Vigilance Measures

1. Vigilance Measures

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

3. Why Vigilance… • `vigilance’ is liked neither by an honest officer nor a dishonest officer, yet its absence will be harmful to the organization. • In the long run, it will be in the good health of the organization. • The purpose of vigilance is not to wait for lapses to be committed and then try to conduct post mortem.

4. Types of Vigilance • Preventive Vigilance • Helps us to avoid commission of offences by officials through proper surveillance. • Calls for constant review of rules, procedures and practices. • Helps management to get optimum results from the different activities. • Punitive Vigilance • Takes care of enforcing necessary punishment after the irregularity/fraud is detected.

5. Components of Preventive Vigilance • Identification of areas where surveillance is necessary • Maintenance and preservation of records/data • Carrying out visits and inspections from Vigilance angle • Formation of vigilance squads and surprise visits

6. Components of Preventive Vigilance….. • Analysis of visit/inspection reports and identify new areas requiring surveillance • Review of Rules and Procedures based on the above analysis • Implementing suggestions based on review

7. Vigilance Tools available • Surprise Visits – to Post Offices and Mail Offices • Annual Inspections – Questionnaire • Squad Visits – Divisional, Regional and Circle • Review at various levels and follow up • Review of Rules and Procedures based on DLIR/CLIRs

8. Areas for Preventive Vigilance • Financing of post offices and RMS units • Savings Bank and Savings Certificates • Money orders • Mails • Inspections/visits • Buildings and their security • Computerized office • Miscellaneous

9. Investigation

10. Why frauds take place? • Lack of preventive measures • Non-observance rules • Laxity in Supervision • Lacunae in Rules and operating procedure • Lenient approach against minor irregularities • Improper induction of technology

11. Kinds of frauds • Savings Bank transactions • Treasury / Sub Accounts (Cash & Stamps) • Money Orders/Bogus Money Order • Franking Machine • Postal Life Insurance • Theft & Dacoity • Computer related • Mails

12. WHAT HOW BY WHOM WHEN WHY Details of offence, violation of rule Manner in which it is committed Responsibility Period of fraud Criminal intention Ingredients for detection of fraud

13. Object of Investigation • Detection of source of the fraud • Identification of modus operandi • Examination material objects used in the fraud & their preservation • Assessment of • extent of loss • damage to image of PO • extent of customer dissatisfaction

14. Object of Investigation…. • Identification of failures & lapses that abetted the fraud • Detection of related frauds • Fixing of responsibility • Main offenders • Active abettors • Passive abettors (contributory negligence)

15. Object of Investigation…. • Assessment of compensation/ claim to be paid • Decision on whether to report to police • Immediate action taken to prevent further fraud/ distruction of documents • Gathering evidence for departmental action • Remedial measures to avoid recurrence • Suggested amendments to rules • Restoration of faith of customer

16. Seizure and verification of documents • Recording the statement of the main offender based on the records, statement of customers/complainant and statements of witnesses • Recording the statement of supporting staff including subsidiary offenders • Seizure of all related documents • Preparation of inventory wherever necessary

17. Exercise 2.1

18. Past Work Verification • Verification of work of official done in last one year from date of commission of fraud • Savings Bank: • Cent per cent • MO & others: • Some % as per the quantum of frauds suspected minimum of 20%

19. Past work verification…. • On completion of past work verification submit final report containing following information • Total amount of fraud involved • List of officials amounting contributory negligence • Claim applications • Any other items requires attention

20. Receipt of report and its scrutiny at CO • Report is received at CO from the concerned Divisional Head • It should be scrutinized as to whether all the ingredients explained in the previous slides have been included. • Whether the report was received without any delay. • The observations to be communicated to DO • Prompt action taken to issue restoration sanction.

21. Limit of handling Loss & Fraud

22. Components of DLIR/CLIR • Introduction – Profile of the place • How the fraud came to light • Departmental enquiry -commencement & completion • Total amount involved and net loss • Adjustment of loss/ particulars of recovery • Modus Operandi • Principal Offender – Biodata with past history • Criminal prosecution • Preservation of Records

23. Components of CLIR/DLIR…. • Visits and Inspection • Contributory negligence – Divl office, Sub Divisional office, Account office, HO, SBCO • Settlement of claims • Lacunae in Rules • Action taken so far – 100% verification,Issue of Charge sheet etc • Action to be completed. • SQF is to be attached to the CLIR

24. Exercise 2.2 - Group activity Each group will scrutinize the given report and present to the class

25. Disciplinary Proceedings

26. Misconduct • Non-vigilance Cases • Unauthorized absence • Lack of devotion to duty • Negligence • Insubordination • Vigilance Angle • Bribery • Corruption • Forgery • Falsification of records • False claims • Disproportionate assets

