occurring in the Note mean the
Special Appeal No. 441 of 1972, decided on 21st July, 1972. It was further held that allegations contained in the complaint: because after it is decided to hold formal
the Note appended to Rule 49A was a part of the Rule and had statutory force. It inquiry those allegations become charges.
imposed a limitation upon the exercise of power, The phrase " as far as possible " 67. We also agree with My Lord the Chief Justice as to the interpretation of the terms" as
occurring in the Note suggests that normally the power shall be exercised at the far as possible." Rule 49A confers a discretionary power to suspend while an inquiry
mentioned point of time, namely, after framing of charges and its communication. was contemplated as also when an inquiry was proceeding. The power to suspend
But in an exceptional situation the power can be exercised at an earlier point of time could be exercised at any time after the inquiry has been commenced and was
also. If the Government exercises the power at an earlier point of time, it has to proceeding. In this view the phrase" as far as possible" was superfluous if it was
establish that it was not possible to comply with the condition of the Note because of intended to give discretion to order suspension at any time after the framing of
some compelling reason or circumstance. charges. The term as far as possible operated as an exception to the general rule that
the power of suspension should be exercised at the time when the charges have

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been framed and communicated, with the result that in special circumstances it 11
to take into account as a contingency. 11 A person can nave an inquiry in view, or
could be exercised at an earlier point of time also. expect an inquiry before he decides to hold it. This also corroborates the
interpretation that the word II contemplated II occurring in the phrase inquiry is
68. After the repeal of the note the position is that Rule 49A as well as Rule 1A conferred
contemplated or is proceeding points to a stage when the inquiry is expected; that is,
discretionary power to place an officer under suspension when an inquiry is
prior to the taking of the decision to hold the inquiry. We are unable to share the view
contemplated or is proceeding. The power has not been confined on the appointing 1
expressed by the Full Bench in J.L. Bhargava s case that the word contemplated is
authority to his subjective satisfaction. It is exercisable only if on an objective
equivalentto decide.
consideration the appointing authority takes the view that an inquiry is
contemplated or is proceeding. This position being based on an objective 72. The question as to when is an inquiry in view or expected is a question of fact
consideration is open to judicial review. dependant on the circumstances of each case. In law such an expectation can
happen on receipt of information of commission of misconduct or during or after a
69. Rule 49A as well as Rule 1A refer to an inquiry. A perusal of the various Rules in the
preliminary inquiry.
both sets of Rules shows that Rules 55 and 55A use the term inquiry. An inquiry is to
be held under them in order to impose the major punishment of dismissal, removal or 73. The existence of power should not be confused with the abuse. In case of abuse, the
reduction in rank. The other Rules laying down the procedure for imposing minor particular exercise of the power will be bad and will be quashed. But that has no
punishment do not characterise the proceedings as an inquiry. This suggests that the bearing on the question of law as to when, in a proper construction of the Rule, does
inquiry referred to in Rule 49A is the departmental inquiry contemplated under Rules the power arise.
55 and 55A. The power of suspension is hence available in relation to an inquiry
74. Though by the notification dated March 23, 197 4 the Note appended to Rule 49A
under Rule 55 or Rule 55A held with 1 a view to impose the major punishments of
was repeated, the Government did not amend the executive instructions, that
dismissal, removal or reduction in rank. The administrative instruction saying that
suspension pending inquiry should immediately precede the framing of the charges
suspension pending inquiry should not be resorted to unless the charges are serious
and their communication to the accused Government servant and that the decision
enough to warrant dismissal, removal or reduction in rank, only makes explicit what
to place an officer under suspension should be taken at the time when the charges
is implicit in Rule 49A and Rule 1A. The power accrues when such an inquiry is either
are framed and serial. The question is what is the effect of this instruction?
contemplated or is proceeding. It is immaterial as to what punishment is imposed as
a result ofthe inquiry. 75. In Sant Ram Sharma v. State of Rajasthan, {supra} the Supreme Court ruled that the
statutory rules cannot be superseded by administrative instructions made by the
70. The next question is as to the correct connotation and significance of the term
Government. In Union of India v. K.P. Joseph, {supra} the Supreme Court reiterated
contemplated in the phrase II inquiry is contemplated or is proceeding. 11 It is obvious
the above principle but pointed out that if the Rules framed under Article 309 of the
that contemplated cannot mean the same thing as II proceeding II in relation to the
Constitution are silent on any particular point the Government can fill up gaps and
inquiry; else the term I contemplated II would be superfluous. In this context the word
11
supplementthe Rules and issue instructions not inconsistent with the Rules.
contemplated 11 refers to a stage of the inquiry different than when it is proceeding.
From the moment the inquiry has been commenced, it can be said to be proceeding. 76. It is thus clear that in law administrative instructions cannot supersede or amend the
In my opinion an inquiry commences when it is set in motion or is initiated. Formal Rules or whittle down, or enlarge their ambit and scope. In the present case, the
departmental proceedings start when a decision to hold them is taken; because the instruction, when it says that suspension should immediately precede the framing
decision directly leads to and sets in motion the various ministerial steps of the and service of the charges, has the effect of repealing or nullifying the phrase 11
proceeding, like framing and communication of charges, calling for an explanation, inquiry is contemplated II occurring in the Rules. It is clearly inconsistent with the
hearing witnesses, etc., etc. The decision to hold a formal departmental inquiry sets Rules. It does not fill up any gaps in the Rules. It will hence be ineffective. If in a
it in motion or initiates it. From this point oftime onwards the inquiry proceeds. particular case the power of suspension is exercised prior to the framing of charges,
the order of suspension cannot be held illegal and quashed on the ground that it was
71. In this view, the word II contemplated II occurring in the phrase II inquiry is
passed in contravention of the administrative instruction. In other words, the
contemplated or is proceeding II must refer to a stage earlier than whence the
administrative instruction being inconsistent with the statutory rule, is void and
inquiry} is proceeding. The term contemplated means II to have in view 11 11 expected",
unenforceable.

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77. Reliance was placed on K.P. Joseph's case for the proposition that an administrative 81. With respect we agree with my Lord the Chief Justice that this Full Bench is
order which confers a right is enforceable by Courts. It was submitted that the competent to reconsider the decision of a smaller Full Bench and that the principle of
aforesaid administrative instruction confers a right upon the Government servant not stare decisis is not applicable to the present case; that it is open to this Bench to
to be placed under suspension till the service of charges. In K.P. Joseph's case it was decide the controversial questions of law and leave the disposal of the appeal to the
declared that generally speaking an administrative order confers no justiceable right, Division Bench, and that the Rules framed under Article 309 can be amended
but this general rule has exceptions. If an administrative order abridges or takes retrospectively. What has been said above in respect of Rule 49A applies equally to
away rights, then the principles of natural justice become applicable to it and their Rule 1A of the U.P. Punishment and Appeal Rules for Subordinate Services.
violation will be enforceable in a Court. This really is not a case of enforcing the
82. To conclude, the power of suspension arises when on an objective consideration the
administrative order, but nullifying the violation of the principles of natural justice. In
appointing authority is of the view that a formal disciplinary enquiry is expected or is
the next place, it was held that if an administrative order confers a right which
proceeding.
becomes part of the service conditions, such an order will be enforceable in Courts. It
will be seen that an administrative order should not merely confer a right but should K.B. Asthana, J.
become part of the conditions of service. This is a question of fact not amendable to 83. I have the benefit and advantage of reading the opinions prepared by the learned
any presumption. In the present appeals it has not even been alleged by the Chief Justice and by brother Satish Chandra, While agreeing with their conclusion
Government servants that the executive instruction in question had become part of that the word " inquiry " occurring in Rule 49A (1) of the U.P. Civil Services
their service conditions. (Classification, Control and Appeal) Rules, hereinafter referred to as the " Rules",
78. In K.P. Joseph's case the Supreme Court was considering the effect of an means the formal inquiry under Rule 55 ofthe Rules as also with their conclusion that
administrative order, dated 15th July, 1960 laying down the manner of fixation of the order of suspension in the exercise of power under Rule 49A of the Rules can be
pay. The fixation of pay was not governed by any statutory rules. The only available passed only on objective considerations, with respect, I find myself in disagreement
literature on the topic was the aforesaid order. It was in this context that the Court in regard to the observations made by them in elaboration of the various aspects and
held that the order conferred a benefit or right upon the Government servant to have facts ofthe problem or the problems arising while considering the scope, the extent
his pay fixed in accordance with it. and the timing of the order of suspension. I would, therefore, like to add some words
ofmyown.
79. The fact that the Court specifically referred to its decision in Sant Ram Sharma's case
and reaffirmed the principle that administrative instructions cannot supersede 84. A Full Bench of the Court in the case of State of Uttar Pradesh v. Jawdhar Lal
statutory Rules and that if they are inconsistent with the Rules they would be Bhargava, (supra) approved of the decision of Seth, J. in Rajendra Shanker Nigam v.
ineffective, shows that the principle that an administrative order which confers a State of Uttar Pradesh, (supra) and held that if the material which comes to light after
right and is part of service conditions, is enforceable, has no application to a situation the completion of the informal inquiry on the basis of which a decision could be
where the particular condition of service is covered by statutory Rules. The statutory taken as to the seriousness of the allegations deserving major punishment of
Rule will have its full play. Its ambit could not validly be affected by an administrative dismissal, removal or reduction in rank in the ordinary course was not before the
instruction. lfthere is inconsistency between a statutory Rule and an administrative Appointing Authority when the order of suspension was passed, the order would
instruction, the instruction would be void. The statutory Rule alone will be violate Rule 49A of the Rules and would be void ab initio. After the decision of Full
enforceable in Courts. Bench in Jawahar Lal Bhargava's case the Governor of Uttar Pradesh issued a
Notification purporting to be under Article 309 of the Constitution deleting the Note
80. The remedy for breach of such an administrative instruction is not judicial. It lies on
below Rule 49A of the Rules with retrospective effect, which Note was an integral
the executive side. Under the Manual of Government Orders, the Government has a
part of that Rule. The said Note was as follows:
right to interfere with all administrative orders either by way of an appeal or a
representation. If an order of suspension is passed in breach of administrative N.B. As a rule suspension not to be resorted to unless the allegations against the
instructions the Government can look into the matter and set things right. Further if Government servant are so serious that in the event of their being established, they
an appointing authority passes an order in breach of Government instructions' it may may ordinarily be expected to warrant his dismissal, removal or reduction.
be liable to be hauled up by the Government for committing misconduct. Suspension, where deemed necessary, should, as far as possible, immediately

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precede the framing of charges and their communication to the Government servant the Appointing Authority has inherent power to suspend an employee in the sense
charged. that it has unfettered discretion to require a Government servant not to attend to his
work provided he was paid the emoluments according to the rate of pay admissible
85. Then an application for review was filed by the State Government on the ground that
to him?
the Note having been deleted with retrospective effect, the decision of the Full Bench
in Jawahar Lal Bhargava 1s case, limiting the exercise of power of suspension under 89. With respect to the learned Chief Justice and brother Satish Chandra, I find that the
Rule 49A when the informal inquiry has been completed revealing the material on opinions prepared by them do not answer finally the second question culled out by
the basis of which a decision could be taken as to the seriousness of the allegations me from the order of reference. As regards the first question, their opinions elaborate
deserving of major punishment of dismissal, removal or reduction in rank in the the various aspects of the controversy involved and they have approached the matter
ordinary course, was rendered nugatory thus the order of suspension passed prior to as if, the referring order doubted the correctness of the Full Bench in Jawahar Lal
1
that stage could not in law be held as void ab initio. This application for review was Bhargava scase in all its implications and ramifications.
1
again listed before the same Full Bench, which decided Jawahar Lal Bhargava s case,
90. On the question " whether the Appointing Authority is vested with any inherent
and the application was rejected. The latter Full Bench observed :
power of suspending a Government servant." I will stick to the view taken in Jawahar
Now coming to the merits, we must point out that the learned Chief Standing Council Lal Bhargava's case that there is no such power. The power of suspending a
assumed that our judgment is based on the Note to Rule 49A. That is not so. We have Government servant can only, be conferred by law. The Chief Standing Counsel
in our judgment analysed the main clauses of Rule 49A and construed them neither in Jawahar Lal Bhargava's case nor in the instant reference canvassed before
according to our wisdom. Even if the Note to Rule 49A were not here our conclusion us for an inherent power in the sense as contemplated by the learned Judges in their
would not have been different. Mere deletion of Note even with retrospective effect, referring order. Asking the Government servant not to work or perform his duties and
therefore, does not bring about any substantial alteration or charge in law. at the same time permitting him to draw his salary is not a suspension from service.
The right of the master not to take work from his servant is an implied right flowing
86. When another set of petitions questioning the validity of the order of suspension
from the contract of employment. It is not an inherent right. In the case of V.P.
passed against the petitioners in these petitions were heard before another Division
Gindroniya v. State of Madhya Pradesh {supra} in paragraph 8 at page 1496 as
Bench of the Court in the form of special appeals, it appears to have been urged on
follows:
behalf of the State that with the retrospective repeal of the Note the view taken by
1
the Full Bench in Jawahar Lal Bhargava s case was no longer operative and that the It is now well-settled that the power to suspend, in the sense of a right to forbid an
Appointing Authority had an inherent power to suspend a Government servant even employee to work, is not an implied term in an ordinary contract between master
beyond Rule 49A of the Rules. The learned Judges constituting the Division Bench and servant, and that such a power can only be the creature either of a statute
held that the matters required reconsideration and the questions involved being of governing the contract, or of an express term in the contract itself. Ordinarily,
general importance and frequent occurrence, the Special Appeals be referred to a therefore, the absence of such a power either as an express term in the contract or in
larger Full Bench. the rules framed under some Statute would mean that an employer would have no
power to suspend an employee of his and even if he does so in the sense that he
87. It may be noted here that in one of the special appeals similar questions in regard to
forbids the employee to work, he will have to pay the employee 1s wages during the
the construction of Rule 1A of the U.P. Punishment and Appeal Rules for subordinate
period of suspension .... The distinction between suspending the contract of service
Services were also involved and the Note below that Rule in terms similar to the Note
of a servant and suspending him from performing the duties of his office on the basis
below Rule 49A ofthe Rules had also been deleted with retrospective effect.
that the contract is subsisting is important. The suspension in the latter was is always
88. It appears to me on a reading of the order of reference of the Division Bench that in an implied term in every term of contract of service. When an employee is suspended
the operative portion of the order though it referred the special appeals but what in this sense, it means that the employer merely issues a direction to him that he
really it intended was to refer two questions, viz. : should not do the service required of him during a particular period. In other words
(1} Whether the retrospective repeal of the Note under Rule 40A of the Rules rendered the employer is regarded as issuing an order to the employee which because the
the Full Bench decision in Jawahar Lal Bhargava s case inoperative and (2) Whether
1
contract is subsisting, the employee must obey.

