DISCIPLINE AND VIGILANCE

V.SURESH KUMAR IDSE

DIRECTOR (PERS) & DIR (D)
CE R&D SECUNDERABAD
 WHY D&V IS IMPORTANT
• TO NIP THE PROBLEM IN THE BUD
• HANDLING LARGE AMOUNT OF GOVT FUNDS
• BASICALLY ENGINEERS- IGNORANCE OF RULES
• ERROR IN D&V MATTERS IRREPEARABLE
• COMES UNDER JUDICIAL SCRUTINY
• GOVT EXPECT HIGHEST LEVEL OF INTEGRITY
• INACTION IS ALSO AN OFFENCE
• ERROR IN ACTION HELPS
– CULPRITS TO ESCAPE
– INNOCENT GETS PUNISHED
 WHAT IS D&V
• CONTINUOS PROCESS
– REGULAR CLEAR POLICIES
– COUNSELLING
– CAUTIONING
– CONTINOUS VIGIL
– ADMONITION
– IMPOSITION OF PENALITIES
– CRIMINAL PROCEEDINGS
 BASIC RULES
• CCS ( CONDUCT ) RULES 1964
• CCS (CCA) RULES 1965
• VIGILANCE HAND BOOK BY DOPT
• VIGILANCE MANUAL BY CVC
 HOW YOU ARE CONNECTED
• AS A DISCIPLINARY AUTH
• AS AN OFFICER HANDLING DISCIPLINE
• AS A PART OF AN INQUIRY
– INQUIRY OFFICER
– PRESENTING OFFICER
– WITNESS

