IRCON INTERNATIONAL LIMITED

VIGILANCE DEPARTMENT
Circular No.07/2004 Dtd.25.05.2004
u!" Di#ci$li%ar& Proc''di%(# i% Vi(ila%c' Ca#'# ) Guid'li%'# R'(.
CVC and Railway Board have circulated a number of
guidelines/instructions from time to time on disciplinary proceedings. In
order to make consolidated guidelines for clarity of all concerned it has
been decided to issue following instructions.
The pecial Chapter in Vigilance !anagement for "#s describes the
vigilance angle of any complaint. The CV$ of a "# is empowered to
take action on any information related to any employee of the "# on
the basis of following% &
'. Complaints
(. ource Information
). "ress Clippings/!edia
*. +udit Report/Inspection Report/tock Verifications/urveys etc
,. Reports of "arliament Committee
-. crutiny of "roperty Returns . Transactions reported by the employees.
/. Complaints/information forwarded from Railway Board/CVC/CBI or
any other agency nominated by the 0overnment of India.
*. Co+$lai%t#
Complaints have been divided into three ma1or categories2
3i4 +nonymous 3ii4 "seudonymous and 3iii4 0enuine or
authenticated complaint.
3i4 +s per CVC5s circular 6o.) 3v4 77/( dated (7&8-&'777 it has
been emphasi9ed that no action should be taken on
anonymous/ "seudonymous complaint. :owever at the
same time the CV$ is empowered to take such complaint as
source information and after verifying facts; action can be
taken on such complaints after seeking CVC5s advice.
3ii4 Cases criminal in nature involving non&official persons;
e<amination of private records re=uiring investigations
abroad; which needs e<pert police investigation are to be
1
entrusted to CBI with the approval of the head of the
organi9ation 3!>4.
3iii4 Complaints involving Board ?evel appointees alone or with
others are re=uired to be forwarded by the CV$ to the
+dministrative !inistry for consideration.
3iv4 Complaints against Vigilance officers other than the CV$ of
the organi9ation may be e<amined/investigated by the CV$
of the organi9ation and a final decision may be taken with
the approval of the !>
(Explanation)
Information gathered from reports; returns; newspapers etc. will
also be included under the term @complaintA and will be dealt in the
same manner as above. Information received verbally should also
be reduced to writing and dealt with similarly.
The disciplinary action can be taken in following cases%
i4 Bhere the officer had acted in a manner as would reflect on
his reputation for integrity or good faith or devotion to duty2
ii4 If there is prima facie material to show recklessness or
misconduct in the discharge of his duty2
iii4 If he had acted in a manner which is unbecoming of a
government servant2
iv4 If he had acted in order to unduly favor a party2
v4 If he had been actuated by corrupt motive however; small
the bribe may be.
2
2. I%,'#ti(atio%" -
$n receipt of the complaint; the e<istence of Vi(ila%c' A%(l' or
otherwise would be decided by CV$. $nce vigilance angle is
established; the case would be registered as vigilance case and
given to a Vigilance $fficer for investigation. +fter completion of
the investigation; the Investigation $fficer would prepare a self&
contained report containing inter&alia;
a4 The allegations b4 Cacts ascertained during en=uiry c4 +nalysis
of facts d4 >efense of the accused officer e4 !aterial facts to
controvert the defense f4 Conclusion . Recommendations. The
CV$ would then take decision on the investigation report . give
recommendation to the >isciplinary +uthority.
.. I%,'#ti(atio% R'$ort % &The Report of the investigating officer
should be detailed; comprehensive . completely documented so
as to enable the CV$ to form an opinion. The CV$ takes decision
on the investigation report . gives his/her opinion on the
investigation report to the >isciplinary +uthority along with copies
of Relied upon documents i.e. +nne<ure III of the charge sheet on
the basis of which the charges are to be substantiated2 draft
charge sheet . Bio&data of the suspected officials.
In cases where the Investigation Report has to be sent to Railway
Board/CVC; the report should be sent along with the hard copy of
the investigation report and a floppy containing the said
investigation report and vigilance comments. In addition; the draft
charge sheet should also be sent along with the investigation
reports; wherever applicable.