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91. As I read the above observations extracted out from the judgment of the Supreme similar in terms and the considerations which will apply to the interpretation of Rule
Court, the said observations, to my mind, negative any inherent right ofthe master to 49A of the Rules would equally apply to the interpretation of Rule 1A of the
suspend a servant when the master intends to suspend the contract of service. When Punishment and Appeal Rules.
it is not intended to suspend the contract but it is intended to keep it subsisting, then
95. It cannot be denied that for different classes of Government servants there are
in directing the servant not to do service required of him will only mean that the
numerous Appointing Authorities, both of high rank and lower rank, depending
employer is issuing an order to the employee which because the contract is
upon the class of a Government servant to be suspended. To my mind, it is duty of the
subsisting, the employee must obey. It is clear from the declaration of law by the
interpreter of the Rule to give certainty to it so that the Appoining Authority, high or
Supreme Courtthatthe power to suspend a Government Servant pending an inquiry
lower in rank, varying in responsibility and intelligence, should be able to apply the
into his misconduct can only be conferred by statute. There is no inherent right. The
Rule uniformly and not indiscriminately or arbitrarily as the Rule confers an
only answer, therefore, to question No. 2 can be that there is no inherent power. The
unfettered discretion on the Appointing Authority to place a Government servant
kind of suspension contemplated in the question is nothing but issuing an order to
under suspension against whose conduct an inquiry is contemplated or is preceding.
the Government servant not to do the service required of him during a particular
It would be seen that the power to suspend operates upto the conclusion of the
period which because of the relationship as master and servant subsisting, the
inquiry. We all agree that the inquiry that is meant in this Rule is a formal
Government servant is bound to obey. This would be nothing but a part of the
departmental inquiry and not a fact finding preliminary inquiry, which usually
condition of his service. In case the service was contractual, it would be nothing but
precedes the formal inquiry. This is a pointer towards a legitimate inference that
an implied term of the contract of service.
what ends with the conclusion of the inquiry should begin when the inquiry has
92. What is the effect ofthe retrospective deletion ofthe Note below Rule 49A, may now begun or is about to begin. We also agree that it is on an objective consideration that
be considered. As already observed above, the Full Bench while rejecting the the Appointing Authority forms the opinion that a formal inquiry is to be initiated.
application for review in Jawahar Lal Bhargava's case held that even if the Note to The rule does not permit forming an opinion on subjective considerations that the
Rule 49A were not there, the conclusion arrived at on the substantive part of the Rule formal inquiry is likely to be held. It is only when a formal inquiry is to begin that the
would not have been different. This would be sufficient answer to the question but in discretion of the Appointing Authority comes into play to suspend or not to suspend
deference to the opinions recorded by the learned Chief Justice and brother Satish a Government servant. When a formal inquiry is proceeding and the Appointing
Chandra, I will assume that it is not only a question or questions that have been Authority in its discretion suspends a Government servant pending conclusion of
referred to* us but the Special Appeals have been referred and this Bench constituted that inquiry, no problem arises. The Rule is clear on this score. The problem arises
of larger number of Judges is free to come to its own conclusions on the only when the formal inquiry has not begun or initiated. The rule-makers have used
interpretation and construction of Rule 49A of the Rules. In this view ofthe matter, it the words 11 against whose conduct an inquiry is contemplated, or is proceedings. 11
is not necessary for me to advert to the arguments advanced before us to the effect The word II contemplate 11 has some what a vague import. Various meanings of this
that the rule of stare dectsis should prevent us from reconsidering the decision of Full word have been reproduced from standard dictionaries by the learned Chief Justice
Bench in Jawahar Lal Bhargava's case. in his opinion. 11 Contemplation ", the noun of the verb " contemplate ", is always a
mental process. The process of mind or mental process can work subjectively as well
93. The basic question that arises on the interpretation and construction of Rule 49A
as objectively. The objectivity of the mental process is occasioned by thinking or
when elaborating upon the extent of power of suspension and the time of passing
contemplating on something which can be physically observed or perceived. The
the order will turn on What meaning is to be given to the words II an inquiry is
subjectivity of the mental process is occasioned by something which is imagined and
contemplated, 11 occurring in Rule 49A. The material text of the Rule may be quoted
which cannot be physically observed or perceived by senses. It follows that when we
here with profit :
say that a formal disciplinary inquiry is in view the meaning which is Sought to be
A Government servant against whose conduct an inquiry is contemplated, or is given to the words II an enquiry is contemplated" and the view is to be based on
proceeding, may be placed under suspension pending the conclusion of the inquiry objective considerations - it follows that there must be material which can be
in the discretion ofthe Appointing Authority. physically observed and perceived to form the basis of the formal inquiry. Since
94. It is unnecessary to quote Rule 1A of the U.P. Punishment and Appeal Rules as it is subjective consideration is eliminated, the mere hope or a mere theoritical formation

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of opinion that a formal inquiry will be held without any material basis for it being evidence that the conduct of the Government servant was such that it warranted the
available is ruled out. One can say that when a mariner starts his journey on the high punishment of dismissal, removal or reduction in rank. The Note having been
seas for a fixed destination somewhere in the middle of high seas, no doubt he is deleted the basis for the said conclusion vanishes.
contemplating a journey to the Island of his intended destination. He can be said to
97. Any procedure prescribed regulating the exercise of power for suspension by Rules
be contemplating to reach the Island, which is his destination. One can also express it
or by departmental instructions will, in my opinion, be binding on the Appointing
in different words, that the journey is with a view to reach his destination on the high
Authority. The argument put forward on behalf of the State that the appointing
seas. The Island of destination would only come in view when the mariner physically
authority will be justified in ignoring the procedure prescribed by the department
seas it or perceives its outline when he reaches near the Island. It is this sense that the
instructions if otherwise it has acted within the scope of the Rule which confers a
formal inquiry would be in view of the Appointing Authority based on the objective
discretion to it of the widest amplitude has hardly any tenability. Any departmental
material before him can be said to be contemplation. When a person takes a
rule or instruction in the nature of regulation of the wide ampliture of discretion
decision, the taking of that decision is also a mental process. To my mind, there is
cannot be said to be repugnant to the Rule. To regulate the exercise of discretion by
nothing wrong in holding, as Seth, J, held in Nigam's case, that an enquiry is
departmental instructions issued by the highest authority of the State cannot be
contemplated when the mental process of the Appointing Authority has worked and
construed as derogating from the rule and the disregarded of it by the lower
he formed an opinion that formal inquiry is to be held. This is nothing but saying that
authorities ought not to be countenanced by the Court and should always be
the Appointing Authority decides that a formal inquiry be held. I do not think the
discouraged. I think it is the essence ofthe power of Judicial review of administrative
interpreter strains the language of Rule 49A or misinterprets, or misconstrues it when
action by Courts to see to it that a discretion vesting in any instrumentality of the
he holds " an inquiry is contemplated " as synonvmous with " an inquiry is decided
State be exercised in accordance with settled practice or principle and ifthat principle
upon." The decision to hold an inquiry will not amount to initiation of the inquiry.
is prescribed by the highest authority of the State such as the Governor. The Court in
While the decision is a mental process, the initiation is a physical process, that is
the exercise of its power of judicial review ought to be able to control the
when the decision is put into practice. It is in that sense that I conceive the Supreme
administrative action which runs counter to that regulation. The appointing
Court in P.R. Nayakv. Union of India distinguished the phrase" an inquiry is initiated"
authority is to be kept under discipline. In my way of thinking the matter is not to be
from "an inquiry is contemplated." I again repeat what we held in Jawahar Lal
approached from the point of view that the Government servant has no right to
Bhargava's case that the Supreme Court in P.R. Nayak's case having observed that
enforce a departmental instruction. In all the cases cited of the Supreme Court or of
they did not agree with the decision in Tarak Nath Ghosh's case, A.I.R. 1971 S.C. 823,
the High Courts in which a view has been taken that mere departmental instructions
it is quite clear that in P.R. Nayak's case they were not defining what was meant by"
do not amount to a binding rule of law, it would be seen that it was the Government
an enquiry is contemplated." Rather their disagreement with the decision in
servant who was claiming a right under the Rules which right was being whittled
Taraknath Ghosh's case militates against the view that an inquiry can be
down by departmental instruction. A right conferred by statute cannot be curtailed
contemplated at a stage prior to the collection of the appropriate material which
by mere departmental instructions or executive order but a power administrative in
would warrant a punishment of dismissal removal or reduction in rank of a
nature conferred on an authority can certainly be regulated by departmental
Government servant, when the evidence furnished by that material was established
instructions. Rule 49A does not confer any right on the Government servant or on the
to be true at a formal inquiry, I am unable to read anything in P.R. Nayak's case,
appointing authority. It confers a disciplinary power. Any instruction issued by the
decided by the Supreme Court, which would amount to a declaration of law as to the
Governor as to when the appointing authority will exercise the power does not
meaning of the words" an inquiry is contemplated."'
curtail the right of any person. What is claimed by the State Government before us is
96. If at all, the deletion ofthe Note retrospectively has any effect, then it has affected the that even if the order of suspension is passed ignoring the instructions of the
decision ofthe Special Bench in Rajendra Shanker Nigam's case as the learned Judges Governor that would not be invalid and ought to be respected by the Court as not
constituting the Special Appeal Bench heavily learnt on phraseology. of the Note in being amenable to the judicial review by the Court. I can only, in despair, observe
coming to the conclusion that the Note was a pointer that the Rule-makers intended that it is a said commentary on the administrative process of the Government when it
to confer power of suspension on the Appointing Authority in exceptional and pleads before the Court of law to ignore the directive of the Governor. The learned
compelling circumstances even before the material was collected furnishing Chief Justice in his opinion has referred to the instructions given by the Governor,

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contained in Appendix IV to the Rules. The G.O. No. 01923/11-641-4, dated January Allahabad Bank And Anr vs Deepak Kumar Bhola on 13 March, 1997
30, 1953 says that the Governor has accepted all the recommendations made by the Author: Kirpal.
Disciplinary Inquiry Proceeding Committee in their report and based on that Bench: J.S. Verma, B.N. Kirpal
approval executive instructions, contained in Appendix IV to the Rule, were issued.
PETITIONER:
Though the said instructions may not have the status of a statutory rule in the sense
of having been made under some statute or under Article 309 of the Constitution, yet ALLAHABAD BANK AND ANR.
they will govern the conditions of service not being inconsistent with Rule 49 A and Vs.
being meant to regulate the plenitude of discretionary power by laying down a time
table, so to say, with a view to bring uniformity in application of the rule and keeping
RESPONDENT:
the appointing authorities under discipline. I am supported in this view of mine by a DEEPAK KUMAR BHOLA
decision ofthe Supreme Court in Union of India v. K.P. Joseph, {supra).
DATE OF JUDGMENT: 13/03/1997
98. Assuming the instructions do not become a condition of service even so they are
BENCH:
indicative of what the view of the Government was as to the scope extent and the
timing of the exercise of power of suspension under Rule 49A of the Rules. The J.S. VERMA, B.N. KIRPAL
interpretation of the phrase " an inquiry is contemplated" as given in Jawahar Lal
Bhargava's case is supported by the intention as expressed by the Government in the
ACT:
instruction contained in Appendix IV.
99. My conclusion, therefore, is that the deletion of the Note to Rule 49A does not render
the decision ofthe Full Bench in Jawaharlal Lal Bhargava's case as inoperative. HEADNOTE:
100. By the Court-In view of the majority opinion, the answer to the question of law
involved Is as below. JUDGMENT:
Suspension pending inquiry under Rule 49 A of the U.P. Civil Services {Classification,
J U D G M E N T KIRPAL. J.
Control and Appeal) Rules or Rule 1Aofthe U.P. Punishment and Appeal Rules can be
ordered at any stage prior to or after the framing of charges, when on objective This is an appeal from the judgment of the Allahabad High Court which had allowed the
consideration the authority concerned is of the view that a formal departmental writ petition filed by the respondent and quashed an order of suspension which had been
inquiry under Rules 55 and SSA of the CC.A. Rules or Rules 5 and SA of the U.P. passed pending prosecution launched against him. Briey stated the facts are that during
Punishment and Appeal Rules is expected, or such an Inquiry is proceeding. At what the year 1984-85. The respondent was working as Clerk-cum-Typist in Allahabad Bank
stage the power under the above rules can be exercised shall always depend on the with on of its branch at Lucknow. An investigation was conducted by the Delhi Special
facts and circumstances of each case. Police Establishment and a case was registered on 29.8.1986. The C.B.I./S.P.E., Lucknow,
after investigation, submitted a report whereupon the Superintendent of Police wrote a
101. The records of the Special Appeals shall now be sent to the Division Bench concerned letter dated 18.9.1987 to the appellant bank for according sanction for prosecution of the
with our opinion on the question of law involved. respondent and one other person namely Ajay Bhatia inter alia for criminal mis-conduct
and cheating.
On the receipt of the aforesaid letter the appellant took steps to accord sanction to
prosecute the respondent. It also decided to take action under clause 19.3 (a) of the first
Bipartite Settlement 1966 between the management and the Union and to suspend the
respondent. Accordingly, the suspension order dated 23.9.1987 was passed which reads
as under :

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"Since it is revealed that you while functioning as clerk-cum- typist in Allahabad bank. made the endorsement in the cheque issue register against this entry. Shri Deepak Kumar
Aalam Bagh. Lucknow during the year 1984- Bhola signed as Rajendra for having recieved the said cheque book on behalf of NC
holder, the ledgers of S.B. NC Nos. 2284 belonging to Sri Shanti Prakash and Smt. Prem
85 entered into a criminal conspiracy with Shri Ajai Bhatia. Clerk-Cum-Cashier under
Lata, show that the cheque book containing cheque Nos. 7631. 7640. 7581 to 7590 and
suspension. Shri H.R. Gurnani Advocate, lucknow and some unknown persons with the
7551-7560 respectively were issued to these NC holders when actually none ofthese
common object to commit the offences of criminal misconduct and cheating by adopting
account holder shad ever applied for any cheque book nor actually cheque book was
corrupt and illegal means or otherwise abusing your position by obtaining undue
issued to any of these person and fictitious entires were made in the ledger account.
pecuniary gain for yourself and or others and since steps to get you prosecuted have been
taken, you are hereby placed under suspension with First Bipartite Settlement dated The cheque no. 7631 amounting to Rs. 9560.62 paisa and cheque no. 7632 for Rs.
19.10.1966 pending proceedings against you. 7532.00 was purportedly to have been issued by genuine account holder Lekha Ram of
Account holder of NC No. 2484. Another cheque No. 7551 amounting to Rs. 1400.00
During suspension period you will be paid subsistence allowance as per rules. You will
cheque No. 7552 amounting to rs. 14.800.00 purportedly have been issued by Sri Shanti
also not leave station without prior permission of the competent authority during
Prakash NC holder of account No. 1103 and cheque No, 07775 for Rs. 12800.51
suspension period. You are also required to submit in writing your local postal address
purported to have been issued by Sri Gajre Sharma account holder of NC No. 2618 were
where you wantto be communicated hereafter."
presented in the Corporation Bank. Quiaser Bagh Lucknow by Sri Deepak Kumar Bhola
Pursuant to the sanction ofthe prosecution charge sheet dated 29.9.1987 was filed in the aforesaid who was working as Clerk cum Typist in Allahabad Bank Alam Bagh Branch.
court against the respondent. Thereupon, the court issued summons on 26.11.1987 to Lucknow in the name of Rajendra Rathore. Shri H.R. Gurnani, Advocate, Lucknow had
the respondent filed a writ petition in the Allahabad High Court challenging the aforesaid introduced Shri D.K. Bhola as Rajendra Rathore at the time of opening of account and Shri
order of suspension. By the impugned judgment dated 23.4.1991 the High Court came to H.R. Gurnani Advocate had his own account No. 87 in the said Corporation Bank, Sri
the conclusion that by the mere fact that a person had entered into the criminal concpiracy, Deepak Bhola, aforesaid submitted five pay in slips for deposing the cheque no. 7551 for
it could not be regarded that an offence involving "moral turpitude" had been committed Rs. 11400.60, 7552 for Rs. 14800.00, 7632 for Rs. 7532, 7631 for Rs. 9560 and 7775 for
and, therefore, the appellant had no jurisdiction to pass the order of suspension. The High Rs. 12800.51 through five cheque No. 021721 dated 24.4.84 for rs. 11000.00, 021762
Court, accordingly, quashed the suspension order and directed the payment of full salary dated 1.9.84 for Rs. 1500.00 021763 dated 15.8.84 for Rs. 17000.00, 021765 dt. 25.9.84
and allowances to the respondent. This appal arises as a consequent of special leave for Rs. 11000.00, 021762 dated 1.9.84 for Rs. 1500.00, 021763 dated 15.8.84 for Rs.
having been granted to the appellant. 17000.00, 021765 dated 25.9.84 for Rs. 21900.00 and 021767 dated 25.9.84 for Rs.
It has been contended by the learned counsel for the appellant that the respondent had 203.73 paisa. Said Deepak Kumar Bhola impersonating himself as Rajendra Rathore
committed an offence involving moral turpitude and, therefore, the appellant had the operated S.B. NC No. 3206 in Corporation Bank. Quiserbagh Lucknow and withdrew the
jurisdiction to suspend the respondent. The submission of Mr. R.K. Jain, learned senior entire amount. Whereas, the aforesaid account holders Sri Lekharam having NC No.
counsel on behalf of the respondent, however was that on the facts and circumstances of 2484, Sri Shanti Prakash and Srimati Premlata Ne No. 1103 and Sri Gajraj Sharma Ne No.
the case when nearly 10 years have elapsed, this court should not interfere. It was further 2618 never issued these cheques and never availaed the cheque facility in operating their
submitted that there had been no application of mind by the bank to the passing of the respective accounts.
suspension order and the High Court was, consequently, right in quashing the order of Total sum of Rs. 56.103. 77 was withdrawn from said fake account No. 3206 by Sri Deepak
suspension. Kumar Bhola by issueing five cheques by signing as Rajendra Rathore."
The charge sheet, which was filed, specific the acts of commission commissions which On the basis of the aforesaid allegations, the respondent was charged for offences
were alleged to have been committed by the respondent and others. The acts as specified punishable under Sections 120(8}/429/420/467/468/471 I.P.C. and 5 (2) read with Section
by the charge-sheet are as follows: 5(1 }(d} of Prevention of Corruption Act. 1947.
"Shri Ajai Bhatia, while functioning as Clerk-cum-Cashier Allahabad bank. Alam Bagh It will be appropriate for refer clauses 19.2 & 19.3 of the First Bipartite Settlement under
Branch, Lucknow during the year 1984-85 had shown the issue of cheque books bearing which orders were passed suspending the respondent. These clauses read as follows:
SI. No. 7771 to 7780 against account no. 2618 in name of Shri Gajraj Sharma, and he
"19.2 By the expression"