• AS A CHARGED OFFICIAL
 DISCIPLINARY AUTHORITY
• APPOINTING AUTH IS DISCIPLINARY AUTH
• ROLE:
– ADVANCE WARNING
– CONSISTENCY
– IMPERSONAL
– IMMEDIATE ACTION
• FUNCTIONS
– EXAMINATION OF COMPLAINTS
– DECIDE IO AND PO IN A CASE
– TO DECIDE ON SUSPENSION
 DISCIPLINARY AUTHORITY
• FUNCTIONS
– REVIEW PRELIMINARY INQUIRY REPORT
– WARNING, COUNSELLING
– INITIATION OF DISCP PROCEEDINGS
– CONSULTATION WITH CVC
– ISSUE CHARGE SHEET
– DECIDE PENALTY
– PASSING FINAL ORDERS
– PASSING ANY NEW INSTRUCTION TO AVOID
REPETITION
 COMPLAINTS
• COMPLAINTS, REGULAR CHECKS
• COMPALINTS: ANY INFO OF MISDEED FROM ANY
SOURCE
– ANONYMOUS AND PSEUDONYMOUS COMPLAINTS
• EVEN CVC REFERED COMPLAINT IF PSEUDONYMOUS- REF BACK
– IS THERE A VIGILANCE ANGLE
• ILLEGAL GRATIFICATION
• ABUSE OF OFFICIAL POSITION
• DISPROPORTIONATE ASSETS
• FORGERY, CHEATING, CRIMINAL OFFENCES
– FALSE COMPLAINTS
– COMPLAINTS WITH VERIFIABLE FACTS
STAGES OF DISCIPLINARY ACTION
• PRELIMINARY INQUIRY/ FACT FINDING INQUIRY/
ONE MAN INQUIRY
– NOT MANDATORY BUT PREFERRED
– TO CHECK VERACITY OF COMPLAINT
– TO COLLECT EVIDENCE
– TO PINPOINT NAMES OF RESP PERSONS
 PRELIMINARY INV REPORT
• SHOULD BRING OUT FACTS AND FIGURES
• SHOULD CLEARLY SHOW RULES VIOLATED
• SHOULD NAME THE PERSONS
• SHOULD BRING OUT LAPSES OF EACH PERSON
• RECOMMENDATION WITH REASON
• TIMELY COMPLETION ( 3 MONTHS)
 PRELIM REPORT
– INTRO
– GIST OF ALLEGATION
– POINTS NEEDING PROOF
– ACTION TAKEN BY INV OFFICER
– EVIDENCE COLLECTED
– EVALUATION OF EVIDENCE
– VERSION OF THE ACCUSED IF RECORDED
– PEOPLE RESPONSIBLE
– CONCLUSION
 ACTION ON PREL REPORT
• CLOSE THE CASE
• ACTION
– ADMINISTRATIVE
– DISCIPLINARY SHOW CAUSE NOTICE
• MAJOR
• MINOR
– CRIMINAL PROCEEDINGS
– REF TO CVC
• ACTION AGAINST FALSE COMPLAINTS
– MALICIOUS, VEXATIOUS, UNFOUNDED
 SHOW CAUSE NOTICE
• ISSUE A DETAILED SHOW CAUSE NOTICE
– WITH ALL SUPPORTING DOCUMENTS BASED ON
WHICH THE CHARGES ARE BEING SUSTAINED
– SPECIFIC CHARGES WITH FACTS AND FIGURES
– CHANCE FOR OFFICIAL TO VERIFY DOCUMENTS
– SPECIFIC TIME – 10 DAYS – MORE IF LARGE VOL
OF DOCUMENTS ARE INVOLVED
– IF REPLY IS NOT RECD, GIVE ONE MORE FINAL
NOTICE
– NOT REQUIRED IF THE GOVT SERVANT IS DUE
FOR RETIREMENT AND TIME IS NOT SUFFICIENT
 ACTION ON REPLY TO SCN
• CLOSE THE CASE
• ACTION
– MINOR PENALITY UNDER RULE 16
• ISSUE CHARGE SHEET WITH DOCUMENTS
• ALLOW 10 DAYS FOR REPLY
• ALLOW INSPECTION OF DOCUMEMENTS
• ON GETTING REPLY ISSUE SPEAKING ORDER
 ACTION ON REPLY TO SCN
• ACTION
– MAJOR PENALITY
• ISSUE CHARGE SHEET.
• ALLOW 10 DAYS FOR REPLY
• ALLOW INSPECTION OF DOCUMEMENTS
• ON GETTING REPLY EITHER CLOSE THE CASE AND
ISSUE ORDER
• OR ORDER AN INQUIRY UNDER RULE 14.
 WHY INQUIRY IS REQUIRED
• FUNDAMENTAL RIGHT AS PER CONSTITUTION
– RIGHT TO KNOW THE CHARGES
– RIGHT TO KNOW EVIDENCES LED TO THE CHARGE
– RIGHT TO INSPECT THE DOCUMENT
– RIGHT TO DEFEND AND PROVE INNOCENCE
– RIGHT TO CROSS EXAMINE THE WITNESSES
– RIGHT FOR LEAD EVIDENCE IN DEF
– RIGHT TO BE HEARD- REASONABLE
OPPORTUNITY
 WHY INQUIRY IS REQUIRED
• NATURAL JUSTICE
– NO ONE CAN BE CONDEMNED UNHEARD
– NO ONE CAN JUDGE HIS OWN CASE
– JUSTICE TO BE DONE AND SHOULD APPEAR TO
BE DONE
– ALL ORDERS SHALL BE SPEAKING ORDERS
 CHARGE SHEET
• TO BE ISSUED WITHIN 2 MONTHS OF RECEIPT OF
INV REPORT/ ONE MONTH OF CVC ADV
• NO TIME LIMIT BETWEEN OCCURRENCE AND ISSUE
• CONSIST OF MAIN MEMO
• Annexure I- article of charges
• Annexure II – statement of imputation
• Annexure III- List of documentary evidence
• Annexure IV – List of witnesses
 CHARGE SHEET
• ARTICLE OF CHARGES
– EACH ARTICLE TO BE VERY SPECIFIC, QUOTE
RULES
– EACH ACT OF MISCONDUCT TO BE A SEPERATE
ARTICLE
– ONLY THE MISCONDUCT AND RULES VIOLATED
TO BE SPECIFIED
• STATEMENT OF IMPUTATION
– FOR EACH ARTICLE ABOVE, DETAILS OF HOW THE
MISCONDUCT WAS DONE AND DETECTED
– SHOULD CONNECT THE EVIDENCES AND
WITNESSES LISTED TO EACH CHARGE,
 CHARGE SHEET
• LIST OF DOCUMENTS
– ONLY THOSE DOCUMENTS REQUIRED TO BE
SPECIFIED
– ALL DOCUMENTS SPECIFIED SHALL BE AVAILABLE
WITH THE DEPT
• LIST OF WITNESSES
 CHARGE SHEET
• IMPORTANT POINTS
– BASIS IS PRELIM REPORT
– LANGUAGE IS VERY IMPORTANT
– CAN BE AMMENDED DURING INQUIRY BUT
CANNOT ADD MORE FACTS OR NEW CHARGES
– CHARGES TO BE LISTED IN THE ORDER OF
SERIOUSNESS
– DEEMED TO BE ISSUED ONCE DESPATCHED
– IO AND PO – BE APPOINTED ONLY AFTER CO
DENIES CHARGES OR DO NOT RESPOND
 INQUIRY OFFICER
• SHOULD NOT BE THE IMM BOSS OF CO
• TO BE AN OFFR SENIOR TO IO
• SHOULD NOT HAVE EXPRESSED AN OPINION
IN THE CASE EARLIER
• SHOULD NOT HAVE A BIAS
– PERSONAL BIAS
– PECUNIARY BIAS
– SUBJECT MATTER BIAS
 PRESENTING OFFICER
• AN OFFICER FROM DEPT / LEGAL
PRACTIONER
• NOT THE OFFR – OF PRELIM INQUIRY