27. Sources of Information • Complaint • Genuinely signed • Anonymous • Pseudonymous • Inspection/Squad report/Audit reports • Newspaper reports • Other sources (While dealing with such complaints CVC guidelines should be kept in view)

28. Action on receipt of information of misconduct Counseling Warning/Dies non Disciplinary action

29. SUSPENSION- When • Disciplinary proceeding is contemplated or is pending • Official has engaged himself in activities prejudicial to the interest of the security of the State • Criminal case is under investigation, inquiry or trial

30. DEEMED SUSPENSION • Detained in custody, whether on criminal charge or otherwise, for a period exceeding 48 hours • Conviction for an offence and imprisonment exceeding 48 hours

31. Who can suspend? • The appointing authority • Any other authority to which the A.A. is subordinate • Disciplinary authority • Any other authority empowered by the President of India.

32. Put off duty • When there is prima facie case • Offence should be so serious in nature likely to lead to removal / dismissal • Appointing authority, the Authority to which Appointing authority is subordinate may order

33. Put off duty… • IP / ASP can order put off duty of BPM, but should be ratified by divisional supdt within 15 days • Subsistence allowance at 25% • All suspension and put off duty cases are reviewed by review committee periodically.

34. Review of suspension • Order of suspension shall be reviewed by the competent authority on the recommendations of the Review Committee constituted for this purpose. • The composition of Review Committee is furnished in the next slide. • An order of suspension shall not be valid after 90 days unless it is extended after review before the expiry of 90 days.

35. Composition of Review Committee

36. Review of suspension….. • Review committee will take a view regarding revocation/continuation of suspension keeping in view the following • The facts & circumstances of the case • Unduly long suspension • Putting the employee concerned to undue hardship • Involving payment of subsistence allowance • No review is necessary in case of deemed suspension.

37. SAFEGUARDS under ART 311 • No dismissal or removal by authority subordinate to appointing authority • No dismissal or removal or reduction in rank without inquiry in which:- • charge should be communicated to the Govt. Servant concerned. • should be given reasonable opportunity of being heard in respect of charges; and • penalty may be imposed only on the basis of evidence adduced during such inquiry

38. Exceptions in Art 311 • Conviction on a criminal charge • Not reasonably practicable to hold inquiry • Appointing authority to be satisfied • Reasons to be recorded in writing • In the interest of the security of the state • President/ Governor to be satisfied

39. Procedure for MINOR PENALTY- Rule 16 • Rule 16 of CCS (CCA) Rules 1965 • Memorandum to the official indicating that action is proposed to be taken • Statement of imputations of misconduct • Provide opportunity to make representation • Inquiry to be held at the discretion of the Disciplinary Authority • Inquiry obligatory if it is proposed to withhold increments • for more than 3 years • with cumulative effect • Recording a finding on each of the imputation of misconduct , issue & communication of punishment orders

40. DRAFTING OF CHARGE SHEET • Charge sheet for imposition of minor penalty in two parts • Forwarding memorandum • Statement of imputations

41. Essence of Conduct Rules - 1964 • 3(1)(i) Absolute integrity • 3(1)(ii)Devotion to duty • 3(1)(iii) Doing nothing unbecoming of a Government Servant • 3(2)(i) supervisor to ensure integrity and devotion to duty of all Govt.servants • 22 : Remaining in intoxicated state in public

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

43. Drafting of Charge sheet - Major • Charge sheet for major penalty in four parts • Annexure I – Articles of charge • Annexure-II – Statement of imputation to furnish elaborate details of the Article of charge covering all the documents and witnesses • Annexure-III – List of documents • Annexure-IV - List of witnesses • Selection of charges – simple, precise, easy to understand, easy to prove – should not be vague

44. Steps in major penalty • Issue charge sheet and communicate under acquittance • Consider representation received • If charges are admitted unconditionally action be taken to finalize the case • If charges are denied holding inquiry is necessary

45. Steps in major penalty… • Receipt of IA’s report by disciplinary authority • Ensure all documents enlisted have been received • Ensure inquiry has been done in proper manner • Can agree or disagree with the findings of IA • If disagree he should record reasons

46. Steps in major penalty… • A copy of inquiry report is supplied to CO • CO to submit representation within 15 days • Recording findings on each imputation • Disciplinary authority can • Exonerate the CO • Impose penalty

47. Steps in major penalty… • Issuing final speaking order of punishment • Communicate the orders under acquittance

48. Exercise 2.3 - Group activity Each group will scrutinize the charge sheet given to them and present their findings to the class

49. Thank you