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offence" shall be meant any offence involving moral turpitude for which an employee is his conduct must beheld to be due to vileness and deprivity. It will be contrary to accepted
liable to conviction and sentence under any provision of law. customary rule and duty between man and man"
11
19.3 (a) When in the opinion ofthe management an employee has committed an offence, In our opinion the aforesaid observations correctly spell out the true meaning of the
unless he be otherwise prosecuted, the bank may take steps to prosecute him or get him expression "moral turpitude". Applying the aforesaid test, if the allegations made against
prosecuted, the bank may take steps to prosecute him or get him prosecuted, the bank the respondent are proved, it will clearly show that he had committed an offence
may take steps to prosecuted and in such a case he may also be suspended. involving moral turpitude and, therefore, the appellant had the jurisdiction to suspend
him under the aforesaid clause 19.3. The High Court observed that there was nothing on
(b) If he is convicted, he may be dismissed with effect from the date of his conviction or be
record to suggest that the management had formed an opinion objectively on the
given any lessor from of punishment as mentioned in Clause 19.6 below".
consideration of all relevant material available against the petitioner that in the
It is evident from the bare perusal of the aforesaid clauses that if in the opinion of the circumstances of the case the criminal acts attributed to the petitioner implied depravity
management, an employee has committed an offence, then the bank may take steps to and vileness of character and are such as would involve moral turpitude. It did not regard
prosecute him and in such a case, he may also be suspended. The word "offence" entering into a criminal conspiracy to commit the aforesaid offences as being an offence
occurring in clause 19.3 (a) has been defined in clause 19.2 to mean any offence involving involving moral turpitude. We one, to say the least, surprised at the conclusion which has
"moral turpitude" for which an employee is liable to conviction an sentence under any been arrived by the Allahabad High Court. There was material an received before the
provision of law. appellant, in the form of the report of the C.B.1./S.P.E., which clearly indicated the acts of
What is an offence involving "moral turpitude" must depend upon the facts of each case. commission and commissions, amounting to "moral turpitude alleged to have been
1

But whatever may be the meaning which may be given to the term "moral turpitude" it committed by the respondent. further more the respondent has been charged with
appears to us that one of the most serious offences involving "moral turpitude" would be various offences allegedly committed while he was working in the bank and punishment
where a person employed in a banking company dealing with money of the general for which could extend upto ten years imprisonment (in case the respondent is convicted
public. commits forgery and wrongfully withdraws money which he is not entitled to under Section I.P.C.).
withdraw. We are unable to agree with the contention of learned counsel for the respondent that
This Court in PAWAN KUMAR vs. STATE OF HARYANA AND ANOTHER. (1996) 4 sec 17 at there has been no application of mind or the objective consideration of the facts by the
page 21 dealt with the question as to what is the meaning of expression "moral turpitude" appellant before it passed the orders of suspension. As already observed, the very fact
and it was observed as follows" that the investigation was conducted by the C.B.I which resulted in the filing of a charge-
11
sheet, alleging various offences having been committed by the respondent, was sufficient
"Moral turpitude" is an expression which is used in legal as also societal parlance to
for the appellant to conclude that pending prosecution the respondent should be
describe conduct which is inherently base, vile, depraved or having any connection
suspended. It would be indeed inconceivable that a bank should allow an employee to
showing depravity".
continue to remain on duty when he is facing serious charges of corruption and mis-
This expression has been more elaborately explained in BALESHWAR SINGH vs. DISTRICT appropriation of money. Allowing such a employee to remain in the seat would result in
MAGISTRATE AND COLLECTOR. BANARAS, AIR 1959 All. 71 where it was observed as giving him further opportunity to indulge in the acts for which he was being prosecuted.
follows: Under the circumstances, it was the bounden duty of the appellant to have taken recourse
"The expression "moral turpitude 1 is not defined anywhere. But it means anything done to the provisions of clause 19.3 of the First Bipartite Settlement, 1966. The mere fact that
contrary to justice, honesty, modesty or good morals. It implies depravity and wickness of nearly 10 years have elapsed since the charge-sheet was filed. can also be no ground for
character or disposition of the person charged with the particular conduct. Every false allowing the respondent to come back to duty on a sensitive post in the bank, unless he is
statement made by a person may not be moral turpitude, but it would be so if it discloses exonerated ofthe charge.
vileness or depravity in the doing of any private and social duty which a person owes to In our opinion, the High Court was not justified in quashing the orders of suspension. We,
his fellowmen or to the society in general. If therefore the individual charged with a accordingly, allow this apeal, set-aside the impugned judgment t the Allahabad High
certain conduct owes a duty, either to another individual orto the society in general, to act Court and dismiss the Writ Petition No. 6118/1988 which had been filed by the
in a specific manner or not to so act and he still acts contrary to it and does so knowingly, respondent. There will, however, be no order as to costs.

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ANNEXURE - 32 ANNEXURE - 33

Rule 9 (6) (b) of CCS (Pension) Rules "'- .... BEML LIMITED
Corporate Office, BE.ML Soudha
Bangalore S60 027
6. Recove ry from Pens ion of pecuniary loss caused to General Bul!etU'l No. 1:2. 2..J
C'.overnmcnt.
-.
Sub : VlcUanee Clear.anco ror E:xecutlvoa / Employee• oflho Comp any - Rewed Norm,
1h April 20 I I

Ln cases where pension as such is not withheld or withdrawn but

The cl<iating procedure / norms regnrding obtaining Vigilance Clearance in respect or
the amount of any pecuniary loss ca1L~ed 10 Government is o rdered to be Execu1h•e• / Employees was regulari,..,d, vide CeMral Bulletin No. 1187 dated 18.07.2008.
recove red from pension. the recovery should not ordinarily be made at a
12) In 1upcrcession to the above mentioned Oencral Bulletin, the !.>!lowing rcvi•cd procedure
rate exceeding one third of the gross pension originally sanctioned will come mto force with immediate effect :
including any amount which may have bed'! commuted. This is an I C..sea whore Vigilance Clearance le required :
administrative decision bnsed more on equitable considerations for. (aj Vigilance Cltamnce ahould be obtained in respect or following case• before
Ma.na,gcment 's approval is ncc:orded :•
legally speaking. it is permissible under rule 9 of lhe CCS (Pension) l•l Confirmation on appotntment / promotion
Rules. t9n to set off the pension in full towards the recovery. till NOC for Issue of Pusport
(UIJ Ueputuuon within the Country and Foreign assignments, Including busin- /
offic1al tripe abroad
("') Penional visit, abroad •
M Tnllning abroad, Including Seminu, and Conference abroad
(vii Forw11rding of application through proper channel to other PSUs, Oovemment
depanmcnt (Both Central & State Qov.,mmenta)
lvi•J To attend inte>"'liews for aclection for employment to other PSUs / Oovcmmcn,
Departments (Both Centrnl & State Departments)
(w1J Awards, including National / International
(ix) Posting to the sensitlvc 11reaa, including 1'ranafcr to / from Sensitive areas /
Dcpo.rtmcnts, such ao Bills payable, P1\Yfolls, Purchase & Ston,s. Rccruitme.nt
& Promotions, Security, Vigilance. Construction & Plant Ma.intnenaco, Canteen.
Sub,Contract Cell, etc
(x) Compulaory / Normal / Voluntary Retirement / Rc,iignation
(xl) Pl-c, maturc retircmen,
(MliJ Extension/ re-employment/ oommerc:ial employment , alter ~etircmcn1
(xiil) Recruitment (regular / deputation / contract / assignment basi•J to posts in all
diacipHnes of the Company. joining from other PSUs / Oovernmm11
Departments (Both Central / State Oovcmment)
{xiv) Re-employment afkr retirement from defence services, PSUs and Oovcmmeni
Departments (Both CcntraJ / Slale Oovemmenl)
0

(bJ F'unher to the above, the following formats should be utilm:d by the respective HR
Departments while seeking Vigilance Cltaranet from the concerned Vigilance
Ocpanments In respect or matters indic.ated againot ench below : -
{ij For the PESB intervitw / selection An.rtc.x,uo - 1
(lil For other pu.rposco like confirmation
/ promotion / ouUride employment, cte Azuae.xure - IJ
(iii) For the purpose o! obtaining Passport /
Visa / "!'ravel to be made by lh< tndividual Annuurc - W
Employee / Executive (Wltb Appoodt,,J
The HR Departments concerned 4n: requested to adhere to 1ttJt formal.$. without which
V1gt1ancc Department will not enLertaln auc:h reqursts., l: : ,' • / \ , -,.--. -
1 1
I 'JJ1c: I • •, . .. 2

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ANNEXURE - 34
Conunuat,on to 08 No I l. 2. r datod 19 04 2011
/ 2/
II Funhcr, 11 " indicated that Vigilnncc ClcAroncc t• given by the Vlcilance Department
based \lp011 v!plancc C&lld ln,tiatcd / pc,nding / contemplated at the I.UTI< of s,.,king ~o. OOS-\'GC-101
\ '1gililncc Clearance and such clearance is vahd for a penocl of 30 days. The accordal of Go,..,mment oflndla
\'sg,lance Clearance would be preceded by the followma procedure• • Central Vigilaotc Commission
(al Co.>ea im-.:atlgatcd and charges ~ ag,unat the employee / officer and repon •••••
sent 10 chsC1plmary authon1y, along w,lh g,a1 of charges / punishment awarded, ,f Sarad.11 Bhat·AII.
any. for lASI 3 years arc to be fmnJshcd by reepc:cnvc HR Department GPO Complex, Blocl:-A.
(bl If the lnformatlon u, respect of 2 (Ill (a) •• 'nil', then the V,gilance Department INA. New Delhi-110 023
should give Clear.once, stauna that there s, no Vig,lance Cue againt the Employee D~tcd . 11 8 Augun. 2005
/ Officer for the last 3 ye""- To
(c) Vigilance ClcllJ''1rtCC will no t be accorded m case of the follow,.ng •
(il Contemplauon / pending of \ll&IIMCC cases on the date of vigilance clcaranc:c AD Ille CVOs o r Minisllies / Oepa1mcnt.s, Banks / PSUs / Organisations.
requirement.
[uJ Cases pending In terms ol COA Rules/ Standing Ordcra / Service Rule•
(w) Officer / Employcc who •• """"' ~"•""no,on. Sub. Grant of V,g,lance Ocaronce - <e9ard1n11 int~nm additional I concu1Tcnt cha,ve.
J.-) Officc,r / Emp?oycc m respect of whom a c ht1.tge sheet has been iuu ed and
dlsciplmllt)' proceddings nrc pendmg.
l•I Officer / Emplovee in respect of whom prowcutlon for • cnmsnal charge "' Sw/Madom,
pending
1>1) Officer / Employee undergoing a pennlty imposed by lhe Disd phnnry
Authority or ""-ntencc ordered by a Coun of Law Acc«ding 10 lhe iMtruclioM con131ned Ill Department of PetSOMCI & Trt!lning OM No.21'(5)-
lviiJ ;:(on-submission o{ up to date Annual l'Topeny Returns (appheahle for Ol!iccn, Eot88(ACC) doted 4.8.1968 and 27/12/E0/94(ACC) dated 30/7/1999 vigil311U cleamnce Is required
only) from the Conni Vigilance Comm.ss.on in respect or officaers wlto Me anaay holding Bo:1rd I.eve!
(di While seeking Vigilance Clenrance ttlevant pouua ae mentioned in the a~-e paras poslllons and wtto have been recommended for higher Board level posts Ho'Nevcr, lhe Commission
may bc pTOY1ded bJ1 the ttapcctn-e HR O.:partmcnL has been considering eases of all officers recommended by PESB r« Board in position in PSBs
irrespectille of their holding Boan! level or beloW Bo3rd level postings. As pct subsequenl Instructions
tel A photo-copy of no1c-ahce1, 11longwi1h Vigilance Clearance given ahall bc kept with of OOPT contained in !heir OM No 1/12/2003-EO{SMII) dalcd 12.4.2004, app10val of ACC Is required
Vi&lJance Department for records and reference. r« additional ch3f'!le arra09emcnlS made for higher posts, ~ re<;1ular appoiniment lo which ra1s within
Ill V1111L1.nce Clearan<lC sn respect of caocs covered under SI No: I •• (xJ.i1J ti, (xiv) aho.11 be the!l)UMCWOIACC.
obuuned from the Vsgslance Ocpanrnent of PSU• / Oowrnmcnt Departments (Both Ccntrl11 /
State Government) through their HR depllJ'lment, from where the Execum-e / Emplo)cc: ••
bcsng n:crun,d OR re-employed alter rcun:mcnt 2. It has been observed lhat certain Oe panmen1$1PSEs seell clearonce from the Commi»ion for
ad6Cional/concurrent charge/arrangements. In th"' connection. k ,s elanfied th.II whenever $Orne
I\ Further, a1 the time or lasunnce of Offer of Appointment, lhc pro:,pectl"" Execuuve / officer Is grven addtbonal charge of another pool ror a short duration • e. up«> 3 months. clearance
Employee may be requested to fum!Sh " copy of lhe V1gjlance Clearance given by the from the eve will not be required. In such coses, cvo of lhe organiz.,bon would give the vigilance
V,g,lancc Department of his / her pr.,..,.us employer In ease the applicant ss not in position dearonee.
10 funush copy of Viwlancc Clearance AO Ahnv~. •am• mo.y be referNd to bl:, / her previous
employer for clew-nncc and if the same sa not received within 4S days of jointng the Company,
the matter may be referred to CVO, BEML for getting the cJcarancc from their end. l'Tobauon
-.,II get dosed only nftcr ob1.a,n1ng the Vigilance Clcaronce either from the previous employer Yours Wthfuly,
or from the Vigilance Department of BEML.
V The Cc'OSUng practJcc of IC\'CI of cxecuU\n vu,a-vt1 authonty according the Vigilance
Ctcarn.ncc remaans unaJtcmed.
(31 F';~• formauon and atnct comp!J&ncc please. (MANGE LAL)
DEPUTY SECRETARY
Tele fax : 24651010

JA.K.. It I \ "I \ \;\\ I \

Gene ral Manager (HRI

208 VIGILANCE MANUAL VIGILANCE MANUAL 209

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(iii) If a compla int contains verifiable aUegations, the administrative

No. 104/76/2011-AVD.I Ministry/Department may take cognizance of such complaint with
Govcmmcnt or lndw tl1e approval of the competent authority to be designated by the
Mini SU) or Pl:rsonnel & Pubbc Oncvanccs & Pensions Ministry/ Department as per their distribution of work. In a uch cases,
(Department or Personnel & Training)
the complaint will be first sent to the complainant for
New Delhi. Dated October 18, 2013 owning/disowning, as the case may be. If no response is received from
the complainant within IS days of sending the complaint, a reminder
OFFICE MEMORANDUM will be sent. After waiting for IS da,ys after sending the reminder, if
still nothing is heard, the said complaint may be filed as
Subject:- Ouidcbnes regarding handl,ng or complain ts in
Ministries/Departments. p seudonymous by the Ministry/ Department.

