What is Vigilance

(KEEPING A WATCH)
TO MAINTAIN THE INTEGRITY
OF AN ORGANISATION,
ITS PROCEDURES AND ITS
EMPLOYEES
OUR FOCUS
PREVENTION OF FRAUDS &
LEAKAGE OF REVENUE
1

List some of the Vigilance Activities

Preventive
Examination of procedures
to remove loop holes Regular and surprise
inspections Monitoring the activities of the
employees through returns

Detective
Investigation of complaints or
any other information regarding
Irregularities
2

Punitive
Punishment to the guilty

List some of the articles of the

Constitution of India which concerns
a government servant

Article 309 - Recruitment and conditions of service of

persons serving the Union or State
Article 310- Tenure of office of persons serving the
Union or a State
Article 311 - Dismissal, removal or reduction in rank of
persons employed in civil capacities under the Union
or a state :
Article 320 - Functions of Public Service Commission

Who is authorised to frame rules to

regulate the recruitment and conditions
of service of Central Government
Employees

The President
4

Name the two essential features of

the inquiry provided in Article 311
The Government servant has to
be informed of charges; and
given reasonable opportunity
to defend himself
5

What is the full form of CCS (CCA)

Rules?

Central Civil Services

(Classification,
Control and Appeal)
Rules
6

In which year the CCS (CCA) Rules

were framed?

1965
7

Can a government servant go on

strike after giving proper notice to
Govt

No
8

What is suspension

The action of suspending or

condition of being suspended
the action or position
(Oxford English Dictionary)
9

Is suspension a punishment

No. The purpose is

to facilitate
proper inquiry.
10

Can advance for procurement of a

conveyance be given to a Govt
servant under suspension

NO

11

Name the authority who can impose

a penalty on a Govt Servant

The Disciplinary
Authority
12

Name the authority who can impose

any penalty on any govt servant

The President
13

When is Central Vigilance

Commission to be consulted?

When a gazetted officer is involved and there is a

vigilance angle
(i) corruption, cheating, bribery, misappropriation, fraud and lack of
integrity;
(ii) abuse of official power/authority for self gain or for anyone else;
(iii) substantial loss to government as a result of grave/ deliberate
negligence or indulgence in nepotism;
(iv) possession of disproportionate assets.
(v) flagrant violation of rules/ regulations/ procedures
14

What are the two stages at which

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

15

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

Name any two minor penalties

16

Name any two major penalties

17

Is it necessary to hold oral enquiry

in all the cases

18

What could be the likely financial impact

if penalty of withholding increment is
imposed
Illustration 1 (Slide 29)

Illustration 2 (Slide 30)

Illustration 3 (Slide 31)

19

Can an enquiry be conducted in respect

of retired Govt servant for an act done by
him during any period of his service

Proceedings can be initiated after retirement

Only with the sanction of the President
Only in respect of any event which took
place within four years of such institution

20

Which minor penalty cannot be imposed

unless oral inquiry has been conducted

Withholding of increments
for more than three
years or with cumulative
effect or effecting
pension
21

Which penalty results in the

forfeiture of the past service?

Removal or Dismissal

22

What is the name of the allowance given

to a Govt servant under suspension.
Which Fundamental Right guarantees
that?

Subsistence Allowance
Article 21 (Part III of the
Constitution)

23

Which deductions are not permitted

from the subsistence allowance?
Income tax, House Rent, Electricity & water charges,
installments of repayment of loans and advances, if necessary
at revised rates, CGHS contribution, and contributions towards
CGE Group Insurance Scheme shall be deducted from the
subsistence allowance.
Premium due to PLI, amount due to cooperative societies and
refund of GPF advance can be deducted with the CONSENT of
the Govt servant.
Subscriptions to GPF, amount due on court attachments and
recovery
of loss caused to the Govt cannot be deducted from
24
the subsistence allowance.

Give any two cases, where no appeal

is permissible
Any order made by the President.
Any order of interlocutory nature or in the
nature of step-in-aid of the final disposal
of a disciplinary proceeding other than an
order of suspension
Any order passed by an Inquiry Officer
during the course of inquiry. (However, an
appeal can be submitted against an order
of IO rejecting request for engagement of
25a Defence Assistant from some
outstation.)

What is the period of limitation for

filing an appeal against an order of
penalty?

