Vigilance Manual 2017

Vigilance Manual 2017 [SEVENTH EDITION] Central Vigilance Commission First Edition 1968 Second Edition 1971 Third Edition 1974 Fourth Edition 1982 Fifth Edition 1991 Sixth Edition 2005 Foreword Probity and integrity are the bedrock of good governance. Vigilance administration is a fundamental and vital function of the management. It is intended that this comprehensive Vigilance Manual serves as a useful reference book, a vade mecum, for effective Vigilance administration thereby facilitating good governance. The Vigilance Manual was brought out in 2005. There have been many significant developments since then. Several Circulars, Guidelines, etc., have been issued by the Government and the Commission from time to time. There is an imperative need for compiling them in a single document. With this objective, for the first time Special chapters on Public Sector Enterprises, Banking & Insurance Companies and several guidelines issued by the Chief Technical Examiners’ office have been integrated in this Manual. Separate chapters on CBI, PIDPI Resolution, Preventive Vigilance, Disciplinary Proceedings & Suspension and some other relevant issues have been introduced. Most of the relevant Circulars and instructions of the Government and the Commission have also been cited. An Online Version , hyperlinking the cited orders and circulars to their host website is also being released on the Commission’s website www.cvc.nic.in. The underlying idea is to periodically update the Online version of the Manual. This Manual has been meticulously and painstakingly compiled by Shri Praveen Sinha, Additional Secretary in the Commission. He was ably assisted by Sri M. A. Khan, Under Secretary and Shri H. K. Beniwal, Director (Retd.).The Commission compliments them and acknowledges the efforts and contribution of all those who have contributed to this compilation. The Commission welcomes suggestions on the content or form of this Manual and errors or omissions in this Manual for further improvement. (K.V.Chowdary) Central Vigilance Commissioner (Rajiv) (T.M. Bhasin) Vigilance Commissioner Vigilance Commissioner New Delhi 01.07.2017 Acknowledgement The Commission held wide consultation for the preparation and drafting of this Manual. Many Officers and some Organisations have contributed either by collating information or by way of suggestions. The Commission thankfully acknowledges the contribution of Smt. Nilam Sawhney, Secretary, CVC for her enthusiastic participation, valuable guidance and inputs to the Manual Drafting Committee. A Committee headed by Sri Praveen Sinha, Additional Secretary, CVC was constituted for preparation of this Vigilance Manual.To assist this Committee, separate Sub-Committees under each of the Additional Secretaries and CTEs were constituted to submit drafts on assigned subjects. The Commission places on record its sincere appreciation for the painstaking efforts put in by the Additional Secretaries - Shri Salim Haque, Shri S.P.N Singh, Smt. Sonali Singh and Shri Praveen Sinha and CTEs - Shri Hemant Kumar and Shri Ramesh Chandra, who headed these Sub-Committees. The Commission is thankful for the valuable contribution made by the members of these sub-committees viz. Shri Shailendra Singh, Advisor; Shri J. Vinod Kumar, Director, Shri R.N. Nayak, OSD, Shri Premanshu Biswas, Director, Shri Asit Gopal, Director, Smt. Shivani Singh, Director, Shri Nitish Kumar, Director; Advisors (Banking) - Shri J.K. Srivastava, Shri L.V.R. Prasad, Shri Rajesh Verma, Shri Manish Tandon; Shri S.V. Krishnan, Assistant Advisor(Banking): Under Secretaries - Shri M.A.Khan, Shri Rajiv Verma, Shri T.P. Sharma; Shri Soumitra Mazumdar, Technical Examiner and Shri H.K. Beniwal, Director (Retd.). The Commission specially acknowledges the contribution of Shri Arvind Kadyan, CVO, BHEL in preparing the detailed Chapter on Disciplinary Proceedings & Suspension and Shri Keshav Rao, CVO, Pawan Hans Ltd. in preparing the Chapter on Role and functions of CVOs. The Commission is also thankful to all other Officers and Staff members of the Commission and other CVOs, Vigilance Officers and retired officials who gave valuable suggestions from time to time. The Commission acknowledges the valuable contribution of Department of Personnel and Training (DoPT) and the Central Bureau of Investigation (CBI), that helped in finalising the present Manual. Disclaimer 1. Vigilance Manual 2017 is intended only to be a reference book and it cannot be a substitute for rules, orders, etc. of various authorities. 2. We have taken every effort to provide accurate and updated information in the Vigilance Manual 2017. For any inadvertent error and omission or doubt, the Commission may be contacted for clarification. 