Complaint Handling, Role & Functions of CVO, CVC and important CDA Rules

What is Vigilance?
Vigilant is the state of being Watchful, Alert or Aware. It is a continuous process; and is a Managerial Function. Every employee of the organization is a vigilance manager in his own right.

Functions of Vigilance
Preventive Vigilance (Streamlining of systems & Procedures) Investigation of Complaints Matters relating to Departmental Proceedings Dealing with references from CVC, MoPNG and CBI Training & Sensitizing officials of ONGC Spot inspections / Surprise Checks Identification of corruption prone areas and device methods to lessen the incidence of corruption

Set Up
Works directly under Head of Org Headed By Chief Vigilance Officer Corporate Hqrs at Dehradun CVOs Transit office at New Delhi. 22 units spread over the country Vigilance Departments at OVL and MRPL under the CVO.

What is a complaint?
Complaint is a statement of ones dissatisfaction.

How do we know if there is a vigilance angle in the complaint?

Vigilance Angle
Vigilance Angle is obvious in the following acts:
o Demanding and / or accepting gratification other than legal remuneration in respect of official act or for using his influence with any other official. o Obtaining valuable thing from a person with whom he has or likely to have official dealings or his subordinates have official dealings or where he can exert influence. o Obtaining for himself or for any other person any valuable thing or pecuniary advantage by corrupt means or by abusing his position as a public servant. o Possession of assets disproportionate to his known source of income. o Cases of misappropriation, forgery or cheating or other similar criminal offences. Contd..

Vigilance Angle
Gross or willful negligence

Recklessness in decision making

Blatant violations of system and procedures

Exercise of discretion in excess Failure to keep the controlling authority / superiors informed in time. These are some of the irregularities where the disciplinary authority with the help of the CVO should carefully study the case and weigh the circumstances to come to a conclusion whether there is reasonable ground to doubt the integrity of the concerned.

Types of complaints
Genuine Anonymous Pseudonymous

Anonymous /Pseudonymous Complaints Handling

Anonymous Complaints : Without any name, address, Tel. no, e-mail address etc.

Pseudonymous Complaints : Complaints may have name, address, Tel. no etc but proves false on verification. Sometimes signed complaints may be disowned by the complainants.

Treating Anony/ Psuedony

If an anonymous or pseudonymous complaint has verifiable facts then the complaint can be registered with the prior permission/ approval of CVC

Which type of complaint is this? What will you do with it?

To The Chief Vigilance Officer ONGC New Delhi Sub: Mass Corruption by officers of Maharatna PSU ONGC Dear Sir, This is to bring to your kind notice that ONGC officers are indulging in blatant corruption and purchasing things according to their whims & fancy, in violation to all rules and regulations. In a recent tender of Ahmedabad for procurement of Ladders, the MM officers placed order for 100 ladders @Rs.50000 each whereas they are available in the market @Rs.4000 each. Further, inspection officers took bribe of Rs.1000=00 per ladder while inspecting them. Please look into the matter as the poor quality of ladders has caused a loss of Rs.2 Cr to the company as well as unsafe working conditions.

Yours faithfully,
Mr. Aggrieved XYZ

Which type of complaint is this? What will you do with it?

To The President of India New Delhi Sub: Mass Corruption by officers of Maharatna PSU ONGC Dear Sir, This is to bring to your kind notice that ONGC officers are indulging in blatant corruption and purchasing things according to their whims & fancy, in violation to all rules and regulations. In a recent tender of Ahmedabad for procurement of Ladders, the ladders were bought at a very high price. Also, the Inspection officers took bribe of Rs.1000=00 per ladder while inspecting them. Please look into the matter as the poor quality of ladders has caused a loss of Rs.2 Cr to the company as well as unsafe working conditions. Yours faithfully, Vivek Sheel Proprieter M/s Acme Ladder Co. 4/5 Chawri Bazar New Delhi 110006 Ph-011-23230010, 23234023

Which type of complaint is this? What will you do with it?

To The Prime Minister of India New Delhi Sub: Mass Corruption by officers of Maharatna PSU ONGC Dear Sir, This is to bring to your kind notice that ONGC officers are indulging in blatant corruption and purchasing things according to their whims & fancy, in violation to all rules and regulations. In a recent tender no. TZ 65 C 5681201M of Ahmedabad for procurement of oxygen meters, the specifications of the meters were formed in such a manner that all but one bidder was rejected. Order was subsequently placed on that bidder for Rs.49 lakhs.