+ brief summary of the investigation of the case may cover the
following aspects%
i4 Verification of genuineness of complaint
ii4 +llegations in brief
iii4 Results of the investigation
iv4 Irregularities noticed against each official
a/ I%,'#ti(atio% r'$ort alo%( 0it1 t1' c1ar(' #1''t 0ill !' #'%t
to C'%tral Vi(ila%c' Co++i##io% through Railway Board only in
case when2
3
i4 The employee is a Board level employee or two levels below
Board level employee in IRC$6.
ii4 Bhen the complaint has been forwarded to IRC$6
Vigilance through Railway Board.
iii4 In all other cases e<cept as mentioned at 3i4 . 3ii4 above;
CV$/IRC$6 may send the case directly to the CVC for
seeking the first stage advice on the basis of merit of case.

In all cases; CV$/Vigilance department has full power to call for/sei9e
the documents/records/original file etc. and record the statement of
officials involved. The documents sei9ed by the Vigilance department
will remain in the custody of Vigilance till the >+R proceedings get
completed.
Dra2ti%( o2 C1ar(' 1''t" -
The charge sheet is the end product of a vigilance investigation.
+fter careful e<amination and critical evaluation of all the facts a
conclusion is drawn about the re=uisite action to be taken against
the charged officer. Thus; thereafter; the charge sheet is a
statement of fact of the case and needs to be very carefully
drafted.
It has been observed that if the charge sheet is not framed
carefully it helps the charged officer to get away with lapse/
misconduct committed by him. !any cases fail before the court of
law 1ust because of defective framing of charge sheet. Care
should be taken to the following while drafting the charge sheet.
a/ The substance of the imputations of misconduct or misbehavior
into distinct articl' o2 c1ar('# #1ould !' #$'ci2ic. +rticle of
charge should not be general. This has to be worded very
carefully after taking into account the report of the Cact Cinding
$fficer/Vigilance $fficer.
Dach article of charge should be supported with the
>etailed statement giving the time; date; place and the
names of persons in whose presence the delin=uent
committed the specific misconduct.
4
6ames of persons who would be called to prove each article
of charge. #tmost care needs to be taken while finali9ing
the name of such persons so that they may not become
hostile subse=uently.
?ist of documents; which could be produced to substantiate
each article of charge.
The statement of imputations/allegations anne<ed are
supplementary/supportive material to the charge sheet2 they
are details of facts/evidence to support the charges made;
and should contain names of witnesses/documents in
support of the charges. That is; the statement of imputations
is to make the basis of the charge; allegation&wise; precise
and specific and should include details of what e<actly each
witness/document is going to prove regarding every charge.
Dach charge should also have a separate statement of
imputations of misbehaviour/misconduct. The common
failing of list out one long statement of misconduct/
misbehaviour ought to be avoided.
The >isciplinary +uthority should sign each page of the charge
sheet.
In case where the public servant concerned is due to retire or
superannuate soon; it is necessary to issue the charge sheet to
him before retirement.
4. Cu#tod& o2 r'li'd u$o% docu+'%t# i% t1' ,i(ila%c' ca#'
It has been observed in a number of instances where certain
documents pertaining to disciplinary case get lost/misplaced
during or after the proceedings. In order to ensure that the relied
upon documents in original are not lost/misplaced the documents
will be under the custody of vigilance. >uring the course of the
en=uiry the presiding officer will be the custodian of the original
documents who will from time to time produce the original
documents if specifically called for during the course of the en=uiry
to the In=uiry $fficer or the Charged $fficer as directed by the I.$.
5
A# #oo% a# it i# d'cid'd !& t1' D.A. to i%#titut' Di#ci$li%ar&
Proc''di%(# a(ai%#t t1' '+$lo&''3 t1' co+$lai%t #1ould !'
r'(ard'd a# 1a,i%( ta4'% t1' #1a$' o2 ,i(ila%c' ca#'.
5. Proc'dur' 2or %o%-CVC ,i(ila%c' ca#'# $'rtai%i%( to Grou$ C
5 D '+$lo&''#.
In non&CVC cases; which arise out of vigilance investigations; the
following procedure is to follow.
i4 +ppointment of I$ is the prerogative of >+. The >+ may
ensure that the officer being appointed as I$ is of sound
integrity and possesses ade=uate knowledge of rules and
procedures in regard to the conduct of the in=uiry; which is a
=uasi&1udicial preceding.
ii4 In some cases Vigilance may forward a panel of I$5s
indicating the number of in=uiries pending with each of them.