4. In structions contained in pa.ra-3 above would also be applicable (with

The undersigned Is directed tO say thnt the instructions rcgardmg a ppropriate competent authority to be designated under para 3 (iiil above)
dealing with nnonymoua and pseudonymous complaints as contained in this for dealing with complaints against Secretaries to the Government or India
Deparuncnt's OM No. 321/4/ 91-AVD.lll, dated 29,,. September, 1992 and as or Chief Executives / CMDs / Functional Director of PSEs/PSBs/Pls, whicb
reiterated vide DOP&T's OM No. 371/38/97-AVD Ill , dated 3/ 11/ 1997, will continue to be referred to the Cabinet Secretariat for placing before the
being at variance with insuucuons issued by eve in this regard v1de Group of Secretaries headed by the Cabinet Secretruy/Secretary (Co-
curcular No.3M/99/2 dated 29o1, June, 1999, No. 98/DSP/9, dated 31 61 ordination) in the Cabinet Secretarial, as the case may be, as per procedure
January. 2002 and 11"' October. 2002, had been receiving the attention or given in Department's OM No. 104/ 100/2009-AVD.I , dated 14 /1/2010 and
the Government for the past some umc. DPE's OM No. 15(1)/2010-DPE(GM), dated 11/3/2010, as amended from
time to time.
2. The matter was examined afresh in consultation with the Central
Vigilance Commission. Subsequent to the PubUc Interest Disclo1,urc &
Protection of Informers' Resolution - 2004 (PIDP1), the Commission has
created a mechanism for handling complaints where identity of the ( 0. Srinivasan )
complainant is kept secret and the complainant is provided protection This Under Secretary to the Government of India
has been endorsed and operationalized by the Central Government with the
approval of the competent authority. To,

3. In view of the fact that complainants who desire to protect their 1. All Ministries/ Departments as per s tandard circulation list
identity now have the protection of the Public lnterut Disclosure & 2. Secretary, Central Vigilance Commission
Protection of Informers' Resolution - 2004 (PIDPII, the following procedure is 3. Department of Public Enterprises
laid down for handling anonymous and pseudonymous complaints. in 4 . All Desks/Sections of DOP&T
supersesslon or instrucnons conwncd in DoP&T's OM No. 321/4/91· ,r-?.uard File
AVD.111 dated 29"' September, 1992: V"· ~IC, DOP&T Cell for placing a copy of this OM on the website of the
Ministry.
(i) No action is required 10 be taken on anonymous complaints,
itTespcctMe of the nature of allegations and such complaints need to
be simply ft.led.

(ii) Complaints cont.rurung vague allcgat.ions could also be filed without

verification of identity of the complainant.

210 VIGILANCE MANUAL VIGILANCE MANUAL 211

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ANNEXURE - 36

Subject:. Adoption or Integrity Pact -Standard Operating Procedure.reg.

1.0 Background
No. 008/CRDI013
Govenwnent of India 1.01 The Central Vigilance Commission has been promobng Integrity, transparency,
Central Vigilance Commission equity and competitiveness in Govemment/PSU transactions and as a part or V191lance
admlnlstr3ti0n and supeontendence. Public proeuremenl is a major area of concern for
SaMta Bhawan, Block-A, the Central Vigilance Commission and various steps have been taken to put proper
GPO Complex, INA, systems in place. Leveraging technology, especiaJJy wider use of the web sites for
New Oelh!-110023. disserrunatlllg 1nformabon on tenders. clearty defirnng the pre qualifical!On crite!ia and
Dated:1~ other terms and conditions of the tender are some of the steps recentty tlken at the
Circular No. 10/5/09 Instance of the Cormllsslon. In !his coniext, Integrity Pact (IP). a vigilance 1001
conceptualized and promoted by lhe Transparency lntemauonal. has been found to
S!Eject- Adoption of Integrity Pact-Standard Operating Procedure. be usefUI. The Commlsskln has, through ns Office Orders No. 41'12/07 dated 04.12.07
reg. and 43/12/07 dated 28 12.07 and Circulars No. 18/05/08 dated 19.05.08 and 24.08.08
dated 05.08.2008 (copies al)l)eflded), recommended adol)tion of Integrity Pact and
provided basic guidelines for ns irrc>lementlbon 11 respect of maior pn:,rurements m the
The Commission has formulated "Standard Operating Procedure· ror Government OrganiZations.
adoption of rntegnly Pact in major Govt. Department/organisations. A oopy or the same
is enclosed ror infonnation and necessary action.
2.0 Integrity Paet
2.01 The pact essentially envisages an agreement between the prospective
vendOls/bldClers and tile bUyer, committing the personstofficlals of both sides, not to
resort lo any corrupt practices in any aspect/stag,e of the contr3ct. Only lhose
vendOfSlbidders, Who commit themselves to such a Pact wrtll the bu\ler. would be
(Shalini Dal>ari) considered competent to parucipate 111 the bidding process. In other words, entering
Director
into thiS Pact would be a prelimlnary qua!ificauon. The essential 1119redlents of the Paa
l'ldude:
All Chief Vig~ance Officers
• Promise on the part of the principal not to seek or accep1 any benefit,
'Mlich is not legally available;
• Prinapal to treat al bidders w,th equty and reason;
NOTE: SECTION 6.02 (l) & 6.02 (ii) OF THE SOP ON INTEGRITY PACT HAS • Promise on the pan of bidders not to offer any benefit to the employees
of the Principal not avaiable legaly,
BEEN DELETED WITH CIRCIULAR No. 31/08/10 DATED 13.8.10.
• Bidders not to enler into any unatSclosed agreement or understandi'lg wtth
other bidders wtth respect to pnces, specifications, cerbflcatloos.
subsidiary conlracts, etc.
• Bidders not to pass any information provided by PnndpaJ as part of
busness relationship to others and not to commit any offence under PC/
IPC Act;
• Foreign bidders to disclose the name and address of agents and
representatives in India and Indian Bidders to disclose their fore91
princtpals or associates;

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3. 1O tnfonna(ron retallnO to tenders rn prooress and under rrnaJization would
• Bidders to dssdose the payments to be made by them to agents I brokers or need to be shared with the IEMs on monthly basis
any other ntermediary.
• Bidders to disclose any transgressions wrth any other company that may 4.0 Role /Functions or tEMs :
impinge on the anti corruption pnnclple.
4.01 IEM would have access to an Contract documents, whenever required.
2.02 Integrity Pact. in respect or a parocular contract. would be operative
ldeatty, al tEMs of an orgaruzatron should meet en two months to take stock cl
from the staoe of invJtaboo of bids Ill the rnal completion of the contract Any
lhe onooinO lenelerinO processes.
violation of the same would entail clisqua]ifica110n of the bidders and exclusion
from Mure business dealings. 4.02. It would be desirable to have structured meebno of the tEMs with the
Chief Executive of the organi2ation on a monthly baslS to discuss/review the
3.0 Implementation procedure: riformabon on tenders awarded II the previous month.
3.01 Adoption of IP is I/Oluntary for any organization, but once adopted, it
4.03 The IEMs would examine an complaints recelved by them and olve their
should cover as tenders /proa.rements above a specified threshold vakle recommendatlonsMews to the Chief Executive of the oroanization, at the
earliest They may atso send their report dlrecuy to the cvo and the
3 02 Toe lhreShold value for the contracts to be covered lhrough IP Should be Commission, in case or suspicion or serious irreoutarities requinno
Cled<led after conductJng proper ABC analysis and shOuld be fixed so as to tegalladrrmstrative actJon.
cover 90-95% of lhe to«al procurements of the organiZa!Jon ln monetary terms.
4.04 At least one tEM shOuld be invariably cited In the NIT. However. for
3.03 Apart from all high vakle contracts. any contract invoMno complicated or ensunno the desired transparency and objectivity In deafino With the
senous issues could be brought wrthin the ambit of IP. after a considered complaints arislno out or any tendefinO process, the matter should be
Cleeision of lhe manaoement examined by the lull panel of IEMs, Who would took rito the records, conduct
an 1nvestl1)31ion. and submit their joint reoommendauons 10 the Manaoernent
3.04 Toe Purchase / procurement WVl9 of the organization would be the focal
4.05 Toe recommendatrons of IEMs would be in the nature of advice and
point for the Implementation of IP.
would not be teoally btndino. At the same Ume, ~ must be understood that tEMs
3.05 Toe Vigilance Department would be responslble trre.e.v, enforcement. are not con.suttants to the Management. Their rae is independent rn nature and
and repormo on a l related Vigilance issues. the advice once tendered would not be subject to rev-.ew at the request of the
Olllan1Z3bon
3.06 It has to be ensured, through an appropnate provlSion in the contract.
that IP is deemed as part of the contract so that the parties oonoemed are bot.nd 4.06 The role of the CVO of the organlzatron shall remain unaffected by the
by its proYISIOOS. presence of IEMs. A matter being examined by the IEMs can be separately
investigated by the cvo in terms of the provisions of the eve Act or Vigfiance
3.07 IP shcukf cover au phases of the contract, I.e. from the stage of Notice Manual, 1f a complaint Is received by hem or drreded to him by the
Inviting Tendef (NIT)/pre--bld stage UR the COOCIUSIOO of the contract. I.e. the final Conmsskln.
payment or the durallon of warranty/guarantee.
5.0 Appointment of IEMs
3.08 IP would be implemented throuoh a panel of Independent External 5.01 Toe tEMs appointed shoUld be eminent persooalities or hioh Inteonty
Monitors (IEMs). al)P()lnted by the organization. Toe IEM would review and reputatron. The Comm1ssron would approve the names or IEMs out or lhe
independently and objectlvely, whether and to what extent parties have
panel of names, initiated by the organization concerned, In
complied wrth their oblioations under the Pact.
associabonlcoosuttafion wilh the cvo.
3.09 Penod1cal Vendors' meets, as a fam1tiarization and confidence building
measure. would be desirable ror a wider and realistic compliance or the 5.02 Wll1le forwardino the panel, the oroan!zation would eodose detalkld blo-
pmcipleS of IP. data rn respect or all names proposed. Toe detafls would include postJngS
before superannuation, special achievements, expenenee, etc., In Government
sector. It IS desirable that the persons proposed possess domain experience

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ANNEXURE - 37
of the PSU actMlles or the relevant field with Whlch they may be requred to
deal. No.007NGL/033
Govefrvnent ol fndia
Central Vigilance Commission
5.03 A maiamum of three IEMs would be appointed for Navratna PSUs and
up to 1Y,O tEMs lor OlhetS.
. . ....
5.04 Olll3fllzatlons coutd propose a panel or more than three names ror the Satall<ta Bhawan, Block-A
COllSideratlon or the Conm.sslon. GPO complex, INA.
New Delhl-110023
5.05 Persons appointed as IEMs in two oroanizations woold not be Dated the 4°' Oeoember 2007
considered ror a third 01 oai lization.
Office Ordor No.41/ 12/07
5.06 For PSUs havin!I a lar9e temtolial SPre3d or those haWl!I several
subsi<fianes, there could be more IEMs, but no1 more than two IEMs would be
Subject: Adoption o f Integrity Pact in major Government Pr ocurem ent
35sq-,e<1 to one sut>siOlary
Actlvitfos. regarding.

5.07 Remuneration payable to the IEMs wootd be equivalent to that Ensur1119 transparency, eqUtty and oompelJ!iveness In public
admissible to an Independent Oireaor in the oroan12auon. This remunEration prOCUl'ement has been a major concern ol the Central Vigilance Commiss,oo and
would be paid by the O!!lanz311Cn concerned various steps have been taken by it ID bring lh!S about Leveragmg lechno!Ogy
speclatly wfder use of the web-sites for disseminating lnlormalion on tenders. ngntly
5.08 The terms and oond1t10ns or appo,ntmen~ inciudlflO the rellll.flerauon defining the pre,<iualificaaon critene end olhef terms and conditions of the tender are
payable to the IEMs, should not be lnclUded In the Integrity Pact or the NIT. some of the S1eps feQenlly taken al the tn51ance of the Commiss10n in or~r to bring
They could be communicated Mvldualy 10 the IEMs conoerned about greater transparency and competition In the procurement/award or tender.
5.09 The normal term of appointment for an IEM wootd be 3 years, and It 2. In this context, Integrity Pact a vlgiance tool first promoted by the
would be sub!e<:t 10 renewal by the Commission lhere:iner Transparency lntern.ldonal, has been found to be useful The Pact essenbally
envisages an a g - 1 between the prospective vendor$/bidde<$ and the buyer
comm1tbng the per&ons/offidals of both the parties. nol to exercise any corrupt
§.o Review System : Influence on any 9spec1 of the cootract Only !hose vendors/bidders who have
entered Into such an lntegnty Pact with the buyer would be eompelef'lt to participate
6 01 An Internal assessment or the Impact or IP shall be carried out in the bidding, In other words. enl~ into this Pact would be a preliminary
peri0<!Ica1ty by the CVOs of the organizations and reported to the qJalification The Integrity Pact in respect or a particular contraa would be effective
Cornmissb'l. from the stage or inv,tsuon of blM till lhe complete exeOUtJon ot the contract

6.02 Two additional reVieWs are envisaged for eaeh organization in due ccuse. 3 The Integrity Pact envisages a panel ol Independent External Monitor5
(IEMs) approved for the organlzallon. The IEM Is 10 review independently and
(j) Flllaflclal mpact review, Which coutd be conducted lhrough an objecllvely. whether and to what extent partleS have complied With their obllgabonS
independent agency like aud~ors. and under the P 11et. He ha$ nght ol ecceu to an ptOject csoeumentaaon The tt,onl\Of
may exatn1ne any complaint recel\led by him and submit a repon to the Cl11el
(i) Phys,cat review. Which could be done 1/Vough an NGO of tmaed Executive O'f the organization, at the ean est. tie may also submit a report directly to
aedlbility n the particular field. the CVO and the Commission, in case of suspicion of serious irregularrties attracting
Ille prov'tSlons of !he PC Act However even though a contract may be covered by
en lnregnty Pad, the Central Vigl!BJ1ce eornn-.ssion may, at its discretion, have any
complaint rece111ed by It relating to sueh a contraa. invest,gated
6.03 It is proposed to include the progress n the implementation of IP In the
Annual Report of the ComllllSSlon. CVOs of al Of9311IZ3tlonS would keep the 4. The CommlsslOO would recorrvnend the lntegnty Pact concepl and
Commlsslon posted With the lmplemenlation status through their monthly
reports or special repons, Wherever ne<:essary.
encourage its adoplion and implementation Ill respect or au major procurements of
the Govt. organizations As it Is necessary that the Moo,tors appointed 6hould be of
high lntegrlry and reputacion II has been decided !Nit the Commission would
7JJ All organizations are called upon to make sincere and sustained efforts to
approve the names of the persons to be included in the panel The Govl!ffllllfflt
imbibe the spirit and principles of the Integrity Pact and carry it to Its Organiubons are, thefefoie, req..-ed to submit a panel of names of eminent
effective implementation.

Enclosures: All earter gulClellnes, issued by the Cenlllll Vigilance CornmlSSIOll, on the
&lljed.