45 days

26

Do you think the disciplinary

framework of government lays down
control only on employees?

No. Employees do enjoy

certain protection. Enough
care is taken to see that
undue hardship is not caused
to the GS and his / her family
members.
27

What are some of the positive elements

you come across in the various
provisions governing the service
conditions

Application of Principles of
Natural Justice
Protection under Article 311
Grant of Subsistence Allowance
Entitlement after death etc.

28

Reduction by 3 stages for 3 years

9900
9700
Normal
progression

9500
9300
9100
8900

During penalty

8700

1-1-

1-12002

1-12001

1-12000

1-11998

1-11997

29

1-11999

Period of penalty

8500

9700

Withholding of
ONE
Increment for 3
years

Withholding of
NEXT
Increment for 3
years

Withholding of NEXT
Increment for 3 years
with CUMMULATIVE
EFFECT

9500
9300
9100
8900
8700

30

Period of
penalty

Period of
penalty

1-12000
1-12001
1-12002
1-12003
1-11-12004
2000
1-11-12005
2001
1-12002
1-12003
1-12000
2004
1-12001
2005
1-12002
1-12003

8500

Period of
penalty

Normal progression

During period of penalty

Reduction by 3 stages for 3 years

+no increments during the period of reduction
9900
+ with cummulative effect
9700
9500
9300
9100
8900
8700

31

Period of
penalty

Period of
penalty

1-11997
1-11998
1-11999
1-12000
1-11-12001
1997
1-11-12002
1998
1-11-12003
1999
1-12000
1-11-12001
1997
1-11-12002
1998
1-11-12003
1999
1-12000
1-12001

8500

Period of
penalty

Normal progression

During period of penalty

MINOR PENALTIES
(Rule 11)

32
Go

Censure
Withholding of Promotion
Recovery from Pay of whole or part of any pecuniary
loss caused by him to the Government by negligence
or breach of orders etc
Reduction to lower stage in the time-scale of pay for a
period not exceeding three years, without cumulative
effect and not affecting his pension
Withholding of increments

back

End

Censure

33

This penalty may have indirect

financial implications as the Govt
servant may be at a disadvantage viza-viz a person with a clean record.
The penalty has no currency and the
person can be considered for and
given promotion immediately after
imposition of penalty.
End

Withholding of Promotion

34 back
Go

This penalty has indirect financial

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

Recovery from Pay of whole or part of any

pecuniary loss caused by him to the
Government by negligence or breach of
orders etc

35

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Financial implications of this penalty

are limited to the amount decided to
be recovered from his pay.
Promotion can be given during the
currency of this penalty.
End

Reduction to lower stage in the time-scale of

pay for a period not exceeding three years,
without cumulative effect and not affecting
his pension

36

The Govt servant suffers loss in pay and

corresponding loss in allowances etc
based on the stage of reduction.
The penalty lasts for the specified period.
Promotion cannot be given during the
period of punishment.
(ILLUSTRATION)
End

Withholding of increments

Financial impact of this penalty depends on

37

Whether ONE or NEXT increment is withheld.

the period for which the penalty is imposed.
whether the penalty will have cumulative effect, i.e.,
postpone his future increments

The period of punishment is as specified in the order

imposing penalty
Promotion cannot be given during the currency of penalty
If the penalty is for a period of more than three years, or is
with cumulative effect or is likely to adversely affect the
pension, then inquiry under Rule 14 of CCA Rules is
mandatory.
(ILLUSTRATION)
End

Imposition of a Minor Penalty (Rule 16)

Go
38 back

Inform the Govt servant by a Memorandum giving

him time to make his representation. Enclose
Statement of imputation of misconduct or
misbehaviour.
Record the findings on imputations of misconduct
keeping in view the representation of the Govt
servant, if any.
If imputations are proved, impose one of the minor
penalties otherwise exonerate the Govt servant
Consult UPSC if necessary, before imposing
penalty.
Oral inquiry can be held in exceptional cases.
End

MAJOR PENALTIES (Rule 11)

Cases which call for major penalty

Reduction to a lower stage in the time scale of pay
Reduction to a lower time-scale of pay, grade, post
or service
Compulsory Retirement
Removal from service
39Dismissal from service
End
Go back