The >+ in that case may choose one out the panel and
appoint him as I$.In cases involving more than one charged
official; special care may be taken to appoint the same I$
out of the panel of I$5s sent by the vigilance.
iii4 In case the vigilance has recommended ma1or penalty and
the >+ proposes to e<onerate or impose a minor penalty;
the >+ should first record his provisional order and then
consult vigilance organi9ation once. :owever after such
consultation; the >+ is not in agreement with the views of
vigilance then the >+ is free to pass speaking orders about
the penalty. The vigilance organi9ation; if they so consider;
may seek revision of the penalty by the appropriate
authority.
imilarly where a ma1or penalty has been imposed by the
>+ in agreement with the recommendations of the vigilance
but the appellate/reversionary authority proposes to
e<onerate or impose a minor penalty; the
appellate/reversionary authority may first record provisional
decision and consult the vigilance organi9ation once. +fter
such the authority is free to take a decision . issue the
speaking orders.
6
iv4 The >+ may ensure that the copy of 6otice of Imposition of
"enalty 36I"4 is sent to vigilance so that they can take
necessary action to process for revision; if considered
necessary by vigilance.
-. CVC6# 2ir#t #ta(' ad,ic'
The >isciplinary +uthority should go through all the
documents/evidences at the initial stage before deciding whether it
warrants !a1or "enalty or not. $nce the >+ has taken a decision
and the case has been referred to the commission for its Ist stage
advice with recommendations of ma1or penalty the copy of draft
charge sheet along with list of documents and witnesses are to be
enclosed while seeking the advice. Investigation report along with
recommendations of CV$ . the >+ to Railway Board . CVC is
not mandatory in all cases. CV$/IRC$6 may correspond directly
with the CVC e<cept those cases where the >+ is the Railway
Board.
ACTION TO BE TAKEN AFTER RECEIVING 1 st stage advice
IN CA!E OF "INOR #ENA$T% ) If the >isciplinary +uthority is
agreed with the Charge $fficer5s reply; the (
nd
stage advice is not
necessary; if it is proposed to impose minor penalty. :owever; the
(
nd
stage advice is necessary; if the >+ proposes to drop the
charges.
IN CAE O7 MA8OR PENALT9
$n receipt of the first stage advice; the draft charge sheet in
accordance to the first stage advice received from CVC 3in case
it is through Railway Board4 shall be forwarded to the
>isciplinary +uthority for issuing the charge sheet to the
delin=uent employee. The >isciplinary +uthority must see the
original documents mentioned in the +nne<ure&III of the charge
sheet and must sign on each page of the Charge sheet.
In e<ceptional cases where the controlling / disciplinary
authority concerned feels that due to some compelling reasons;
7
CVC5s first stage advice is not acceptable; reference should be
made along with Vigilance comments to Railway Board for
approaching CVC for reconsideration of their first stage advice.

The >isciplinary +uthority should ensure the serving of charge
sheet to the Charge $fficer as early as possible. The Charge
$fficer can represent his case to the >isciplinary +uthority
within the stipulated time period mentioned in the charge sheet.
The >isciplinary +uthority; based on the consideration of the
Charge $fficers a defense/reply will decide further course of
action.
/. APPOINTMENT O7 IO/PO
Based on the consideration of Charge $fficer5s reply; in ma1or
penalty cases the >isciplinary +uthority can decide to remit the
case for preliminary en=uiry. The >isciplinary +uthority on advice
of CV$/>+R Cell/ or otherwise shall appoint an In=uiry $fficer .
"resenting $fficer.
$n receipt of the CVC5s first stage advice; the Controlling
+uthority/>isciplinary +uthority should normally implement it as the
case may be. The Vigilance >irectorate of the Railway Board or
CVC 3as the case may be4 should be informed about the
implementation of the first stage advice as soon as the charge
sheet is issued and nomination of I.$./".$. is to be done as per
Company5s >.+ Rules.