-
216 VIGILANCE MANUAL VIGILANCE MANUAL 217
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ANNEXURE - 38
persons of high integnty and repute and expenl!nee in the relevant held. lhrougl'I
No.007NGIJ033
lheir admnstrabve Mllllilry. for considera\1011 and appov,11 by the Comm1sst0n ilS
Government of India
Independent External Monitors. The term& and condttlons indud,ng lhe rem1.11erat on
payeble to the Mool0/'6 need n01 be a p8l1 of the Integrity Pact and the same cclMJ
be ~parately communicated It has elSo to be ensUfed by an &PIJropnate prov s,on
....-.
Central Vigilance Commission

in the co111rac1, 1hat Ille lntegmy Pad IS deemed as pan of Ille contnct in order 10
en,11• that the parties are bound by the rc&comtne'ldat,on of the IEMs, 111 c:aw any Satarkta Bhawan, Block-A
complaint refabng to the contracl 5 fouod suoslantJated GPO complex. INA,
New Delhl-11 0023
s A copy of me Integrity Pae! YlhiCh the SAIL got vette<I '&/ IOe AMI 111
Dated the 28 December 2007
Sol Cltor General IS aYS1table on lhe Comm11s51on's web-site , e w#N evenic; in as an
attachment to this Offioe Order an downloadallle form. whlc:ll may be used in ong,naf Office Order No.43/12/07
or may be suitably modified ,n order to rt-' the 111d1vldual orgarnubon s
requ,rements Subject: Adoption of Integrity Pact in major Government Procurement
Activities- regarding.

L.Lt... Reference is invited to Commission's office order no. 41/12/2007

circulated vide letter of even no. dated 4/12/2007 on the aforementioned subjecl
lt\11.\u•\ (Vlneet Matl1U')
Deputy Seaetary
2. The Commission vide para 4 of the aforementioned office order had
directed that the organizations were required to forward a panel of names of the
eminent persons of high integrity through their administrative ministries for
consideration and approval by the Commission as IEMs.

3. The matter has been reconsidered by the Commission and In order to

simplify the procedure and avoid delay. It has been decided that the organizations
may forward the panel of names of eminent persons for appoinbment and
consideration as IEMs directly to the Commission for approval.

4. Para 4 of the Commission's circular cited above stands amended to

this extent

218 VIGILANCE MANUAL VIGILANCE MANUAL 219

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ANNEXURE - 39 ANNEXURE - 40

No. 008NGU001 No. 007NGU033

Government of India Government of India
Central Vigilance Commission .....
Central Vigilance Commission

Satarkta Bhawan, Block-A,

Satarkta Bhawan, Block-A GPO Complex, INA.
GPO Complex, lNA, New Oelhi-110023.
New Delhi-110023 Dated, the OS"' August 2008
Dated, the 19,;, May, 2008
Circular No.2418/08
Circ ular No.18/05/08

Sub:- A doption of Integrity Pact in major Government Procurement Activities- Sub:- Adoplion of Integrity Pact in major Government procurement activities.
regarding.
The Commission, vide its Circulars No. 41/12/07 , dated 4.12.07 and 18/S/08
The Commiss10n vide ,ts office order oo. 41 /12/07 dated 4/12/07 had dated 19.S.08, has emphasized the necessity to adopt lntegnty Pact (IP) in
circulated a letter no. 007/vgV033 emphasizing the need to adopt Integrity Pact (IP) Government organizations in their major procurement acbvities. The Commission
by government organizations in respect of their major procurement activities. The had also directed that in order to oversee the compliance of obligations under the
Commission had also directed that in order lo ensure compliance with the obligat!Ons Pact, by the parties concerned, Independent External Monitors (lEMs) should be
under the pact by the parties concerned, Independent External Momtors (IEMs) are nominated with the approval of the Commission. out of a panel of names proposed
to be appointed after obtaining approval of the Commiss,on for the names to be by an Organization.
included in the panel.
2. As more and more organizations begin to adopt the Integrity Pact. several
2. As the role of IEMs is very important in ensuring implementation of the IP, it is quenes and operational issues have been raised. The Commission has examined
necessary that the persons recommended for appointment have adequate these issues and suggested the following guidelines:
experience In the relevant fields and are of high integrity and reputabon.
i) Adoption of Integrity Pact in an organization is voluntary. bul once
3. The Commission would, therefore, direct that the organizations. while adopted, it should cover all tenders/procurements above a specified
forwarding the names of the persons for empanelment as lEMs should senl a threshold value. which should be set by the organization itself.
detailed bi<Klata in respect of the each of the persons proposed The bi~ata
should, among other things. include the posbngs during the last ten years before lhe ii) IP should cover all phases of the contract i.e .• from the stage of Notice
superranuation of the persons proposed as IEMs. in case the names relate to Inviting Tender(NIT)/pre-bid stage to the stage of last payment or a still
persons having worked in the govemmenl sector. The bio-data should also include later stage, covered through warranty. guarantee etc.
details regarding experience older than ten years before superranuation of the
persons proposed as IEMs, if they have relevant domain experience in the activities
of PSUs where they are considered as IEMs. iii) IEMs are vital lo the implementation of IP and atteast one IEM should
be ,nvanably cited in the NIT. However, for ensuring the desired
This may be noted for future compliance. transparency and objeciiv1ty in dealing with the complarnts ansmg out
of any tendering proces.s. the matter should be referred to the full panel
of lEMs, who would exanune the records. conduct the investigation and
submrt a report to the management. gMng JOIOI findrngs.

iv) A maximum of three IEMs would be appointed in Navratna PSUs and

(Rafiv Verma) upto two IEMs in other Pubfic Sector Unde<tak,ngs. The organizations
Under Secretary may, however. forward a panel of more than three names for the
Commission's approval. For the PSUs having a large territorial spread
AU Chief Vigilance Officers or those having several subsidiaries, the Commission may consider
approving a large number of IEMs. but not more than two IEMs would
be assigned to any one subsidiary.

220 VIGILANCE MANUAL VIGILANCE MANUAL 221

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ANNEXURE - 41

v) Remuneration payable to the IEMs may be similar to the Independent No.007NGU013

Directors in the organization. Government of India

vi) In view of limited procurement activities in the Public Sector Banks,

......
Central Vigilance Commission

Insurance Companies and Financial Institution, they are exempted Satarlcta Bhawan, Block 'A ,
from adopting IP. GPO Complex. INA,
New Delhi- 110 023
3. It needs no reiteration that all organizat.ions must make sustained efforts to Dated the 23"' February 2007
realize the spirit and objective or the Integrity Paci. For further clarifications on its
implementation or the rol'e of IEMs, all concerned are advised to approach the Circulac No.312£07
Commission.
Subject: Investigation of complaints by the CVOs • seizure of records reg.

It has come 10 the Comn11ssion·s notice that when a complaint is

(I
t~ ....- received by the CVO either from the Commission or from other sources. the time
taken by the department for investigating the complaint is unduly long and beyond
(Rajiv Verma) the ume-llmit of three monlhs :stipulated by the Commission vide its circular
Under Secretary No OOONGU18 dated 23.5.2000. The main reason cited by lhe CVOs for the delay
All CVOs is non-availability of records/documents pertaining to that particular
complavit/allegation. The Commission vide Para 4.4 (a) of Vigilance Manual, fl"
Edrllon has already issued guide~nes stating that •if the allegations contain
information which can be verified from any document or frle or any other
departmental records, the investigaung / vigilance officer should, without loss of time,
secure such records, etc., for personal inspection. If any of the papers examined Is
found to contain evidence supporiting the allegations, such papers should be taken
over by him for retenllOn m his personal custody to guard against the possibility of
available evidence being tampered with".

2 The Comn11ss10n observes that these guidelines are not being adhered
to and would therefore reiterate its aforementioned guidelines and direct the CVOs to
ensure that all relevant records/documents/files etc. are taken into personal custody
by the investigating officer jrnmediately on receipt of the reference/complaint for
processing the allegations, and finaliZing the investigation within the stipulated three
months 1Jme-r1mit prescribed by m,e Commission.

3. The Comm1ss1on, exercIsmg Its authority as contained in para

8( 1)(c&d) and para 11 of eve Act. 2003, also conducts direct InquIry 11110 complaints
through Direct Inquiry Officers as nominated by the Commission. It is directed that
as soon as a direcl inquiry Is ordered by the Commiss1011. lhe CVOs should
1mmed1alely seize the releV3nt records pertammg to the case and produce them
before lhe Direct Inquiry Officers (OIOs) •mthout any delay.

4. The above instructions may be noted for stnct compliance.

L. L-L
(Vineet Mathur)
Deputy Secretary
All Chief Vigilance Officers

222 VIGILANCE MANUAL VIGILANCE MANUAL 223

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ANNEXURE - 42 ANNEXURE - 43

BEML LIMITED
~ - B'EML Sovdh;,
l<lq;niplu< \JJr,s, Bangalore 560 027
., \I \Rt,;T\ '"" Delhi
~ Ma,I AJJrns
C1.'11\IJII u nlC' 111
\I~ c\.:i1t1 Hn&.111 :;m
(~ ""<Gt"""·
Circular No J ~-~

Sub: Complaint 1-tandling Policy

30" January 2015

""'~ ,,c..n, 1n ( f\l R\l \1(;11 " <F. ( ()\IMl -.:.I0' ,m;1'II ..,,., ,(T,jf..,
,r,rta; Q'., )l!f~lf. ,ij ~ 1100ll Rel ; (i) Circular No. 1428 dated 03.02.2010
(ii) Circula, ;fo 14-79 dated 04.07.2·011
1I'\IIX ult.1 Jlho,.:an. () 1'0 l cmri.,.
l4t••~•~ lllo<:l \ IS\ ,,,. I>< hi 11001) (iii) Circular No. 1485 dated 22 .08.2011
(iv) IOM No. KPE/P-3211163dated 27.10.2011
~ la, 2• ~lit (v) Circular No. 1514 dated 27 .06.2012
(vi) Circular No. 1549 dated 05.1 2.2013

' ' Wllh the issuan,:e of guidelines regarding handling o f complainls by the Ministry
vide letter No !.I 2)/2014/D(Coord/DDP) dated 04 .07 .201 4 read with DoPT OM.
No 104/76/20n-AVD.I dated 18 10.2013 and 104/76/2011 -AVD.I dated
18 06 2014 , ,t is decided by the Managemenl 10 bring the existing ·complaint
Handling Policy-revised' ,n ltne with the same.

12) In lhe above oackdrop and ,n supercession to the above mentioned Circulars/
IOM a revised Complaint Handling Policy· 1s now formulated and the policy
document is ,, ri('losed

(3) This may be taken note by all concerned for compliance please

:1~~·"-
Ch1ef Genernl Manager (HR)

Encl· a1a

224 VIGILANCE MANUAL VIGILANCE MANUAL 225

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COMPLAINT HANDLING POLICY Of BEMl LIMITED ·: 2 ::

(llj PSEUDO!, YMO\JS COMPLAINTS (bearil'\g a lolse or fictitious name:

,,,,,11ng or wntte•1 ·1oer o f•chtious nome, : - These ore complaints whero1n rho
1. PREAMBLE:
icte~.tt:·: of IN• c ,molo1non1 is menltoned by v,rtue oi nome conlcc1
(oj Comp?:iinfs containing informohon about corruption, mo1prcchce deto,;s, .;;:c H .,.. er ,,.,her lhe s,gnoto-v of 'he comploin: is co-,foc1ed 01
or misconduc: b1 pubfic servon:s ere rece•ved in o oecen!rofiZeo manner. the -::ioc:iress / c;;r .:ct no. mentior.ed in lhe corT'plo:n• th., c.omplcinl Js eltr,.,
C'iOs receive +:OMPIOif'\1s-. also tro.m many o deci:?ntrclized oco~ior, 01~owned o• there s no response ,v!lhin o reasonable llr.1e.
Accord,nq ·o Inc l){e'✓od•ng proc,ice who! ,s sent to the CVO lrom dilferenl
decer1rohze..., locoho-,s enhrely depends on itie ,,ppwciollon of •vigi1once (iii) AN0NY \10US COM?LAINTS : • These ore comptrJin ls where lhe
angle· or oln,'VI e by lhe o'fice-rs cc,n-1cllir.g •hese decenlroflzed !oco!!ons. co-,,clo,ncn: wh~re rhe compla,nont hos not reveofed. verifiable or
·roceoble or cont ·,ctobte idertity while mol(ing the complaint.
(oj In sue o system !here ,s e11e1v ctiance fnoi o ccmploint with a
·,ig"lonce overlcne may nor be toiworded 10 the cvo. due to o lock of •i,•! SO°J~C INFOPMA1i0N • Source ,nfc,rmofion received by lhe
opprecicrion or for other bonofide reasons, This 110s olso been 1eveo1ed Vic;llonc1:: Der,orh 1en1 s'loll be •educed In writing ond shod be treated o,
througn 1he v,gUr.;nce audit by the CVC in some organizations. s1gr,ed co,r,pJc..-
lc, In O"d<"' to hove unlform practices and procedves in •he handling
ono process,n9 of comp,o,nls in on orgon,sotion. H is imperative Iha! o 4. ACTION ON COMPLAINTS RECEIVED BY VIGILANCE DEPARTMENT:
·comoloin: -',:,rn<ing Po~cy· 1s 10,0 down tor receipt handling end process•ng J>-,e complo nts received direcl!y by VigUonce Oeporlmenr hove fo be
o' ell tyoes o· c, ·nploir,ls / grievances from lhe pub!"c. co11lroctors vendors n'o1ke<:l or torwo•,jed lo CVO (in original) for deciding the 'urlher course ol
svpplie.rs e!c. ocror,.
2. 08JECTIVE:
5 . ACTION ON COMPLAINTS RECEIVED BY SECTIONS / DEPARTMENTS Of DIVISIONS.
P..rv corn1,lo1nl / grievance received in the orgonisolion by on\' COM PLEXES RC\\/ DOs; •
\,roc::c,no,y con •lifting onv elemenl o' alleged co-ruption. molproctices c, lo/ Nodal ~gency Under :he Comploinf Handling Policy of BEML Ltd.
re.i:conducl etc. shoulo necessarily be sent to the CVO of the orgorlbolion ttie CGM (.-lR) - ·t<t-r) Is nolilied os the Nodol Agency. He .,,;11 receive 11,e
for scrufny on::, 1:1ion co.,,p,oin1s from •1e respec~ve HR chiel o f the Comple~ /Division/ ROs / OOs
,, 011gino: end \C'1d the so,ne ·o cvo os and when received !o decicte uoon
3.0EFINITION :
rh<: c~•5'cnce ol v,g!lonce angle in !he f0<mol os prescribed ol Anne~ure-1
[O; COMPLAINT 11~; Any c~mptoin1 as defined, received by the Heeds of Sections /
Rece;ol e,• lnfor'Tiolion obour alleged corruption. mclprocfice or Oer:,or'menls 01 ,:c:nplex shovld irwanobly be forwordec to the respec11ve
r,t!conducl o., I· e port of public servants, from wi"oleve, source. vvouti.J be Co:nole>. HP. N -:ls. Similarly. for Marketing & Defence HO / ROs / DOs and
-~rn-.~c 01 COMf'sAINT. Coroora1e Chir ~- 1he mme w:11 be forwarded 10 MK ono KP(E/l.M)
reipeclive,y. Fve.· t comoloint, irre$pec1lve er so;.irce. snould be entered ,n the
[b) TYPES OF co..<PLAJN1S Corr;:loint Regi . er In the presc,ibed tormot {Annexure-11) Respective H~
(tJ DENl l,1 !ABLE or SiGNEO COMPLAINlS - These ore comploi11ls deOC'IMenl s"lo 'hef\ forward the cornplclnts os and wt,en receive:ct. lo !ho
wherein Ire ioe ·ti1y of the compto,nonl •s mentioned t1v virtue of nome. CGM [rli?) - : 1-f- i :n :he formal os prescrfbed 'Ot Annexure-1. No other oc1,on
'>r lhe camptoir shouk:i be initiated by '.he respective h~ depoitme'lt of !his

. J,
C0'1loc1 oe!o11s, ,11c. Funher. the comploinont owns , confirms 1he detoHs
rnent'onec in It-"' complnint. when the comploinonl is con1oc1ed 01 1he
aacress / con roe 110. r,erolioned .., lhe comp101nl.
rJ stage
...3
Y-- ...2 ,(_