• ACTIONS BY PO
 ACTION BY IO
• VERIFY APPOINTING ORDER + ACK
• CHECK CHARGE MEMO + DOCUMENTS
• BRING OUT ANY DISCREPANCY
• NOTICE TO CO + PO
• DAILY ORDER SHEETS– SERIALLY NUMBERED
• PRELIMINARY HEARING WITHIN 10 DAYS
• DEFENCE ASST
• CHECK REPLY BY CO- CORRECT REF ETC
• CAN BRING OUT PATTENT ERROR
• NO COMMENTS QUALITATIVE/ EVIDENCE/
LOGICAL INACCURACY
 ACTION BY IO
• PRELIMINARY HEARING
– QUESTION OF FAITH
– DO YOU ACCEPT ALL THE CHARGES
– INSPECTION OF DOCU– 5 DAYS
– FIX DATE OF INSP
– LIST OF WITNESSES & DOCU BY CO
– IO TO DIRECTLY ASK FOR ADDITIONAL DOCU
• DEFENCE ASSISTANT
– LEGAL PRACTITIONER
– GOVT EMPLOYEE FROM SAME HQ /STATION
 ACTION BY IO
• REGULAR HEARING
– EXAMINATION OF DOCU EVIDENCE
– EXAMINATION OF WITNESSES
• EXAMINATION IN CHIEF
• CROSS EXAMINATION
• RE EXAMINATION
– LEADING QUESTIONS PROHIBITED IN Ex IN Ch
– MANDATORY QUESTION BY IO
– WRITTEN BRIEF BY PO FIRST, THEN CO
• FORM
• FACTS & EVIDENCE
• LOGIC
• LANGUAGE
 EVIDENCE
• PROPONDACE OF PROBABILITY
• CLEAR AND CONVINCING
• PROOF BEYOND DOUBT
 FINAL REPORT
• INPUT
– CHARGE SHEET
– DOCUMENTARY PROOF
– STATEMENT OF WITNESS
– STATEMENT OF DEFENCE
– CONCLUDING STATEMENT OF PO
– CONCLUDING STATEMENT OF CO
 FINAL REPORT
• CONTENTS
– INTRODUCTION
– CHARGES
– CHARGES ADMITTED AND DROPPED
– CHARGES INQUIRED INTO
– STATEMENT OF DOCUMENTS
– STATEMENT OF DISP AUTH
– STATEMENT OF DEFENCE
– POINT FOR DETERMINATION
– ASSESSMENT OF EVIDENCE
– FINDINGS
 QUANTUM OF PENALTY
• MINOR OR MAJOR
– COMMENSURATE WITH THE LOSS TO STATE
– IF INTEGRITY IS IN QUESTION- PENALTY TO BE
MAXIMUM
– IF VIG ANGLE IS PROVED- MAX PENALTY
• REMEMBER
– THE FINAL ORDER MAY COME UNDER
• APPELATE REVIEW - MERIT
• JUDICIAL REVIEW– LEGALITY & PROCEDURAL
 EVERY SAINT HAS PAST

EVERY SINNER HAS A FUTURE