Cor conducting the >epartmental Dn=uiry the appointment of
I.$ is to be made by the >+. The services of retired 0ovt.
officers may also be considered for the appointment of the I$ in
accordance to the CVC Circular dtd. 8*.8).'777; '-.87.'777;
'8.87.(88'; (7.''.(88(; (,.8).(88) . 8'.8E.(88). In all cases
an In=uiring $fficer should be sufficient senior to the Charged
$fficial. Cor the "resenting $fficer; there is no such bar.
:owever; the Investigation $fficer should not be appointed as
"resenting $fficer. The "resenting $fficer should have
sufficient knowledge of the Company5s >.+ Rule regulations
etc.
:. EN;<IR9 PROCEEDING
8
$n receipt of +ppointment ?etter; the In=uiry $fficer would write to
the C$ regarding the appointment as In=uiring $fficer by the
>isciplinary +uthority and fi< up a date of preliminary hearing .
i4 The C$ may re=uest to the In=uiry $fficer for communicating
the >efense +ssistant for his assistance.
ii4 In case C$ do not cooperate and do not present without
proper reasons/information on the dates of hearing/oral
in=uiry; the In=uiry $fficer is empowered to hold the
proceedings e<&parte after giving him full opportunity to meet
out the natural 1ustice. :owever the date of every hearing is
to be informed to the Charged $fficer. +t a later stage; if the
C.$. wants to 1oin the en=uiry; the In=uiry $fficer should
allow him.
iii4 In case if C$ communicates that there is bias against him; the
In=uiry $fficer should stop the en=uiry and send the
representation to >isciplinary +uthority . +fter receiving
specific instructions from the >isciplinary +uthority the
en=uiry should further proceed as per the advice of the >+.
iv4 The In=uiry $fficer may put =uestions; as he deems fit; to a
witness for obtaining clarification on any point; but he shall
not cross e<amine the witness.

v4 I$ shall ask mandatory =uestions to the C$ after the
prosecution . defense witnesses have been e<amined/
cross e<amined by the "$ . the >efense.
+ll concerned of the >epartmental Dn=uiry should follow the
model time limits as circulated vide IRC$6 Circular 6o.
IRC$6/VI0/"t.V/''E- dated 8*&8)&(88*.
vi4 +fter completion of the en=uiry; the "$ will submit his written
brief to In=uiry $fficer along with copy to the C$.
vii4 The In=uiry $fficer should ensure that the daily order sheet is
signed by the I$; "$; C$/>efense helper. The copies of the
daily order sheets are to be given to the Charge $fficer and
"resenting $fficer after completion of the day5s proceedings.
9
+fter receiving the written brief of the "resenting $fficer; C$
will furnish his defense brief to the In=uiry $fficer. The I$ will
consider the en=uiry proceedings; "$ brief; C$5s defense
and will give his opinion on the each and every allegation of
the charge&sheet stating proved/not proved/partially proved.
viii4 +n I$ is re=uired to give his finding in respect of each article
of charge and reasons thereof. +s the articles of charge are
definite and distinct substance of the statement of
imputations of misconduct or misbehaviour; the findings on
each articles of charge have to be inter&alia based on
statement of imputations. Therefore; the In=uiry $fficers are
re=uired to record their findings in respect of each allegation
framed in support of an article of charge in order to ensure
that in=uiry reports do not suffer due to deficiencies.
i=/ E%#uri%( Att'%da%c' o2 Pri,at' >it%'##'# i% D'$art+'%tal
I%?uiri'#" -
The provisions of >epartmental In=uiries 3Dnforcement of
+ttendance of witness and "roduction of >ocuments4 +ct
'7/( can be taken recourse to in such cases. This act is
applicable to all in=uiry proceedings where lack of integrity is
a charge or part of a charge.
@. E%titl'+'%t o2 TA/DA to t1' $ri,at' 0it%'## 5 R'tir'd
'+$lo&''# a$$'ari%( !'2or' d'$art+'%tal I%?uir&.