226 VIGILANCE MANUAL VIGILANCE MANUAL 227

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:: 3 ::
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c SC 0 uT1N Y C r ,.()MPLAINTS:
7. METHODS OF RECEIVING COMPLAINTS IN 8EMl:
(o) All compI0,n1s including t.,nonymous / Pseudonymous received bv / {O} Tr>rougn 'igila,,ce Portoi o, BEML Weo si:e ·www.be1nindio.com
forworded 10 the r.1000I Agenc" wi,1 be sent 1o CVO os O"d when lbl lhrcu-Jr: .., e Drop Boxes paced al venous !ocalions.
receiveo. le) Di•ec , Pos·: source.
{bl r,I0 action s recuireo 10 be token on lhe a,, ar.ymous comp'oir,rs
1rrespechv1: of 11-e nolure o! dle-goliori! and svch complaints n~ea to
8. Methods o f receiving Complal nh by C VC:
be s,mp'v fr,,d in} Througl1 comp!oint hondling oortol of eve wob site
it:.}Compto,nt cCflloinirg vogue oijegotlo!'"ls c ould o •so be filed wilnout
verftcorior ,1 :oent,ty ol the comproinon,.
I''"'
http: , w.cvc.nic .in
tdl If o compk, nt contains verlfioble o11egoiions. CVO wM toke cogrnzonce {bl PROJEc· VJGEYE. Please refer VigEYE website {www.v,geye.com] ior
ol ! uCh co•nploint ony c:or",cot,or, / details.
!e ! 'n such c c;es. tl-\e cornplo,n· w,1I be first sent 10 the compI0Inont for Pubi::- lrferesl Disclosure and Pro•ect,on of ln1o:Mers Resolurlon
c;,w,iing / c ,owning os the case may be. If no response is received irom (PIOPI~/ popuiorly kr,ow-i os WhisUe Blower ComploInt. A copy o!
11, e c on-o' - iron! ,,,,ith'n 15 ooys ot sending tne complo,ni. o remi'lde1 deloiled notificot:on is ovolloble on t!ie web-site of 1he Commission
.viii oe •er • After waiting 'or 15 oafs ofler sending 'he reminder . if s!iil hllp:/ /wv-. w.cvc.nic.1n,
no1t>i"g , ,. ,o,o. tne soid comp,oint may be fi:ea os p~eudonymous.
(IJ Tl>e declsi.,, with regOfd to the ex:sfence of o vig•tonce ong!e in such
corrplo1nt .::ose will be taker• oy lhe CVO. Tne CMD er his nominee.
-nay, •f 'he e 01e vn'id reasons. within o period of 15 days. oiffer from 1~e
cvo. In <:'lie of dlflerence between CVO and CMD. tne moltor will be
rr,ferred rc the eve for advice . else. the Complain! w,11 be regis:e,f:d in
11,e V;g,lor ce Complaint Reg'sle·. the CVO w~ then process the matter
h, rther ro -.ecrde os to whe1her ,he oll~gofions or !lie molfe• require\
fvnher ,nv..,stigotion 01' snould oe entrusted to lhe CBI or local poli<.;e or
:oken U v :~oorrmen10I1y.
[g ) A ccse m ,y be en1rusteci 'o lhe CBI with tne opprovol of the CMD if
lhe oliego rons.
(i) ore <:rlminol in nature /e.g. bribery. cotruption forgery. criminol
o<eoch 01 frusl. oc,session of u~ets disproporrionote to known sources
o r ,nco:1~E ct:eoI1ng. etc.) o ,
(i:) rec,. :s lnqu, es to be mace from no'l-officiof per;ons: or
f1iIJ Imw·ve exam:nolion of pnvo1e recoro,; or
(ivl ""'",:! expert police nvestigotion for crriving 01 o c onclusron: or
r-eed 11 ,vt 11golion obrood.
A o e ·--ision in this regard ,holl be foken by lhe CMD within 15 days
rrorr. tne ·;ate on wnich papers ore received bv nim for com.d1;1otion
onddecc :in
(h) A corral , n1 involving o aoord•fevel oppoin;ee. atone or with othe:s.
sno'I o e f• worded to tne cvo or !he Ad-n1r,istro1ive Mn,stry. .. .. ~

i
"
,,..
L

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ANNEXURE - 44
ANNfXl,R(
:,; o.000/\'GlJlS
Go,·trnmtnt oflndi3
CH!r.11 \'ipbnrt Co,nmission
FORMATS FOR SENDING DETAILS Of COMPLAINTS AS & WHEN RECEIVED
UNDER COMPLAINT HANDLING POLICY
·~·
Sotnrkt, Bbaw:m , Block 'A ',
---r - -- i-
GPO Compkr, IX -\.
:,;"" Dtlhi- 110 013
s :omp ' , DotE: of cc,nploint Da1td du H~ lfa~· WOO
.100,ei;1e receipt o t
1
.
I G:1.1 of c,..)t'llp10:nt Remarks

I
NO

I
I ..~:~::: 1~,1
f-'. -,-
I
T 3-1 - -; - ·-
Cornplo111I

__ ·_ -~-
ogoor,si

- -
--;--_-__~_-,_-__,-j
To

Tht CYCk of l fin..istritt/Dt-pnrtmtnts, autonomous organiudons :and

Socitrits fl<.
. l- ---~- -:-J
--:t-..=~ -·
"T_-=. 1.:-:-:____
-i _J - - -
~~-
· --.
_ -=-1 Subjttr. Srbtdu~ of limt limits in condurting in,·tttig.>lions ond dtp:u-nntnrol
inquirits.

Sir

Dtby• tn dt,p0\:11 of d"etpwury ca==• m;uttr of ,,no"' conc.,n 10th•

Comnusuan. Such dt!ay, also ilffttt 1M lllOtll!• of tbt ""~ttd chof!td ,wploy•.._ and
Gth..-s in th• or!3tllsa11on. Th• C=•s,on has 1ssutd lllitrUtbons. ndt tts cammutllranon
:So S{IXt ) 99(3) dattd 03.03 1999. that dtparunOtllol mqumts ~culd bf compltttd wuhm •
~od of ux months frOUl th• datt of appomtllltut of !Jlqm,:; Offictr, Regordmi otbtr
ANNtXlJR~ • II
siaitt of111vtt11ga11on 111quiry. th• l.1lllt-schtdt1'e. as uu~. ha• bteo l•ul down in w S~131
Ch:lp1m oo \'i@ilanc• :-Wlllg<meot tn Public St<tor 8(11lb To1erpri,n wlucb •<? opplicoble
10 1M eo1ployett o f public ' "'"" oonks eo1,rp1=•· ~ Colllllllrnon dtsu.• that !ht~
COMPLAINT REGISTER - FORMAT nme-luwt• should oho be odbtrod 10 by tbr :-uruwy I>opartwenr. of Gonnun..u of India
>Utcnomou, Ol!H\W.Qll<!l1' and olhtr Co~ll\·e Socte11e1. in rtsp,ct of th.,,- emplo)"U· so

---··- - - --, a. to ..uure that tht dtsop~· c = = dupostd of q111cltly

·- - t-Jo.,..e ono
;)e..gnol'cn Slo!I Dole 0I
' s.:-.o Timt Limit
I Sl So~,rc~~, Oare o 1 M>. ot hec,,,r,e f01worcl;,,g tt,e ACliOn Remarks momh from rttt1p1 o lllt
Cornr.,1 .:rJ <OCEl'PI emP'O~ .,e I C0rt1plc1n1 lo I toket> Jllll
No
e<>mot,:ined ' Nodal Agency \ I
1' - -3 - 1- -""0S9!!1J,!_
4
_ _ T-__ • 5 6_ _ _
7 Ii
? 1
- -- t- -do-
i---- -· - '-- --- - - 1- - - -- - l
-- ______J
1- -
I..-
l - - ~- - ~ - --'-- - - - I 3 Cmdu<rm• in,..,, n,.non a.nd submm,m
o!r,pon. • •
1~6 . Rerno,~ c ::. •nn shou4d I1ldIcott:: to) if lnerc were previous coses I_ complOinls fW'1Dl"" s <Olllllltllrt on mon om tt or
,igoir.si •"le som., ExocvIive / Ell\ptoyet::, 1he :oc1s should be moinlou,ed 1r1 1_he
..,emcri(s" colu1> •, und (bl Dole oi Chcugesheel issued. or deteas of O~lplinory oc•,on
reports in com ttqUlllllg Commm1on•s
ad\~c,
rttt1p1 of cur,
C'\"O DI Iman· A1nhonl\·
'"'°"
by mt
lr:ken whereve n cesscry. 5 !'.tf•~ dq,anmental in,~~non Ont IUQ!Jtb from tbe tbt, of
re to th, C'OlD!Dlrnon ioradnet r«ei t of mye;ng,,1n0:n n
6 Re.ormdtranon oi mt Coomn;sion·, Ont m<>ntb &om mt datt oi
achiet if tel rtet1 1 ofCommmioo·sacn,et

230 VIGILANCE MANUAL VIGILANCE MANUAL 231

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• - - - - - - - - - - - Q -~
ANNEXURE - 45
f 1!11 'l!R

NEWFIOITlERS.tEW"D~

'A.

2 9

. bJ re , ces o the Co
Ng· rdlng.

f .rence·

nd

{O

) m . 1n, . ro m cf

Con ... 21-

232 VIGILANCE MANUAL VIGILANCE MANUAL 233

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• - - - - - - - - - - - Q -~
f 1!11 'l!R

NEWFIOITlERS.tEW"D~

ANNEXURE - 46

JI

( )

(Y)

To
b)

AUC " f Vig I c.e O een

d li SpKdic r

234 VIGILANCE MANUAL VIGILANCE MANUAL 235

 NEWFRONTIERS.t-EWDIIENtG -------c FORMAT - 01
c - - - - - - - - - - -e 1t11~
FORMAT - 02
'dtil!lll!iil

PART - I
SCRUTINY OF APRs
STATUS OF COMPLAINTS RECEIVED (VIGILANCE COMPALINTS)
Name& Date
SI. Action
Designation of the of Observatlon Remarks Description Complaint Officer Ref&
No. tal:::en SI. Source of Action Date
Executive scrutinv of Remarks
No. lnfOITTlation Category- CateQOfY- taken
01 Complaint
A B
01
02
02
03
03
04
04
05
05
06

07

08 PART - II

09 STATUS OF COMPLAINTS RECEIVED (NON-VIGILANCE COMPALINTS)

Descripfion Complaint Officer Ref &

I. Sol..fCSof Action Date
of Category- Category- Remarks
No. Information tal:::an
Complaint
A B
01

VIGILANCE OFFICER 02

03

04

05

236 VIGILANCE MANUAL VIGILANCE MANUAL 237

 -------c FORMAT - 03
C
• - - - - - - - - - - - Q -~
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

FORMAT 4.3 Violations of Procedures/Rules/Directions:

INVESTIGATION REPORT From examination of documents, what are the violations vis-à-vis the
(i) When there is a written complaint received and Investigation Report is asked, then rules/procedures prescribed in BEML by different persons? If financial loss
this format should be used or caused, then estimation of the correct financial loss caused to the Company by
each individual and / or gain caused to an individual/vendor/parties.
(ii) When there is a prima-facie case made out from the fact verification report conducted
on source information on verifiable facts of anonymous complaint and detail 4.4 Statement of persons involved:
investigation has to be done on the prima-facie case established, then this format 4.4.1 Statement of witnesses who corroborate & support charges.
should be used for detailed investigation. 4.4.2 Interrogation/Written statement of the concerned delinquent
1.0 REFERENCE: Executives/Employees regarding the violations whether with or without
1.1 This should specify the source of Complaint/Name & Designation of the financial loss to the Company. (If oral statements taken, then signature
complainant. of person making the statement to be taken. Also Investigating Officer
should sign after writing “Statement recorded by me”).
1.2 Mention on whose order the investigation is taken up. (Divisional Head,
Vigilance Committee, Corporate Vigilance, direction of higher authority). 5.0 ASSESSMENT OF EVIDENCE:

2.0 ALLEGATION: After investigation, the documentary/oral evidence should be assessed on the facts,
which have emerged from examination of documents & explanations of the
2.1 This should specify in brief the allegation contained in the Complaint.
concerned parities to arrive at conclusion as to what is proved against whom,
2.2 Specify against whom allegation is? allegation wise. Assessment of evidence will focus on the following points:
2.3 The allegations are to be serially numbered. 5.1 The allegations taken up.
3.0 ADHERENCE TO SCHEDULE: 5.2 The allegations prima-facie “Not substantiated” or “Substantiated”, including
3.1 State date of receipt of complaint for investigation and Date of sending the the financial loss/gain.
Investigation Report (3 months maximum). 5.3 State the evidences leading to the proof of the allegation (both oral and
3.2 Whether allegations substantiated. documentary).

3.3 State whether allegations are substantiated partly/fully by the Investigation. 5.4 Suspected Officer/Employees version of the case.

4.0 INVESTIGATION: 5.5 Discussion of both versions.

4.1 Examination and mention of the: 5.6 Conclusion of the Investigation Officer on each of the allegations whether
proved or not proved.
4.1.1 Rules
6.0 CONCLUSION:
4.1.2 Procedures (Purchase/Sub-contract/Works contract)
6.1 If allegations are proved then points, which are proved against each delinquent
4.1.3 Guidelines/Directions relevant to the event/transactions
official/employee, enumerated serially. Mention also the relevant misconduct
(Enclose extract of relevant provisions). as mentioned in BEML CDA Rules. Also mention financial loss to the Company or
4.2 Examination of Documents: gain to individual or vendor.

Examination of documents concerning allegations/transactions. Facts 6.2 If allegations not proved, mention accordingly.
emerging from the examination. (Take original records/files and/or 7.0 RECOMMENDATION:
authenticated copies in custody).
Recommendation proposed against each delinquent official/employee whether
minor penalty/major penalty/criminal prosecution etc.

238 VIGILANCE MANUAL VIGILANCE MANUAL 239

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• - - - - - - - - - - - Q -~
FORMAT - 04
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

8.0 ANNEXURES: FORMAT

8.1 Copies of relevant documents. SOURCE INFORMATION – FACT VERIFICATION REPORT
8.2 Extracts of relevant guidelines and procedures. (Whenever some information is given by some source or some verifiable facts are
8.3 Copies of written statements/interrogation. mentioned in the anonymous complaint, which need to be verified, this format should be
used for fact verification report).
8.4 Articles of charge proved.
1.0 REFERENCE:
8.5 Imputations of misconduct.
Mention the reference by which the fact verification is take up.
8.6 List of oral and documentary evidence to prove against delinquent
official/employee allegation wise. 2.0 ALLEGATION:

NOTE: The language of the report should satisfy four basic requirements 2.1 This should specify in brief the allegation contained in the source information

a) Brevity 2.2 Specify against whom allegation is?

b) Clarity 2.3 The allegations are to be serially numbered.

c) Accuracy 3.0 ADHERENCE TO SCHEDULE:

d) Readability State date of receipt of source information for fact verification and date of sending
the fact Verification Report (maximum 2 months)
State whether allegations are substantiated partly/fully by the fact verification?
4.0 FACT VERIFICATION:
4.1 Examination and mention of the:
4.1.1 Rules
4.1.2 Procedures (Purchase/Sub-contract/Works contract)
4.1.3 Guidelines/Directions relevant to the event/transactions
(Enclose extract of relevant provisions).
4.2 Examination of Documents:
Examination of documents concerning allegations/transactions. Facts
emerging from the examination. (Take authenticated copies in custody).
4.3 Violations of Procedures/Rules/Directions:
From examination of documents, what are the violations vis-à-vis the
procedures prescribed as approved by BEML by different persons? If financial
loss caused, then estimation of the correct financial loss.
5.0 CONCLUSION:
5.1 If allegations are proved by fact verification, then mention what is proved,
against which official/employee and also mention financial loss to the Company
or gain to individual or vendors, if any.

240 VIGILANCE MANUAL VIGILANCE MANUAL 241

 ~
242

Ii

NOTE: The language of the report should satisfy four basic requirements

7.0 ANNEXURES:

6.0 RECOMMENDATION:
d)
c)
b)
a)

7.2 Extracts of relevant guidelines and procedures.

7.1 Copies of relevant documents.

Whether detailed investigation is recommended or if any other action proposed.