Reduction to lower stage in the time-scale of

pay

40

Go back

The Govt servant suffers loss in pay and

corresponding loss in allowances etc based on
the stage of reduction.
The penalty lasts for the specified period.
The impact of the penalty increases if increments
are denied during the period of penalty. It is
maximum if this is done with cumulative effect.
Promotion cannot be given during the period of
punishment.
( ILLUSTRATION)

End

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

service

This penalty also puts the Govt servant at a considerable

financial loss, which depends upon
the scale to which he is reduced
the period for which reduced
the pay allowed during reduction
the conditions for restoration to the original grade, scale
post etc.
whether on restoration, the reduction will or will not have
the effect of postponing the future increments of his pay.
the seniority on the original post after such restoration

41

The punishment remains in force during the period

specified in the order imposing penalty.This penalty is
generally a bar for future promotion. Promotion cannot
be given during the currency of penalty.
End

Compulsory Retirement

42

The Government servant is denied the right to continue in service

till the age of superannuation, and the increments, promotions etc
he might have earned during his remaining service.
The Govt servant remains entitled to the proportionate pension on
the basis of the service rendered by him unless the penalty is
coupled with reduction in pension and gratuity in terms of Rule 40
of CCS (Pension ) Rules, 1972 (which can be maximum one third
of the normal entitlement and reduced pension cannot be below the
minimum limit).
Right to leave preparatory to retirement is denied.
Leave encashment is also not admissible in case cut in pension
has been made.

Removal or Dismissal from service

43

These are extreme penalties which can be

imposed on a Govt Servant as these entail
forfeiture of retirement benefits.

Dismissal imposes disqualification from

future employment under Government.

However in certain deserving cases, relief in

the form of Compassionate Allowance not
exceeding the normal pension the Govt
servant would have been entitled to and not
less than the minimum pension or gratuity or
both may be sanctioned.
End

Cases for major penalty

Cases in which there is reasonable ground to

believe that an offence has been committed but
evidence forthcoming is not sufficient to launch
prosecution in a court of law e.g.
Possession of disproportionate assets
Obtaining or attempting to obtain illegal
gratification
Misappropriation of Govt property, money or stores
Obtaining or attempting to obtain any valuable thing
or pecuniary advantage without valid consideration

44

Contd

End

Cases for major penalty (contd)

45

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Falsification of Govt records

Gross irregularity or Negligence in performance
of official duties with dishonest motives
Misuse of official position or power for personal
gain
Disclosure of secret or confidential information
False claims on Govt like TA, Medical
reimbursement etc
End

Steps for imposing major penalty

46

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Prepare a Charge Sheet.

Get the Charge Sheet delivered to the Govt Servant.
If all the charges are admitted, record your findings
and take further action.
If any charge is denied you can yourself conduct the
oral inquiry or appoint an Inquiry Officer to conduct
inquiry as per the procedure laid down in Rule 14.
Appoint a Presenting Officer to present the case on
behalf of the Deptt during Oral Inquiry .
On receipt of the Inquiry Report take further action
as may be necessary based on the findings of the
Inquiry Officer.
End

Imposition of penalty without holding inquiry

(Rule 19)

47

Procedure in Rule 14 to 18 need not be followed

when it is proposed to impose a penalty on the
ground of conduct which has led to conviction in a
court of law. However, an opportunity may be given
for making a representation against the penalty
proposed.
when the disciplinary authority is satisfied for
reasons to be recorded in writing that it is not
reasonably practicable to hold an inquiry.
When the President is satisfied that it would not be
expedient to hold an inquiry in the interest of the
End
security of the state.

Orders against which no appeal

lies (Rule 22)

48

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Any order made by the President.

Any order of interlocutory nature or in the
nature of step-in-aid of the final disposal of a
disciplinary proceeding other than an order of
suspension
Any order passed by an Inquiry Officer during
the course of inquiry. (However, an appeal can
be submitted against an order of IO rejecting
request for engagement of a Defence
End
Assistant from some outstation.)

Orders against which appeal can be

submitted (Rule 23)

49

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Order of suspension or deemed suspension

Order imposing any of the penalties
Order enhancing any penalty
Order denying or varying pay & allowances, pension
etc.
Order of stopping at Efficiency Bar
Order or reversion from a higher post otherwise
then as a penalty
Order reducing or withholding pension, gratuity etc.
Order regarding regularisation of period of
suspension or deemed suspension and pay and
allowances for that period.
End

Appellate Authorities (Rule 24)

50

Authority specified in the Schedule or by a general or

special order of the President
Group A & B officers can submit appeal to the
Appointing Authority if order is made by a subordinate
authority and to the President, if the order is by any
other authority.
Group C & D officers can submit appeal to the
Authority to which the authority which made the order
is immediately subordinate.
In case the penalty imposed by an authority other than
President, is in respect of activities connected with the
work as office bearer of an association etc, the Govt
End
servant can file an appeal directly to the President.