The T+/>+ as per the e<tent rules should be given to the I$; C $
and "$ including the private/defense witnesses. The payment of
T+/>+ to private persons or retired employees appearing as
defense witnesses has been provided in the !inistry of Cinance
#.$. 6ote )(('&D IV3B4/-' dated (8&''&'7-' and
$.!.6o.C.,3',4C.IV3B4/-E dated ',.87.'7-7 which inter&alia lay
down that the private persons or retired employees appearing as
prosecution or defense witnesses in departmental in=uiries
including those conducted by the commissioner of >epartmental
Dn=uiry5s should be paid T+/>+.
'8. ta%dard o2 Proo2 i% a D'$art+'%tal E%?uir&
10
The standard of proof re=uired is that of preponderance of
probability and not proof beyond reasonable doubt.
**. Pri%ci$al o2 Natural 8u#tic'
"rinciple of natural 1ustice are rules laid down by the court giving
minimum protection of the rights of an individual against an
arbitrary procedure adopted by a =uasi&1udicial authority while
making a order which effects his rights. The aim of these rules is to
secure 1ustice or to put negatively to prevent miscarriage of 1ustice.
The upreme Court has held that these rules operate in areas not
covered by any law validly made. In other words they do not
supplant the law but supplement the law.
a4 7ir#t Pri%ci$al F 6o one shall be 1udge in his own cause F
The >isciplinary +uthority who conducts the In=uiry or the I$
where one is appointed acts as a 1udge. :e shall be
independent; impartial; fair . ob1ective. + person with a
foreclosed mind; who has pre1udged the issue or
predetermined to punish the delin=uent; should not act as
>+. imilarly a person who is complainant or witness cannot
as a 1udge.
b4 'co%d Pri%ci$al F 6o one shall be condemned unheard F
The concept of reasonable opportunity e<tends through out
the disciplinary proceedings from the stage of framing of
charges till the final order of penalty.
*2. Actio% o% t1' I%?uir& R'$ort !& t1' DA
$n receipt of the In=uiry Report the >+ can take t following actions
a4 :e may remit the case to the I$ for further In=uiry . report
b4 :e may disagree with the findings of the I$ and arrive at his
own findings on the charge. In such case he has to record the
reasons for disagreeing with the In=uiring +uthority.
c4 :e may impose a minor penalty even if disciplinary
proceedings were carried out for !a1or penalty.
:e may impose any of the ma1or penalties as stipulated in
Rul' 2. o2 (uid' o% IRCON6# 'r,ic' Rul'#/
11
d4 The >isciplinary +uthority after going through the In=uiry
$fficer5s report would seek the advice of CV$ on the In=uiry
$fficer5s report.
e4 $n the basis of CV$5s comments and In=uiry $fficer5s
report; the >isciplinary +uthority5s provisional views
3irrespective of case where >isciplinary +uthority is in
agreement or disagreement with In=uiry $fficer5s report4 is to
be sent to the CVC 3may be through Railway Board4 for
seeking the CVC5s (
nd
stage advice. 3Railway Board circular
6o.7E/V&'/CVC/'/, dtd. ',.8).'777 and CVC $ffice $rder
6o.*//7/8) dtd. '8.87.(88). In re=uired cases; Railway
Board may forward the case for seeking CVC5s (
nd
stage
advice with their recommendation.
*.. Di22'r'%c' o2 o$i%io% !'t0''% t1' CVO a%d t1' DA/MD
a4 The cases; which are re=uired to be referred to the CVC for
advice; all relevant files; including the file on which the case
has been e<amined; are re=uired to be sent to the
Commission.
b4 The cases which are not re=uired to be sent to the
Commission for advice and if there is a difference of opinion
between the CV$ . the >+ ; the matter may be reported to
the !>. In case of difference of opinion between the CV$
and the !> in respect of corruption case; involving below
Board level appointees; it is the responsibility of the !> to
bring the case to the Board as per "ara )* of chapter ') of
Vigilance !anual of CVC.
*4. Di22'r'%c' o2 o$i%io% !'t0''% CAI 5 Ad+i%i#trati,' Aut1oriti'#.
Bhen there is a difference of opinion between CBI .
+dministrative +uthorities in a case where the CBI has
recommended prosecution under "C +ct; the commission will hold
a 1oint meeting with the representative of CBI and concerned
organi9ation. In such meeting the CV$ of the organi9ation should
take a brief from the >+ in this regard and if the >+ desires CV$
will attend the 1oint meeting.