5.2 If allegations not proved, mention accordingly.

Readability
Accuracy
Clarity
Brevity
VIGILANCE MANUAL

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VIGILANCE MANUAL

FORMAT - 05
ADDITIONAL INFORMATION NEEDS TO BE INCORPORATED BY THE DIVISIONS IN THE MONTHLY REPORTS:

Task 1: Bills Receivable

Sale
CUSTOMER EQUIPMENT, QTY DATE SAP DOC No AMOUNT (Rs.) REMARl(,S
OrdBND

Task 2: Bills Payable

Sn rim Po Payrne Vendor PaymE!ll lnbou GR Inspection lhVolce Bank. No.Of Payment Payment Reasa
t'bne, Item& ntTerms rnvo1ce tDue nd No. Clecronc Process Poymen Days mode mode ns/
MIS Qty. As Per No, Date As No. & eNo. rMRO) tNo, Delay Before After Rernar
Po Ref. Delfver Po & PcrPO & Dal'e 8, No. & In Due Dare Due Date b
ed & Invoice lerrns Date Date Amount Date l11vcics (In days) (k'l DaysJ
De:li>leiy Date & Process
Terms & Dale
(FOE/ Amt
Ex clolmed
Worksl

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Task 3: pi
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a) Earnest Money Deposit: I !ii
WhetherEMD
e.AD R!ece-ived IPurchai;e EMDRefunded ~ cuts
Refunded
Request Firm Tender Order lnTrne
Date for Nam Condlti released
Sn QuotatT e on SAPDoc. Date
on DID Bonl:
Mo
Amou
Agclnit SAP Amou
No.
Dot Name
a. nt RFQ Date Doc.No nt
e DDMo (Rs.J (Rs.)
Doto

 The report should highlight for the previous quarter how many RFQs were oated.
 How many responded against which how many EMDs received and how many EMDs returned.

b) Bank Guarantee:
Sino. ws. Purchase Po Terms BG Returned ~ma
ftm Order No. Against BG Re Valldated SAP Doc. Amou WhefherBG lks
Name BG Dote Bonk Nome Vdldily Period No n1 lapsed Cuing
BG Ref No. Pericxi (For Extended & (Rs.) the c.vrrency of
Works} If An/ Date The Contract

 With regard to BG, for the month, how many BGs returned, how many expired and whether re validated (for extended works ) to be
highlighted.
VIGILANCE MANUAL

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VIGILANCE MANUAL

Task 4: Welfare Accounts

SI. PO No. As Per How many How many Consumables to Consumables Remcsks
No. Contract how attended paid[ oe supplfed as per supplied as per
many laboureis Work Order GateEniry
have to be
de;~.:--~ - .~

 For Lump sum contracts like Stores, Shipping which is on Weightment basis (Loading and Un loading) whether payment made on
actual to be checked and what tackles have to be brought by the contractor and whether they are being used or company facilities are
used to be studied and reported.

Task 5: Sale Orders

~ SAILOROER. ct.lSTOM!R E,qu!pim:~nt SALE d1m£R. CONom o111s, FACTORS 1NS1'£C11NG
-· COM'PLIA:Nc:f1 REMAR~
11£.F.

ISA.PSOJ
M/.s,
lf'iF LLJ ENCING ,REVE.N.LIE RECDGNmON A.GENCY
---
u
AS~MCCOUNTI
STANDARDS

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Task 6: Receiving Stores: 1
SN OATF,t:N STOll'E Q.C, VEP& VEHICLE DESCRl'l'TiOt, O'F'MATERfAI. & Q,TY IBll/GRNO VEH, I ~
CHECK f',la. 'WFJGHT fN kg IN/OUT
ll'E'°'DOR - TARt 'NET 'OMf

01
I

Task 7: Rejected stores:

SI. PDO Fim Part No & Whether The Reiected Item SAP Doc Amount
No. No. Name tMome. No. & Dote (RS.) DADoc Reason iemarn
& & & For No. for
Date Po Ref&. Qty. Recovery & Rejection
!Date ReJected hifially Cleared By MGP
Cleared By Source Date
Receiving lnspecflon
stores

 The report should highlight whether these items were cleared by receiving stores initially and then got rejected during assembly or
whether the items were cleared by source inspection and rejected in receiving stores.

Task 8: Civil Construction Inspection Report:

Bank. %of ProgFess of
Fm Name
SI.
& Co:ntract Terms
Bil of Executed Guorantee Consitruction Worts. Remaks
No. Po. No.
Quantlty Quantity AsperPO
tenm
VIGILANCE MANUAL

 Monthly Physical inspection on progress of construction works vis-à-vis BOQ and contract terms, has to be reported.

t)

t)
VIGILANCE MANUAL

Task 9: Study of AMC

SI No Pono VandorNama PO Value I Type al tandar 11:emmks(ln order/NOi •
order]
I

I
II

Task: 10 : Tenders:
 Inconsistencies in the tender conditions needs to be studied and suggest Sl. Further, compliance on the SI’s already recommended
and circulated, has to be given. Whether tender released as open bid or restrictive bid.

stJ SALE..OR'OEP. CUSTdMEEI Etju!pment SAL£ o~n CONOm01'iS, FACTOF!S 1NSPE'crfN~

-· COMF>UA.NCf1 ~tM:ARt:$
--"
~~ '

REI=. l~FLLJ ENC ING ltEVEN.UE RErnGNmo N A.GENCY A5gAcrnlJNTI

IS.A.PS.OJ
M/s,
- STANDARDS

Observations:
i.
ii.

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247

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 -.'tf'l!lllPII'
- - - - - - - - -e llllll
Task: 11 Purchase orders: PARTICULARS OBSERVATIONS
Summary in the Covering letter: 02 PR Position
 MPR approval by competent authority
Grade as per DOP
 Specification, Value, Source
03 Type of Tender Enquiry
PO Verification format: 04 No. of firms contacted
Approved list, Reason for Deviation, if any
PO Ref How parties are identified and placed
in approved list
PO VALUE
Dispatch and receipt of letters by Vendors
REFERENCE Proof of dispatch of tender documents
Proof for receipt of tender documents
by Vendor (check whether there is no
REPORT ON VERIFICATION OF PURCHASE ORDER response)
Deciding the Source - Manufacture or
PARTICULARS OBSERVATIONS Dealer(if applicable)- check for the
A PARTICULARS OF PO cheapest source.
01 Identification of PO 05 Time taken
(How the PO was identified?) Tender Opening
 Make use of SAP Availability of tender box
Tender opening committee
02 Purchase Order No. Signature/date of Committee members
03 Value of the Purchase Order on envelop/ quotation
04 Firm’s Name and Address Corrections duly certified by Committee
Delay aspect, Observation of TC –
05 Description of Item & Quantity Tender opening
06 Unit rate 06 No. of firms to be contacted as per
07 Required for Project Purchase Manual
08 Repeat/Regular Order 07 Competent Authority who approved to
09 Whether all the additional information contact less No. of firms than stipulated
(Annexures) are available on SAP 08 Reason recorded for contacting less
Purchase order number of sources
B PREVIOUS PURCHASE ORDER 09 No. of quotations received
01 Purchase order no. & date. 10 Comparative Statement prepared & its ref.
02 Previous supplier Price & Landed Costs
Other costs
03 Last purchase price/estimated cost
i) Arriving at L1
04 Whether the present rate (as in A06 Above) ii) Post tendering deviations on
is justified as against LPP/Estimated Cost? specification/tender conditions etc
iii) If any deviation, whether approved
C Purchase Requisition
with due justification
01 PR No. & Date iv) Negotiation procedure

248 VIGILANCE MANUAL VIGILANCE MANUAL 249

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PARTICULARS OBSERVATIONS

Reasora for not on &mode

Reasons for not on e-mode
Approval - Reference
Observation - minutes of Meeting
v) Cost analysis
Complicated case-look for self

The study should highlight how many Pos totally released against which how many are e-Procurements (Nos) and for not on e-mode
contained note

 Surprise check at stores to be conducted for Class A, Class B and Class C items. Obsolete and non-moving items also to be checked.
11 Note Sheet – Approval Ref.
Approval of competent authority
i) As per DOP
ii) Purchase scrutiny co ordination
iii) If not co-ordinated, reason thereof

I
Adverse remarks-follow up with Purchase

Total amount paid other

Co-ord. of PO by competent authority
MPC remarks, Approval

than e-payment
Other than e-mode
12 Splitting of POs and division of patronage
Terms and conditions - Approval - Ref.
13 Whether PO is in order
14 Supply of material (Stores/goods)
Alternate goods/items supply -
acceptability- rate variation?
Supply conditions

%a-Payment
i) Delivery schedule
ii) Delivery-Ex works/FOR
iii) Physical movement
i) Quality checks

e-mode
v) Receipt
Sub-contract POs-Nesting

Total amount
15 Payments: Mobilisation advance-(If given)

paldthru e-
µ,:.:,;-,-~nt
on interest or interest free
Whether payment made is linked to PO
Payment Conditions

Total No of POs released

Mode of Payment

Task 13: e-Procurement & e-Payment

Time taken
LD, BG

Total Payment made

Task 12: Surprise Check Stores:
Delay aspects
D FINDINGS OF VIGILANCE OFFICER:
Observations: -Nil-

reasons to be recorded.
E

e-procurement:

Observations:
REMARKS OF THE CONCERNED PURCHASE OFFICER IN CASE OF DEVIATION :

e-Payment
SI No

SI No
1)
2)
250 VIGILANCE MANUAL VIGILANCE MANUAL 251
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252

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Task 14: Scrutiny of TA/DA Claims
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NAME GRADEi APPROVAL
PLACE OF DURATION - AM,Ol/NT

SN OUT.STATION - PAID REMARKS

DEPT e STAFF Ho. GROUP REFERENCE FROM TO
DUTY Rs.
-
1

Task 15: Scrutiny of APRs

THIRD LEVEL SCRUTINY

NAME:
STAFF NUMBER:
DESIGNATION:
D.ATE OF
APPOINTMENT:
D,AlEOF
SUPERANNUATION
VIGILANCE MANUAL

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VIGILANCE MANUAL

MOVABLE PROPERTY DETAILS

s APR Opentn Investment Invest Descrlpflo Hnot in own Value of How&whell Remorlcs
n ason g oflhe Addllion/ manf not name, statein lnvuhnant acquired (Source
o. yea- Deleflon/ No Deel,:s lnvestmen whose name of acqulsllion)
lnvesfm Change in ado, I held and
ent the Not? his/her
detals investment relatlonshlp, If
any to the
employee

Task 16: ERP System for RED FLAG:

 Each module on a monthly has to be checked for manual interventions vis-à-vis process ow ought to be on SAP-ERP. Eg. F-Note not
being generated SAP-ERP, Sale order details not captured fully on SAP-ERP, possibility of seeing the Price bid during extension of bid,
PO not linked to PR, whether shelf life items are picked from the system etc.

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Task 17: Shipping Department

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SI. Transporter Vehicle Vehicle Vehicle Wheltler Whe·ther Whether the Whether Remarks
No. Name Depbyed IN Time OUTlime type of cont'ract is BG Hindrance
vehicle in regular rubmitted Register is
deployed ls period or OS par PO maintained,.
Justified extended terms/Valid and that
period justifies
unequal load
d"istnbution

Task 18: Receiving Inspection

SI. lnspectfoo Lot No. Vendor Po Ref, Inspection Lot Usage Decision/ Whether lhe Item Remarts
No. & Part No. Size Dateaf aoored or Rejected As
Date & (Qty) aeorance Per Drawing Requirement
Material! (Based on Inspection
Reports)

 Is the decision whether to use or not is justified?

 Which authority decides when to inspect and use?
VIGILANCE MANUAL

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VIGILANCE MANUAL

Task 19: Weighbridge Check

SH DATE ,fJF VEHfCLENo. VEPNo. IN BOUND No. WEIGHJHG MllTfCUl.ARi IH STORE WEIGHING
CHECK VEHlC1£ IHIOUT TIME /DATE leg CARD/REG SIH
GROSS TARE NET
1

Task 20: Part Disposal Orders (PDOs)

Firm Nome Part tr-.lo &

PDON0. SAP Doc No.&
SI. & Name. Amount DA Doc No. Reason
& Date Remarks
No. Po Ref & & (Rs.) &. for
Date for Recovery
Date Qty. !R ejected MGP Date Rejection

 What was the alternate for these items?

 If procured afresh to meet production demand, then at what price and from whom and how?
 If at a higher price whether risk purchase clause invoked?
 As per contract whose responsibility is it to lift the material. Whether this cost recovered when items sent by BEML?
 If there is no payment due to the vendor how amount can be recovered in case of BEML material?

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FORMAT - 06
Vigilance clearance formats (a)For the PESB interview / selection
WHETI-IER FIFO

RemorkS

Particulars of the officers for whom Vigilance Clearance is obtained

MAl~TAINED

1. Name of the Officer (in full) :

2. Father’s Name :
3. Date of Birth :
4. Date of Retirement :
LDAmount
ISSUED BEFORE

5. Date of Entry into Service (BEML) :

6. Positions held (during ten preceding years) :

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~
3
0
c0

l
Delay in

S'!.

~
.,,
15'
(D

~
ra
Days

0
MFG DATE
ON PACK

(Ex Works)
Invoice
Date

7. Whether the officer has been placed on the “Agreed List” :

or “List of Officers of Doubtful Integrity” (If yes, full
details may be given).
8. Whether any allegation of misconduct involving Vigilance :
Inbound
Derrvery

Angle was examined against the Officer during the last

(FOR)
Dote

10 years and if so, with what result (*).

GR NO DATE

9. Whether any punishment was awarded to the officer :

during the last 10 years and if so, the date of
Schedule a s per

imposition and details of the penalty (*).

DerlrY'ery

10. Is any disciplinary / criminal proceedings or charge :

PO
RECEIVED

sheet pending against the officer, as on date. (If

QTY

so, details to be furnished including reference no.,

if any of the Commission).
Task 22: LD Deductions: (Trend Analysis)

PClt No. 11. Is any action contemplated against the officer as on :

Material
Task 21: Scrutiny of Shelf life items

Date. (If so, details to be furnished) (*).

Qty
&
&
PONO

**(during his tenure in BEML Limited)

Date: (Name and Signature)

Purchase
M/s. Rrm
DESCRIPTION/

Name

Order
PART No./

&.
MAKE
(*) If vigilance clearance had been obtained from the Commission in the past,
the information may be provided for the period thereafter.

No.
SI.
1.
SN
256 VIGILANCE MANUAL VIGILANCE MANUAL 257
 -------c FORMAT - 07
C
• - - - - - - - - - - - Q -~
FORMAT - 08
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

APPLICATION FORM FOR VIGILANCE CLEARANCE APPLICATION FORM FOR VIGILANCE CLEARANCE FOR OBTAINING PASSPORT
Ref No & Date: KPE/Vig Clerance/ Date: Ref No & Date: KPE/Vig. Clearance/ Date
Part A To be filled by the HR Department
Complex / Division :
Part A To be filled by the Applicant
Name of the Applicant :
Complex / Division : Corporate Office
Dept. & Staff No :
Name of the Applicant :
Designation & Grade/Group :
Dept. & Staff No :
Purpose for seeking Vigilance Clearance :
(Iany other details, as applicable Designation & Grade/Group :
Whether any Disciplinary proceedings contemplated/initiated : Purpose for seeking Vigilance Clearance :
against the individual (Also indicate previous record, if any) (i) Passport NOC Form/Permission for -
If Yes, indicate details / status : Private Travel Abroad attach
Whether under punishment period : Relevant Form as applicable
Whether any local police case filed by BEML/Pending : Any other, as applicable :
Whether Property Returns Submitted in time :
In case of resignation, the employee/officer is bound : Date : 27.07.2015 (Signature of the Applicant)
by obligation/agreement to serve the Company.

Date : (Signature of the Chief of HR Dept.) ----------------------------------------------------------------------------------------------------------

Part B To be filled by Vigilance Department Part B To be filled by HR Department

Remarks of Vigilance Department (Indicate : Whether any Disciplinary proceedings contemplated/ :
Complete Status and Recommendations, initiated against the individual (Also indicate previous
if any. Attach separate Sheet, if required) record, if any)
Vigilance Clearance : ACCORDED / NOT ACCORDED If Yes, indicate details / status :
V.C. Report No:
Whether under punishment period :
Whether any local police case filed by BEML/Pending :
Date : (Signature of Vigilance Dept.)
Whether Property Returns Submitted in time :
INSTRUCTIONS: Whether leave sanctioned, period of leave :
Applications for Vigilance Clearance being initiated by HR Dept for nomination for
member in Promotion, Confirmation, Resignation, Superannuation, Voluntary Date : (Signature of the Chief of HR Dept.)
Retirement, etc. should be filled by the HR Dept.

