What is Vigilance

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

List some of the Vigilance Activities Preventive

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

Detective
Investigation of complaints or any other information regarding Irregularities

Punitive
Punishment to the guilty

List some of the articles of the Constitution of India which concerns a government servant
Article 309 - Recruitment and conditions of service of persons serving the Union or State Article 310- Tenure of office of persons serving the 310Union 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
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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

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In which year the CCS (CCA) Rules were framed?

1965
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Can a government servant go on strike after giving proper notice to Govt

No
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What is suspension

The action of suspending or condition of being suspended the action or position (Oxford English Dictionary)
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Is suspension a punishment

No. The purpose is to facilitate proper inquiry.

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Can advance for procurement of a conveyance be given to a Govt servant under suspension

NO

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Name the authority who can impose a penalty on a Govt Servant

The Disciplinary Authority

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Name the authority who can impose any penalty on any govt servant

The President
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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; integrity; (ii) abuse of official power/authority for self gain or for anyone else; else; (iii) substantial loss to government as a result of grave/ deliberate negligence or indulgence in nepotism; nepotism; (iv) possession of disproportionate assets. assets. (v) flagrant violation of rules/ regulations/ procedures

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What are the two stages at which CVC is consulted?

(i) The irst stage advice Commission indicates the action to be taken against the Government servant, whose conduct has been investigated. (ii) The second stage advice Commission considers the report of the Inquiry officer and advises the disciplinary authority about the penalty to be imposed

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Name any two minor penalties

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Name any two major penalties

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Is it necessary to hold oral enquiry in all the cases

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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)

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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
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Which penalty results in the forfeiture of the past service?



Removal or Dismissal

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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)



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Which deductions are not permitted from the subsistence allowance?

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

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Give any two cases, where no appeal is permissible

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

What is the period of limitation for filing an appeal against an order of penalty?

45 days

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Do you think the disciplinary framework of government lays down control only on employees?

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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.

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.


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Reduction by 3 stages for 3 years 9900 9700 9500 9300 9100 8900 8700 8500 Period of penalty During penalty Normal progression

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9700 9500 9300 9100 8900 8700 8500

Withholding of ONE Increment for 3 years

Withholding of NEXT Increment for 3 years

Withholding of NEXT Increment for 3 years with CUMMULATIVE EFFECT

Period of penalty

Period of penalty

Period of penalty

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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 8500
Period of penalty Period of penalty Period of penalty

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Normal progression During period of penalty

MINOR PENALTIES
(Rule 11)
  

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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 timeperiod not exceeding three years, without cumulative effect and not affecting his pension Withholding of increments
End

Censure This penalty may have indirect financial implications as the Govt servant may be at a disadvantage vizviza-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. penalty.

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End

Withholding of Promotion

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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

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. penalty.

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

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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 End period of punishment. punishment.

Withholding of increments

Financial impact of this penalty depends on

 Whether ONE or NEXT increment is withheld.  the period for which the penalty is imposed.  whether the penalty will have cumulative effect, i.e., postpone his future increments

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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 End Rule 14 of CCA Rules is mandatory.

Imposition of a Minor Penalty (Rule 16) Inform the Govt servant by a Memorandum giving him time to make his representation. Enclose Statement of imputation of misconduct or misbehaviour. Record the findings on imputations of misconduct keeping in view the representation of the Govt servant, if any. If imputations are proved, impose one of the minor penalties otherwise exonerate the Govt servant Consult UPSC if necessary, before imposing End penalty. Oral inquiry can be held in exceptional

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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 timeor service  Compulsory Retirement  Removal from service  Go back End 39Dismissal from service


Reduction to lower stage in the time-scale of timepay

 

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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 End period of punishment.
( ILLUSTRATION)

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

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    

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

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

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Removal or Dismissal from service

These are extreme penalties which can be imposed on a Govt Servant as these entail forfeiture of retirement benefits. Dismissal imposes disqualification from future employment under Government. However in certain deserving cases, relief in the form of Compassionate Allowance not exceeding the normal pension the Govt servant would have been entitled to and not less than the minimum pension or gratuity or both may be sanctioned. End

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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 End or stores Contd Obtaining or attempting to obtain any

 

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

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Steps for imposing major penalty Prepare a Charge Sheet. Sheet. Get the Charge Sheet delivered to the Govt Servant. If all the charges are admitted, record your admitted, action. 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 End Inquiry . On receipt of the Inquiry Report take further

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Imposition of penalty without holding inquiry (Rule 19)

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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 End is not reasonably practicable to hold an inquiry.

Orders against which no appeal lies (Rule 22)

 

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

Orders against which appeal can be submitted (Rule 23)

   

 

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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. End Order regarding regularisation of period of suspension or deemed suspension and pay

Appellate Authorities (Rule 24)



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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 End connected with the work as office bearer of an association etc, the Govt servant can file an

Submission of appeal
Every person has to submit the appeal separately and in his own name. Appeal has to be submitted to the authority to which the appeal lies, with a copy to the authority which made the order appealed against. against. Appeal should contain all the grounds relied upon, but should not contain any disrespectful or improper language. language. The authority which made the order, End should immediately forward the appeal alongwith its

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Review (Rule 29-A) 29-

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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 End officer should be given a reasonable opportunity to represent and if major

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 End Not a penalty 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 End under section 304(B) of IPC he

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 End scandal and it is necessary to demonstrate Govts intention to deal firmly with the

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 End action 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 End Government servant. Only some of the normal deductions are

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 End of the Govt servant. Subscriptions to GPF, amount due on court

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Administrative effects (contd)



Resignation of a Govt servant under suspension can be accepted only in public interest if: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 (contd) accepted with the approval of End Minister-inMinister-in-charge in case of Gr.A

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 End some money becoming recoverable as a result of the

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. End In case of death during suspension, it is presumed

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 End period of suspension has also to be issued. Full pay and

Action against pensioners

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

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Misconduct committed while in service including the period of reemployment

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

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Grave misconduct or negligence committed while in service Rule 9

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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. End If only part of pension is withheld, it

Proceedings instituted before retirement

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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 End President, it shall report its findings to the President

Institution of proceedings after retirement

  

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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 End been placed under suspension before

Misconduct or serious crime committed after retirement (Rule 8)

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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 End If only part of pension is withheld or withdrawn,

Punishment power to impose

Is a statutory power Cannot be delegated Cannot be taken over by superior Involves exercise of discretion
Independently Based on relevant considerations With due application of mind.
End

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Punishment when can be given?

For good and sufficient reasons After following the prescribed procedure.

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End

Punishment deciding quantum of

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

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End

Punishment - lenient

Sets a bad example Diminishes the gravity of the charges Invites aspersions.

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End

Punishment - severe

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

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End

Punishment order for imposing

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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 End authority