12
',. Proc'dur' 2or t1' #'co%d #ta(' ad,ic' o2 CVC
The I$5s report is sent to the CVC with the vigilance comments
and recommendation of !> for seeking the second stage advice
of the Commission with the following documents.
i4 Copy of the charge sheet with all the anne<ures
ii4 C$5s statement of >efense
iii4 I$5s report . connected documents including; "$5s brief .
C$5s brief
iv4 elf contained note on findings of the >+ on each article of
charges; along with views of >+ . CV$.

*B. ACTION A7TER RECEIPT O7 2
%d
TAGE ADVICE
i4 +fter receipt of (
nd
stage advise from CVC through Railway
Board by IRC$6 Vigilance ;the disagreement/agreement of
>+ with I$5s report G copy of commission5s advice is to be
sent to the C$ by >+.
ii4 Receipt of C.$.5s reply by >+.
iii4 The >+ will take his decision keeping in view of CVC5s (
nd
stage advice; I.$.5s report and C$5s reply; . will issue 6I"
with speaking orders.
iv4 In case the >+; does not agree to impose penalty as per the
recommendation of CVC5s (
nd
stage advice; the provisional
views of the >+ along with vigilance comments would be
sent to CVC for reconsideration.
'/. Co%#ultatio% 0it1 CVC ) Ma4i%( a,aila!l' a co$& o2 t1' CVC6#
ad,ic' to t1' co%c'r%'d '+$lo&''.
To maintain transparency in all matters as far as possible it has
been advised by the commission that the copy of the commissions
first stage advice along with charge sheet may be made available
to the concerned employee for his information. The (&nd&stage
advice of CVC along with I$5s report may also be made available
to the concerned employee so that he can defend himself before
the >isciplinary +uthority.
3CVC5s Circular 6o. 77/V0?/-- dated (E&87&(888.4
'E. Proc'dur' 2or d'ali%( 0it1 IO6# r'$ort i% a DAR ca#' a2t'r
r'c'i$t o2 2 %d #ta(' ad,ic' o2 CVC
13
+fter receipt of second stage advice of CVC the >+ will send the
copy of the In=uiry report to the C$ along with his agreement or
disagreement with the findings of the I$. The C$ is re=uired to
submit his representation to the >+. If the >+ disagrees with the
second stage advice of CVC; he is re=uired to record his
provisional orders and the case is to be sent to the Railway Board
for seeking either reconsideration of the CVC5s second stage
advice or otherwise.
*@. P'%alti'# i% di#ci$li%ar& Proc''di%(#
The sub1ect has been considered by Vigilance as per 0uidelines of
Railway Board and accordingly following norms for punishment in
>+R cases arising out of Vigilance Investigations are stipulated for
the guidance of >isciplinary +uthority/Revision +uthority.
'. MaCor $'%alt& should be recommended by vigilance in one of the
following cases.
a4 If "rima Cacie !alafide is indicated
b4 Bhere ma1or loss of money has been caused
c4 Trap cases
(. In other cases !inor "enalty could be recommended.
). Nor+# 2or $u%i#1+'%t .
DA/ MaCor P'%alti'#DRul' 2. o2 (uid' o% Irco%# 'r,ic' Rul'#/
i4 Reduction to lower grade or post; or to a lower stage in time scale
ii4 Removal from service which shall not be a dis=ualification for future
employment
iii4 >ismissal from service
..* In case of fraud; forgery; permanent misappropriation of
0overnment money; trap cases and assault on vigilance
officials; one of the following +aCor penalties should normally
be imposed.
a/ Di#+i##al
!/ R'+o,al 2ro+ #'r,ic'
c/ Co+$ul#or& r'tir'+'%t D>1'% #u$'ra%%uati%( i# at l'a#t 2i,'
&'ar# a0a&/
14
ti22/','r' MaCor P'%alt&
The term stiff/severe !a1or penalty means removal; dismissal; .
compulsory retirement. Therefore all concerned may therefore
adhere to the said interpretation strictly.