Submission of appeal

51

Every person has to submit the appeal separately

and in his own name.
Appeal has to be submitted to the authority to
which the appeal lies, with a copy to the authority
which made the order appealed against.
Appeal should contain all the grounds relied upon,
but should not contain any disrespectful or
improper language.
The authority which made the order, should
immediately forward the appeal alongwith its
comments and records of the case without waiting
End
for any directions from the appellate authority.

Review (Rule 29-A)

52

The President can on his own or otherwise

review any order, when any new material
evidence, which could not be produced or was
not available when the order was passed and
which changes the entire nature of the case has
come or is brought to his notice.
If on review, punishment is proposed or
proposed to be enhanced, the charged officer
should be given a reasonable opportunity to
represent and if major penalty is proposed,
inquiry should be conducted, if not alreadyEnd
done.

What is suspension?

An administrative action for debarring a Govt

servant from his powers and duties.
Temporary deprivation of office pending
regular disciplinary proceedings
Relationship of servant and master does not
end. All conditions of service continue to
apply.
No reduction in rank. Lien retained
Not a penalty
End
Appeal can be preferred

Who can suspend?

Appointing authority or any

authority to which it is
subordinate
Disciplinary Authority
Any other authority
empowered in this behalf by
the President by a general or
End
special order

When can a Govt servant be

suspended?

When a disciplinary proceeding is

contemplated or pending against him
When in the opinion of the competent
authority, he has engaged himself in
activities prejudicial to the interest of
the security of the state
When a case against him in respect of
any criminal offence is under
investigation, inquiry or trial
When he is involved in dowry death
and case is registered under section
304(B) of IPC he shall be suspended as
soon as he is arrested, irrespective of
the period of detention, or as soon as
the charge sheet is filed against
him,whichever is earlier.
End

Circumstances which justify

suspension

When the Govt servant is likely to

hamper the proceedings e.g.
tempering with the evidence
When his continuation in office is
likely to affect office discipline
When he is involved in a scandal
and it is necessary to demonstrate
Govts intention to deal firmly with
the situation
When his continuation in officeEnd
is
against public interest

Deemed suspension [Rule 10(2)]

From the date of detention, if a

Government servant is detained in
custody for a period exceeding 48 hours
From the date of conviction, in case of
conviction leading to imprisonment for
a period exceeding 48 hours
Order of suspension is deemed to have
continued on and from the date of
punishment, if penalty of dismissal,
removal or compulsory retirement
imposed on a person under suspension
is set aside in appeal or review and
further action is ordered
From the date of punishment, if penalty
of dismissal, removal or compulsory
retirement is set aside by a Court and
End
further inquiry is ordered

Entitlements during suspension

For the first three months
Subsistence allowance equal to leave salary on
half pay leave
DA on the subsistence allowance
HRA, CCA as admissible before suspension
After three months, subsistence allowance can
be increased or decreased up to 50% of the
original subsistence allowance depending upon
whether the period of suspension has been
prolonged due to reasons directly attributable to
the Government servant.
Only some of the normal deductions are permitted
End
from subsistence allowance

Deductions from subsistence allowance

Income tax, House Rent, Electricity & water charges,

installments of repayment of loans and advances, if
necessary at revised rates, CGHS contribution, and
contributions towards CGE Group Insurance
Scheme shall be deducted from the subsistence
allowance.
Premium due to PLI, amount due to cooperative
societies and refund of GPF advance can be
deducted with the CONSENT of the Govt servant.
Subscriptions to GPF, amount due on court
attachments and recovery of loss caused to the
Govt cannot be deducted from the subsistenceEnd
allowance.