3. Commission does not take responsibility for accuracy and completeness of third party Circulars / Citations, etc. referred in the Manual. 4. The Hyperlinks to third party websites that have been included in this Manual are provided for public convenience only. The Commission is not responsible for the contents or reliability of the hyperlinked websites and does not necessarily endorse the view expressed within them or guarantee the availability of such linked pages at all times. All rights reserved. This book is permitted for non-commercial use in any form by anybody or by any organisation. No part of this publication may be reproduced, distributed, or transmitted in any form or by any means, including photocopying, recording, or other electronic or mechanical methods, for any commercial use, without the prior written permission of the Central Vigilance Commission. Index Foreword Acknowledgement Disclaimer Table of Contents vii-xxi Chapter I Vigilance Administration 1-27 Chapter II Appointment, Role, Functions and Responsibilities of 28-57 Chief Vigilance Officers Chapter III Complaints 58-80 Chapter IV PIDPI Complaints 81-87 Chapter V Preliminary Enquiry 88-98 Chapter VI Central Bureau of Investigation 99-117 Chapter VII Disciplinary Proceedings and Suspension 118-191 Chapter VIII Specific Issues Related to Public Sector Banks and 192-223 Insurance Companies Chapter IX Chief Technical Examiners’ Organisation 224-262 Chapter X Preventive Vigilance 263-285 Chapter XI Some Relevant Issues 286-312 List of Abbreviations 313-317 Notes 318-322 Table of Contents CHAPTER I- VIGILANCE ADMINISTRATION S. No. Subject Matter Para No. Page No. 1 Introduction 1 2 Evolution of Vigilance Administration 1.1 2 3 Central Vigilance Commission 1.1.1 2 4 Genesis 1.1.1 (a) 2 5 Set-up 1.1.1 (b) 2 6 Administrative Vigilance Division 1.1.2 3 7 Central Bureau of Investigation 1.1.3 3 8 Vigilance Unit of the Organisations 1.1.4 4 9 Disciplinary Authority 1.1.5 4 10 Supervisory Officers 1.1.6 5 Jurisdiction of Central Vigilance 11 1.2 5 Commission 1.2.1 [1.2.1(a) – 12 Jurisdiction under Section 8 of CVC Act, 2003 5-7 1.2.1(b)] Jurisdiction of Commission over other 13 1.2.2 7 categories in special cases 14 Composite cases 1.2.2 (a) 7 15 Difference of opinion 1.2.2 (b) 7 16 Complaints under PIDPI Resolution 1.2.2 (c) 7 Below group ‘A’ Gazetted officers of 17 1.2.2 (d) 8 Central Government Functions and Powers of Central Vigilance 18 1.3 8 Commission 19 As laid down in Section 8(1) of CVC Act, 2003 1.3.1 8-10 As laid down in other Sections of CVC Act, 20 1.3.2 10 2003 21 Power relating to inquiries 1.3.2 (a) 10 Vigilance Manual 2017 vii 22 Tender advice on report of inquiry 1.3.2 (b) 11 23 Call for Reports & returns 1.3.2 (c) 11 Mandatory consultation by Central 24 1.3.2 (d) 11 Government 25 Annual report of Commission 1.3.2 (e) 11 Recommendation to Government on key 26 1.3.2 (f) 11-12 appointments in ED Recommendation to Government on key 27 1.3.2 (g) 12-13 appointments in CBI Residuary functions under CVC Resolution 28 1.3.3 13 of 1964 29 Appointment of CVOs 1.3.3 (a) 13 30 Writing APARs of CVOs 1.3.3 (b) 13 31 Commission’s advice in Prosecution cases 1.3.3 (c) 13 Resolving difference of opinion between 32 1.3.3 (d) 14 the CBI and the administrative authorities 33 Entrusting cases to CDIs 1.3.3 (e) 14 34 Advising on procedural aspects 1.3.3 (f) 14 35 Review of Procedure and Practices 1.3.3 (g) 14-15 36 Functions under PIDPI Resolution of 2004 1.3.4 15 CVC as Specified Authority under PMLA, 37 1.3.5 15 2002 Inputs on vigilance status of officers for 38 1.3.6 16 appointment to key positions 39 Other functions and activities 1.3.7 16 40 Supervision & control of CTEO 1.3.7 (a) 16 Appointment of Independent External 41 1.3.7 (b) 16 Monitors 42 Integrity Index 1.3.7 (c) 16 43 Capacity Building Programme 1.3.7 (d) 17 44 Vigilance Awareness Week 1.3.7 (e) 17 45 News Letter 1.3.7 (f) 17 viii Vigilance Manual 2017 46 Assistance to Constitutional Courts 1.3.8 17 47 Definition of Vigilance Angle 1.4 (1.4.1 – 1.4.9) 17-21 48 Organisational Structure of Commission 1.5 (1.5.1 – 1.5.4) 22-23 Advisory functions of Commission - A 49 1.6 (1.6.1 – 1.6.7) 23-27 Summary CHAPTER II- APPOINTMENT, ROLE, FUNCTIONS AND RESPONSIBILITIES OF CHIEF VIGILANCE OFFICERS 50 Introduction 28 51 Appointment of CVO 2 29 Appointment of part time CVO in Ministries / 52 2.1 29 Departments Appointment of CVO in Departments where 53 2.2 29 the CVO is a Cadre Post Appointment of full time CVO in PSUs / Societies/ 54 2.3 29-30 Autonomous Bodies and Departments 55 Appointment of CVO in Select Organisations 2.4 30 Appointment of CVO in Public Sector 56 Banks, Insurance Companies and Financial 2.5 31 Institutions Appointment of CVO in Autonomous 57 2.6 31 Organisations / Societies, etc.

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