DR'2'r'%c' CVC Circular @@/DP/* dat'd 05-02-*@@@/
In case such penalty is not imposed; the reasons thereof shall be
recorded in writing. In case of ma1or loss of 0ovt. money due to
negligence etc. but where !alafide intention is proved; !a1or
penalties should normally be imposed as stipulated in Guid' o%
Irco%6# 'r,ic' Rul'#.
* DA/ Mi%or P'%alt&DRul' 2. o2 (uid' o% Irco%# 'r,ic' Rul'#/
*.' In case where irregularity is of minor nature and no !alafide is
established; but the past vigilance record of the staff is bad; one of
the following Mi%or P'%alti'# should normally be imposed.
Da/ C'%#ur'
D!/ >it11oldi%( o2 i%cr'+'%t# o2 $a& 0it1 or 0it1out cu+ulati,'
'22'ct.
Dc/ >it11oldi%( o2 $ro+otio%
Dd/ R'co,'r& 2ro+ $a& or #uc1 ot1'r a+ou%t a# +a& !' du' to
1i+ o2 t1' 01ol' or $art o2 a%& $'cu%iar& lo## cau#'d to t1'
co+$a%& !& %'(li('%c' or !r'ac1 o2 ord'r#.
*.( ti22/','r' Mi%or P'%alt&
The term stiff/severe !inor penalty means%
3a4 Reduction to a lower stage in the time scale of pay for a period not
e<ceeding three years; without cumulative effect and not adversely
effecting his pension.
3b4 Bithholding of increments of pay.
DR'2'r'%c' CVC Circular @@/DP/* dat'd **-0:-*@@@/
5. E22'cti,' Pu%i#1+'%t i% di#$ro$ortio%at' a##'t# ca#'#.

The CVC has advised in cases of all categories of officers against
whom disproportionate assets/acceptance of bribe has been
proved the !a1or "enalty to be imposed should ordinary be that of
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removal from service or compulsory retirement. DR'2'r'%c' CVC
l'tt'r No. 4/./75-R 5 CVC Circular @@/VGL/:2* dat'd 24-0.-
*@75 5 **-0:-*@@@ r'#$'cti,'l&/
B. u#$'%#io% o2 o22icial i%,ol,'d i% cri+i%al/d'$art+'%tal
$roc''di%(#
If a official charged of corruption; if not suspended; manage to get
their in=uiries delayed because delay in criminal/departmental
proceedings enables them to continue in service even though the
charges against them are grave enough to deserve the
punishment of dismissal from service. uch official can use the
opportunity of continuance in service for earning money through
illegal/corrupt means. In view of the above the official facing
criminal/departmental proceedings should be placed under
suspension . suspension should not be revoked in a routine
manner.
DR'2'r'%c' CVC Circular 000/VGL/70 dat'd 25-0@-2000 5 Rul'
20 o2 Guid' o% Irco%6# 'r,ic' Rul'#/
7. R'cord'd >ar%i%( ) The >+ through proper communication and
record can issue the recorded warning and copy of the recorded
warning shall be placed in the personal file of the employee.
E. Cou%#'li%( ) Bherein Counseling has been recommended to be
administered it shall be open to the competent authority to chose
the method of counseling which can be either oral or in writing
unless specified otherwise by CVC.
20. 7i=i%( o2 r'#$o%#i!iliti'# 2or i%ordi%at'/ u%r'a#o%a!l'/ d'li!'rat'
d'la& i% di#$o#al o2 DAR ca#'#
It has been observed that in some of the cases unreasonable
delay has taken place at various stages of the case. The >+R
proceedings are to be taken seriously and it should not be allowed
to drag on endlessly. +ction against the officials responsible for
causing inordinate delay in >+R proceedings can be initiated and
even in such a situation the >+ is also likely to be held
accountable for the delay.
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2*. D'la& i% i+$l'+'%tatio% o2 CVC6# ad,ic'
+ reasonable time limit for concluding and finali9ing the vigilance
cases is already built in the procedure for disciplinary proceedings.
+ccordingly it is advised that subse=uent to CVC5 Hs first and
second stage advice the responsibility for finali9ation and award of
punishment passes on from vigilance to the :R! department.
CVC vide its letter 6o.888/V0?/'E dated )
rd
!arch; (88) has
indicated that any delay over and above the prescribed time limits
for finali9ation of disciplinary cases will be viewed as misconduct
by the Commission and will render the concerned officials of the
:R! >epartment and others concerned liable for being proceeded
from the vigilance angle with its attendant ramifications.