Yours faithfully, Mr. Aggrieved XYZ

Complaint Handling
Cases registered only with the approval of CVO. No registration of cases at Unit level. No cognizance given to anonymous & pseudonymous complaints. Sent to data bank. Signed complaints verified for their genuineness and report submitted to the CVO.
Contd..

Complaint Handling
Investigation assigned to IO. Multi-level scrutiny of investigation reports. Matters related to officers two level below board level referred to the CVC for advice. Disciplinary Authority takes decision for appropriate proceedings. Disciplinary proceedings coordinated by the HR department.

VERIFICATION FOR ANONYMITY/ PSEUDONYMITY

Address/Name-full or not?

Telephone Number? Fax No./E-mail address If name/address/Tel./Fax/E-mail is given check by Tel and /or Letter/E-mail/fax. A paragraph to be put up certifying that there was no way of contacting the complainant.

POINTS TO REMEMBER
Anonymous/Pseudonymous complaints not to be registered before ascertaining the authenticity. But from such complaints
Important information to be used as source

Check if same/similar information about persons named (both officials/business group) received earlier or not.

COMPLAINT HANDLING MECHANISM SOURCE REGULAR PERIODIC

Written complaint by public Including transacting groups

Anonymous pseudonymous Verify

CVC

MOPNG

CBI

Management

VIg. Source

I.A. Report

CAG report

CMD

Other officials

Associations

Dir(F), ED(IA) to send reports to CVO

Not genuine
Close

Genuine

File scrutiny

Surprise check

IPR/MPR check

Other sources like Press & journals

Not genuine but with primaFacie evidence Refer to CVC Not Agree Close Agree Existence of Vigilance Angle

Action vigilance

Action management/ATR

CVO Final action

No Vig. Angle, Close

Data Bank CVO for Regn. of case

Investigation as per procedure

ACTIONABLE / VERIFIED
A

PURELY ADM. IN NATURE

ADM. WITH POSSIBILITY OF VIG. ANGLE

CVC / MOPNG

CC C&MD

SEND TO MGMT.

SEND TO MGT, SAYING IF ANY VIG. ANGLE IS THERE, MENTION IN ATR

ENQUIRY & REPORT

REGISTER COMPLAINT

LOOK INTO FOR N.A. VERIFY THE FACTS

RELATED TO MGT.

WRITE TO MGT/MOPN G COPY TO EITHER

ATR

ATR REVEALS VIG ANGLE

ATR REVEALS NO VIG ANGLE

CVO FOR FINAL DECISION

REPORT TO CVO
REGISTER A COMPLAINT CVO FOR FINAL DECISION
CLOSE IF NO VIG. ANGLE OTHERWISE-

CALL ATR,

REGISTRATION OF COMPLAINT

Complaint Handling
Investigation assigned to IO & supervised at Dehradun level IR is scrutinized by Supervisory officers before putting up to CVO.

Matters related to officers two level below board level referred to the CVC for advice. Disciplinary proceedings coordinated by HR department.
Disciplinary Authority takes final decision

Decision of Disciplinary Authority

No Action

Administrative Action

Punitive Action

Punitive Actions ONGC Conduct Rules

Major Penalty Action
chargesheet, statement of defense, EO/PO(DE), 37(2), representation, deliberation by CDA, final order

Minor Penalty Action

chargesheet, statement of defense, deliberation by CDA, final order

It is the discretion of Disciplinary Authority to decide whether a misconduct deserves Major or Minor penalty proceeding.
Reasonable view to be taken so that a guilty person does not get away and an innocent man is not unnecessarily implicated.

Level of Enquires

Proof

in

Departmental

The level of proof required in departmental Enquires is preponderance of probability and not proof beyond reasonable doubt.

Types of Minor Penalties

i. Censure ii. Withholding of increments of pay with or without cumulative effect iii. Withholding of promotion iv. Recovery of any pecuniary loss caused to the Company. Imposed according to CDA Rules.