Administrative effects

Go back

Govt servant is not supposed to attend office or

mark attendance. Entry card is withdrawn.
Scooter or car advance cannot be granted.
HBA can be granted.
Govt servant can function as Defence Assistant
Leave cannot be granted.
LTC can be granted only to the family members.
Govt servant retains lien on his post.
Govt servant cannot be sent on training,
deputation etc.
End
(Contd)

Administrative effects (contd)

Resignation of a Govt servant under

suspension can be accepted only in public
interest if:charges do not involve moral turpitude.
available evidence is not likely to lead to
removal or dismissal.
the proceedings are likely to be very
protracted and it would be cheaper to the
Govt to accept the resignation.
In above cases, resignation can be accepted
with the approval of Minister-in-charge in
case of Gr.A and B officers and Head of
Deptt in case of other officers.
Sealed cover procedure has to be followed if
a Govt servant under suspension becomes
eligible for consideration for (contd)
promotion etc.
End

Other Administrative effects

Permission for Voluntary retirement

during suspension can be denied by the
competent authority.
On attaining the age of superannuation
the suspended Govt servant will be
retired. Subsistence allowance shall stop.
He will be paid only provisional pension.
Leave encashment can be withheld if
there is possibility of some money
becoming recoverable as a result of the
proceedings.
Permission can be given to appear in
Departmental Examination, but
promotion will be considered only after
finalisaiton of the proceedings.
End

Revocation of suspension

Suspension remains in force till it is

revoked.
Order can be revoked at any time
by the competent authority.
Suspension automatically comes to
an end if penalty of dismissal,
removal or compulsory retirement
from service is imposed.
In case of death during suspension,
it is presumed that there was no
suspension at all and full pay and
End
allowances are to be paid.

Action after reinstatement (Rule 10)

An order for regularisation of period

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

Action against pensioners

65

Misconduct committed while

in service including the period
of reemployment
Misconduct committed after
retirement
End

Misconduct committed while in service including the

period of reemployment

66

Competent authority and

action that can be taken
Proceedings instituted before
retirement
Institution of proceedings
after retirement
End

Grave misconduct or negligence committed

while in service Rule 9

67

Competent Authority - President

Possible action
Withholding of pension or gratuity, or both, in
full or in part, permanently or for a specified
period
Recovery from pension or gratuity of the whole
or part of any pecuniary loss caused to the Govt
UPSC has to be consulted before issue of final
orders.
If only part of pension is withheld, it cannot be
less that Rs.1275 per mensem
End

Proceedings instituted before retirement

68

Disciplinary Proceedings for

major penalty, instituted while
in service shall be continued
as if the Govt servant was
still in service
If proceedings were instituted
by an authority subordinate to
the President, it shall report
its findings to the President
End

Institution of proceedings after retirement

69

Proceedings can be initiated after retirement

Only with the sanction of the President
Only in respect of any event which took place within
four years of such institution
Proceedings shall be conducted by the authority
specified by the President, according to the procedure
for dismissal of the Govt servant while he was in
service.
Proceedings shall be deemed to be instituted on the
date of issue of statement of charges or the date of
suspension, if the Govt servant had been placed under
suspension before retirement, whichever date is earlier.
End

Misconduct or serious crime committed after

retirement (Rule 8)

70

Competent Authority - Authority which was competent

to remove the pensioner, while he was in service
Possible action Withholding or withdrawl of pension,
in full or in part, permanently or for a specified period
A show cause notice has to be given specifying the
action proposed to be taken in the case of misconduct
UPSC has to be consulted before issue of final orders,
if order is to be issued in the name of the President
If only part of pension is withheld or withdrawn,
remaining pension cannot be less that Rs.1275 per
mensem
An appeal lies to the President, if order is passed by
an authority other than the President.
End

Punishment power to impose

Is a statutory power
Cannot be delegated
Cannot be taken over by superior
Involves exercise of discretion

71

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Independently
Based on relevant considerations
With due application of mind.
End

Punishment when can be given?

For good and sufficient

reasons
After following the
prescribed procedure.

72

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End

Punishment deciding quantum of

Gravity of the
misconduct
Extenuating
circumstances, if any
Track record of the
officer.
73

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End

Punishment - lenient

Sets a bad example

Diminishes the gravity
of the charges
Invites aspersions.

74

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End

Punishment - severe

Kills initiative
Creates dead wood
Creates general
atmosphere of phobia
Smells of
vindictiveness.
75

End

Punishment order for imposing

Should be signed by the competent

authority only
Should reflect due application of
mind
Should be a speaking order
Should be carefully drafted cannot
be modified by the same authority

76

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End