:R! may devise suitable mechanism for monitoring >isciplinary
+ppeal Rule cases arising out of vigilance investigations in order
to ensure that undue delay does not take place in the finali9ation
of >+R cases.
22. N''d 2or #'l2-co%tai%'d #$'a4i%( a%d r'a#o%'d ord'r to !'
i##u'd !& t1' aut1oriti'# '='rci#i%( di#ci$li%ar& $o0'r#
The disciplinary proceedings against employees are =uasi&1udicial
in nature and therefore; it is necessary that orders issued by such
authorities should have the attributes of a 1udicial order. Therefore
the recording of authorities should have the attributes of a 1udicial
order. The recording of reasons in support of a decision by a
=uasi&1udicial authority is obligatory as it ensures that the decision
is reached according to law and is not a result of caprice; whim or
fancy; or reached on ground of policy or e<pediency. uch orders
passed by the competent disciplinary/appellate authority as do not
contain the reasons on the basis whereof the decisions
communicated by that order were reached; are liable to be held
invalid if challenged in a court of law.

In view of the above it is brought to the notice of all
disciplinary/appellate authorities that >isciplinary +uthorities
should issue a self contained; speaking and reasoned orders
conforming to the aforesaid legal re=uirements; which must
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indicate; inter&alia; the application of mind by the authority issuing
the order.
2.. APPEAL REVIION 5 REVIE> DA# $'r Guid'li%'# o% IRCON6#
'r,ic' Rul'#/
APPEAL& Rul' .2 o2 Guid' o% Irco%6# 'r,ic' Rul'#
>uring the course of the >isciplinary proceedings and after the
penalty has been imposed the official may feel aggrieved that he
has been treated harshly by the >+ . 1ustice has not been done to
him. It may also be possible that the authorities might have
committed some glaring mistakes or irregularities inadvertently
during the disciplinary proceedings and now it is necessary to
correct them. In such cases the aggrieved person has the statuary
right to have the wrongs done to him set right by putting an appeal.
P'riod o2 Li+itatio% o2 A$$'al#% & The appeal shall be made
within the period of 2ort& 2i,' da&# from the date on which the
copy of the order appealed against is delivered to the appellant;
however the appellate authority may entertain the appeal after the
e<piry of the period if he is satisfied that the appellant had sufficient
cause for not preferring the appeal in time.
REVIION
The appellate authority within si< months of the date of the order
proposed to be revised or any other authority specified in behalf by
the president of India may at any time; either on his own or its own
motion or otherwise call for the records or any in=uiry and revise
any order made under the rules from which an appeal is allowed.
REVIE> DRul' .. o2 Guid' o% Irco%6# 'r,ic' Rul'#/
The !>/Competent +uthority may; at any time; either on his own
motion or otherwise review any order passed under the rules; when
any new material or evidence which could not be produced or was
not available at the time of passing of the order under review and
which has the effect of changing the nature of the case has come or
has been brought to his notice.
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PO>ER AND D<TIE O7 TEE APPELATE
A<TEORIT9
The appellate authority is under obligation to consider
i4 Bhether the procedure in the >.+R proceedings has been
complied with and if not; whether such non&compliance has
resulted in violation of any constitutional provision or in the failure
of 1ustice.
ii4 Bhether the findings are warranted by the evidence on record
iii4 Bhether the penalty is ade=uate or severe.
:e can confirm; enhance; reduce or set aside the penalty or remit
the case with any direction he deems fit.
The appellate authority has thus power even to enhance the
penalty in a appeal submitted by the effected official for relief.
Bhile enhancing the penalty; the appellant should be given
opportunity to make a representation against such enhancement
and in case of enhancement to a ma1or penalty; an en=uiry should
be conducted if not held earlier.
It is hoped that these guidelines would help all concerned in matter
of >+R proceedings. + flow chart has also been anne<ed for easy
guidance.
d/&
3+mita "rasad4
Chief Vigilance $fficer
To%
!>/>"/>C/>B
0! 3:R!4
+ll >+s5 in IRC$6
www.irconnet.com
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