All application for Vigilance Clearances to be issued by the CVO, Vigilance Department will
be routed through Division/Complex Vigilance Dept, as applicable. HR Dept, may forward
this application directly to VO, Vigilance Dept in the respect of the employees in the
Divisions/Complex.

258 VIGILANCE MANUAL VIGILANCE MANUAL 259

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FORMAT - 08
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

Part C To be filled by Vigilance Department

APPLICATION FOR OBTAINING VIGILANCE CLEARANCE - TREAVEL ABROAD
Remarks of Vigilance Department : ~

(Indicate Complete Status and

Recommendations, if any. Attach separate
-- 01
02
Name (BLOCK LETTERS)
P.B. No
Sheet, if required)
- 03 Designation

Vigilance Clearance : ACCORDED / NOT ACCORDED - 04

05
Department
Residential Address

V.C. Report No:

-06
Date : (Signature of Vigilance Dept.) - Father's / Husband's Name

Instructions Overleaf - 07
08
Passport No
Country of Visit
(Please indicate address(es) of place(s)
INSTRUCTIONS :
where you intend to visit)
All application for Vigilance Clearances to be issued by the CVO, Vigilance Department will - 09 Purpose of Visit
be routed through Division/Complex Vigilance Dept, as applicable. HR Dept, may forward
this application directly to VO, Vigilance Dept in the respect of the employees in the
Divisions/Complex.
- 10 Name of person(s) and Relationship
being visited abroad
-11 Arrangements for stay

- 12 Duration of stay / visit

(vide Sl Nos. 8 & 10 above)
- 13 Expenditure being incurred for the visit
(to include travel and stay expenses
separately
-
- 14
15
Source of Finance for the visit
Details of previous private foreign
travel, if any, undertake during the
last one year
- 16 Photocopy of the Visa Application
attached
-
Place : Bangalore
Signature of Applicant
Date :

260 VIGILANCE MANUAL VIGILANCE MANUAL 261

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• - - - - - - - - - - - Q -~
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

ANNEXURE-I 1.4 OTHER OFFICIALS WHO WOULD CO-ORDINATE WITH CTE TEAM
GENERAL INFORMATION DESIGNATION NAME E-MAIL SAP ID CELL NO.
01 PARTICULARS OF WORK Head of Matl. Mgmt./
1.1 Name of the work Contract Purchase

Agreement no./Contract ref. & date & Purchase Officer

Reference on SAP, if any (who processed the
Reference on SAP, if any contract)
Name of the Contractor Head of Plant
Estimated cost (Rs.) Maintenance
Tendered cost (Rs.) Officer
Date of start for completion of work (Construction/
Due date of completion of work Civil Services,
who executed the
Present progress (%)
contract)
1.2 DEPARTMENTAL AUTHORITIES NAME DESIGNATION
Head of Finance &
Zone (Chief of the Complex)
Accounts
Circle (Head of MM/Contract Purchase)
Division (Manager, Contract Purchase) Officer
(who maintains records
Sub-division (Asst. Manager, CP)
of payments,
1.3 OFFICIALS IN CHARGE OF WORK NAME DESIGNATION BG,SD etc.wrt contract)
Chief Engineer (Chief of the Complex)
Superintending Engineer
(Head of Plant Maintenance)
Executive Engineer
(Head of Civil Maintenance/Constn.)
Assistant Engineer
Junior Engineer
Divisional Accountant
(Head of Finance & Accounts)
Surveyor of works in SSW’s office
(Approving Authority)
Surveyor of works in Circle
(Inspecting Authority)
Asst. Surveyor of works in Division
(Asst. Inspecting Officer)

262 VIGILANCE MANUAL VIGILANCE MANUAL 263

 -------c FORMAT - 09
C
• - - - - - - - - - - - Q -~
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

19 No. of statements Extra items (substituted Items) Deduction Items

ANNEXURE-II
a Sanctioned
TECHNICAL INFORMATION
b Proposed
SN REQUIREMENTS DETAILS 20 Test check carried out Prescribed Actual
01 Name of the work up to latest RAR Bill

02 Agreement no./Contract ref. & date a % Test check by AE

and reference on SAP, if any b % Test check by EE

03 Name of the contractor c % Test check by SE

04 Estimated cost (Rs.)

05 Tendered cost (Rs.) NOTE: Please send copy of:

06(a) Date of commencement CHECK WHETHER

ANNX DOCUMENT
06(b) Stipulated date of completion SUPERSCRIBED ENCLOSED
II-A Approval for administrative/budget
06(c) Percentage of Progress
sanction for the project
07 Ref. Memo & date of Sanction of
II-B Approval for technical sanction of the
Project
project
08 Ref. & date of technical sanction
II-C Approved copy of Tender
09 Date of approval of NIT Document & NIT
10 Date of publication of NIT in press II-D Agreement/Approved Work Order
11 Date of receipt of tenders II-E Recommendation for payment of latest
running bill paid
12 No. of tenders sold
II-F Report of final inspection, if completed;
13 No. of tenders received
else, latest inspection report based on
14 Whether work awarded to the which RAR payment made
Lowest tender
15 Whether market rate justification
available on record
16 Works manual adopted
17 SN & date of last running bill paid
18 Whether AHR/ALR items identified
(Abnormally High Rate &
Abnormally Low Rate)

264 VIGILANCE MANUAL VIGILANCE MANUAL 265

 -------c FORMAT - 09
C
• - - - - - - - - - - - Q -~
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

ANNEXURE-III SN DESCRIPTION AVAILABILITY

15 All connected Measurement Book, Level Books,
DOCUMENTS FOR INSPECTION AT SITE OFFICE Field Books and Lead Charts
SN DESCRIPTION AVAILABILITY 16 All Running Accounts Bills with all connected
01(A) Press Cuttings, including extended dates, if any: statements/vouchers
i) For pre-qualification of Architects/consultants 17 Statements showing details of check of measurements by
ii) For pre-qualification of Contractors superior officers-copies of order laying down such
requirements
iii) Call of Tenders
18 Materials at site accounts/cement, steel bitumen,
01(B) Register of sale of tenders paints, water proofing compound, pig lead, anti-termite
01(C) Register of opening of tenders chemical etc.
02 File giving reference to Financial Sanction and approval 19 Site Order Books/Test Records/Log Books
of competent administrative authority-Preliminarily
20 Details of extra/substituted items and of deviated
estimated
quantities being executed considered for execution in
03 Copy of detailed estimate and its Technical Sanction by work along with Analysis of rates
competent technical authority
21 Hindrance Register
04 Approval of NIT (Notice inviting Tenders) in Original
22 Office, correspondence files and inspection notes, if any,
05 Rejected tenders and comparative statements for: issued by inspecting officer
(a) Selection of Architects/Consultants 23 Complaint records, if any
(b) Short-listing or prequalification of tenders 24 Any other documents relevant to the works
(c) Other tenders 25 Details of payments in pro-forma ‘A’
06 Justification statement and corresponding noting in 26 Cement consumption statement in pro-forma ‘B’
support of tenders/offer accepted
27 Steel consumption statement in pro-forma ‘C’
07 Details of negotiations, if any, made before acceptance
28 Statement of test material in pro-forma ‘D’
of tenders
08 Original contract with consultant & contractor
09 Guarantee Bond etc. towards security for work
machinery/ mobilisation advance etc.,
including extension of validity
10 Insurance policies for work, materials, equipment,
men etc., including extension of validity
11 Guarantee for water tightness, termite proofing etc.
12 Standard specifications
13 Standard Schedule of Rates
14 Drawings-Architectural and Structural

266 VIGILANCE MANUAL VIGILANCE MANUAL 267

 ~
268

FORMAT - 09
~I!!:,
~
;
.cnh
i
I ~
PROFORMA ‘A’

DETAILS OF PAYMENT

SN CR AC:.,COUNT PA.YA&tE Total Chequ DETAILS OF DISBURSEMENT&.RECOVERIES

No. e
of - Advance Secu-ed Mobiisat1
ion Adv. Cost of Secured Mob. Deposit .
dot amount other
Bill e - payment Advanc Adva1ce UTax Materials Advanc Advanc
e e e
~

SIGNATURE:

ROUTING:

NAME:
VIGILANCE MANUAL

t)

t)
VIGILANCE MANUAL

FORMAT - 09

PROFORMA ‘B’

CEMENT CONSUMPTION STATEMENT FOR LAST (SN) BILL PAID

CEMENT
wr DATE OF MEASUREMENTS IHEOREIICALlY REQUIRED ACTUALLY CONSUMED RECOVERED REMARKS

SIGNATURE:

ROUTING:

NAME:

~
~I!!:,
~
;
.cnh
i
269

I ~
 ~
270

If
NAME:
ROUTING:
SIGNATURE:

2.

1.
NOTES:
~~-"O 's "0 ~ iii°O
:::11i. 0 tD - ::. C ... 3 0C:
I'!) ~~ -· 0S2
-::a 3 8 i5 3 Q
"'
c:: C:
Q :;,

various sections instead of various diameters.

If structural steel is used, information may be furnished in similar pro-forma for
as for TOR Steel.
If mild steel reinforcement is used, information may be furnished in same pro-forma
c\ Q ?
a "' I'!) :I
3 3
m <
-[
::: tD
~
_q:
""'
-
~ ;~
Q,
:,
~
.:;J
a. ~
"< 3 !.
1!
-
0o

-
-
Q

-
-
~
-
-
0-

TOR STEEL
0
...,...,
-...,
c.,,
-...,
00
-
...,
(,.)

~
0-
-

PROFORMA ‘C’
c..ii
00

FORMAT - 09
,Cai.
0
-
...,.a..
-
VIGILANCE MANUAL

t)

t)
VIGILANCE MANUAL

FORMAT - 09

PROFORMA ‘D’

STATEMENT OF THE TESTS OF MATERIALS

5 De.scri,pllon Quantity De-:sc,lptlon Frequency R:ec:ov,ery No. ,of tests: Lgb from Whetfief Sh::itvs If Whelher
N ,or testing lab (ailed le,
s flng Pl'opose-d where
of Cons.urned o:s p.er BIS/ Jests as Req- Condu.. tests approved of Jest charges ·for
materials till da;te
Ag,eement pet BIS/ ulred cted cond1Jcte-d by Govt. Result$ WhQt borne by shortfan in
Ag.reement action dept/agency test/failed
Prc,,.i:sion,s Olaf, to
Provisions taken agreement tte!ult
Prowloruil
1 2 3 4 :5 6 7 8 9 10 11 12 13

SIGNATURE:

ROUTING:

NAME:

!I~
~
~
~
~
.all,,
r.:I
J:I
271

I sl
 -------c C
• - - - - - - - - - - - Q -~
4) Government e-market : https://gem.gov.in/
1'tflNffl

NEWFIONTIIS. l'EWDREMIS

IMPORTANT LINKS 5) Ministry Of Company Affairs : http://www.mca.gov.in/

1) Central Vigilance Commission : http://cvc.nic.in 6) Ministry of Labour and Employment : http://www.labour.nic.in/
 CVC Vigilance Manual : http://cvc.nic.in/man04.pdf 7) Ministry of Personnel, Public Grievances & Pensions : http://persmin.nic.in/
 CVC Instructions : http://cvc.nic.in/cvc_instruct.htm a) Department of Personnel & Training : http://dopt.gov.in/
a) Acts/Resolutions : b) Declaration of assets and Liabilities under Lokpal : http://dopt.gov.in/lokpal-list
http://ccis.nic.in/CP_Circular_Report.asp?MinCode=4&DepCode= 6&DivCode= c) Public Enterprises Selection Board : http://pesb.gov.in/
0&SecCode=(0)&CNCode=1&MctCode=20&SctCode=232&ArchCode=2 8) Central Bureau of Investigation: http://cbi.nic.in/
b) Data/Reports : http://cvc.nic.in/data_inst.htm 9) Ministry of Finance : http://finmin.nic.in/
c) Complaints : http://cvc.nic.in/comp_policy_inst.htm a) General Financial Rules :
d) Disciplinary Matters : http://cvc.nic.in/dep_inquiry.htm http://www.mof.gov.bd/en/index.php?option=com_content&view=article&id=48&Itemid=1
e) Guidelines on tenders : http://cvc.nic.in/proc_works.htm
f) Banking Sectors & Insurance Companies: http://cvc.nic.in/spdir_banks.htm 10) BEML Ltd : http://www.bemlindia.nic.in
g) PSUs : http://cvc.nic.in/spdir_psu.htm i) Report On Corporate Governance :
h) Miscellaneous : http://cvc.nic.in/misclous.htm http://www.bemlindia.com/cg_report.php
i) DoPT’s Instructions on Vigilance Matters: ii) HR Manual :
http://ccis.nic.in/CP_Circular_Report.asp?MinCode=2&DepCode=2&DivCode= http://www.bemlindia.com/documents/aboutus/HR%20Hand%20Book.pdf
5&SecCode=(45,46,47,48)&CNCode=1&MctCode=0&SctCode=0&ArchCode=2 iii) Purchase manual :
 CVC Acts/Manuals : http://cvc.nic.in/v_act_man.htm http://www.bemlindia.com/documents/purchase/purchase_manual.pdf
 CTE’s Manuals : http://cvc.nic.in/cte_menu.htm iv) Vigilance :
2) Ministry of Defence : http://mod.nic.in http://www.bemlindia.com/vigilance.php
Guidelines on Procurement : http://mod.nic.in/dpm/welcome.html v) Right to Information :
DPP-2013 : http://www.bemlindia.com/rti.php
https://mod.nic.in/forms/List.aspx?Id=58&displayListId=58 vi) Integrity e-pledge on CVC Website :
3) Department of Public enterprise : www.dpe.gov.in https://pledge.cvc.nic.in/

DPE Guidelines :
Corporate Governance : http://www.dpe.gov.in/dpe-guidelines/corporate-governance
Personal Policies : http://www.dpe.gov.in/dpe-guidelines/personnel-policies
Service Matters : http://www.dpe.gov.in/dpe-guidelines/service-matters
Conduct Discipline and
Appeal Rules :
http://www.dpe.gov.in/dpe-guidelines/conduct-discipline-and-appeal-rules
Vigilance Policies : http://www.dpe.gov.in/dpe-guidelines/vigilance-polices
Vigilance : http://www.dpe.gov.in/documents/vigilance
Financial Policies : http://www.dpe.gov.in/dpe-guidelines/financial-policies

272 VIGILANCE MANUAL VIGILANCE MANUAL 273

 ‘STAR FOREST (NAKSHATHRA VANAM) AT PALAKKAD COMPLEX’
NOTES
NB : As and when any Person inds out any Mistake / Point to be Amended / Added in this
Manual, may kindly make a Note of it in this Sheet, for subsequent consolidation and Feed
back to Amend the Manual.

Mistake / Point Recommended

Sl Page Chapter No Issue by Name &
to be Amended / Date
No. No. & Para No. Date Signature ASWATHY / KANJIRAM BHARANI / NELLI KARTHIKA / ATHI ROHINI / NJAVAL
Added

MAKAYIRAM / KARINGALI THIRUVATHIRA / KARIMARAMRAM PUNARTHAM / MULA POOYAM / ARAYAL

AYILIAM / NANK MAKAM / PERAL POORAM / PLASU UTHRAM / ITHI

ATHAM / AMPAZHAM CHITHIRA / KOOVALAM CHOTHI / NEERMARUTH VISAKHAM / VAYYAMKAITHA

ANIZHAM / ELANJI THRIKKETTA / VETTI MOOLAM / VENPAIN POORADAM / VANCHI

UTHRADAM / PLAVU THIRUVONAM / ERUKK AVITTAM / VAHNI CHATHAYAM / KADAMPU

274 VIGILANCE MANUAL PURURUTTATHI / MAAVU UTHRITTATHI /KARIMPANA REVATHY / ILIPPA