Major Penalties
i. ii. iii. iv. v. Reduction to a lower stage in the time scale of pay for a specified period. Reduction to a lower time scale of pay, grade, post or service with a bar to the promotion. Compulsory retirement. Removal from service. Dismissal from Service. Imposed according to Conduct Rules

Mock Case
Purchase of oxygen meters Complainant: M/s ABC safety devices

Budgetary quotation obtained firm has quoted for MSA make oxygen meters

Specifications of tender shows specifications copied ditto from the budgetary quotation

Bidders has quoted exactly as per tender specs but another make i.e. Drager

Actual specs of product in the catalogue in the bid does not conform to the quoted product specs

Central Vigilance Commission

(Genesis)
Govt. set up a Committee in on prevention of corruption in 1962 known as Santhanam Committee to examine the problem of corruption in public administration and make recommendations.
As a follow up in 1964 CVC was established as an apex advisory body for exercising general superintendence and control over vigilance matters in administration and ensuring probity in public life. CVC had statutory status since 1998 through CVC ordinance of 1998. CVC Act was passed on 11th Sept, 2003. Power to Summon.

Central Vigilance Commission (Set Up/ Composition) Central Vigilance Commissioner (Chairperson ) and not more than two members. Presently, Commission is a three member Commission consisting of CVC and two Vigilance Commissioners (Sh.R Srikumar & Sh.J M Garg). Appointed by President for four years or 65 years whichever is earlier.

Central Vigilance Commission (Set Up/ Composition)

Secretariat for assisting Commission

- Secretary
- Addl. Secretary - Director - Deputy Secretary/Under Secretary - Vigilance Branches, Policy & Coordination Branches

Central Vigilance Commission (Set Up/ Composition)

Technical Wing (CTEO)

- Headed by Chief Technical Examiners (CTE) - Assisted by Technical Examiners (TE) 8 and Assistant Technical Examiners
-

Conduct inspections & intensive examination Civil works costing more than Rs. 2 crores Electrical/Mech. works costing more than Rs.30 lakhs Horticulture works costing more than Rs. 2 lakhs Store purchases costing more than Rs. 2 crores Quarterly Progress Reprts of above categories to be reported by Orgns.

Central Vigilance Commission (Set Up/ Composition)

Inquiries wing
Headed by Addl. Secretary Commissioner for Departmental Inquiries (CDIs) - of the rank of Director/Deputy Secretary Conducts departmental inquiries in important/sensitive cases of senior level officers of PSU/Banks/GoI etc. CDIs are nominated by CVC at the time of 1st stage advice in such cases.

Jurisdiction of CVC
Extends to all areas to which the executive control of the Union extends
- for practical purposes restricted to :
Group A Officers of the Central Government Departments Officers of the level of two level below the Board level and Board level officers of the PSEs Officers of the level of Scale V and above in the Banks

Jurisdiction of CVC over PSEs

Officers of the level of two level below the Board level and above. In case of Board level officers advice is sought through adm. ministry of PSEs Composite cases are always to be referred to the CVC (cases involving lower levels) Cases on complaints sent by CVC irrespective of the level needs to be referred for advice.

POWERS OF CVC
Its Annual Reports are placed before both Houses of Parliament
Cases of non-consultation and non-acceptance of CVC advice are included in the Annual Report

OTHER IMPORTANT FUNCTIONS

VIGILANCE CLEARANCEs - BOARD LEVEL FUNCTIONARIES OF PSES/BANKS/INSURANCE COMPANIES ETC APPOINTMENT OF DIRECTOR CBI AND OTHERS.

Chief Vigilance Officer (CVO)

Heads Vigilance Division and acts as special advisor to the Chief Executive in all matters pertaining to Vigilance and reports directly to CEO. In ONGC, CVO has financial and adm powers of Director. He can also attend board meetings related to vigilance issues. Link between the organization and CVC & CBI & Administrative head of Vigilance functionaries. Should normally be outsider appointed for a fixed tenure on deputation terms. Normally CVO is of minimum JS level officer in the GOI. CVO should not be burdened with other responsibilities. However, he may be entrusted with such functions that serve as input to vigilance activity.

CVC & Vigilance

CVO a link between CVC and CEO

CVO ensures that CVC circulars / guidelines are implemented across organization.
CVO sends CVC circulars to management for implementation as part of system improvement.

CVC & Vigilance

Implementation of CVC guidelines
Posting of tenders on websites. Guidelines on Pre-qualification & Experience Electronic Clearance System Payments.

E-procurement
Rotation of officers on sensitive posts Guidelines on award of contracts on back to back basis. Other guidelines

CVC & Vigilance

CVC referred & referable complaints/cases. Complaints in which name of ONGC officer two level below board level figures are CVC referable CVC referable cases are referred to CVC after tentative decision of CDA. First stage advice.

After receipt of enquiry report, matter is again referred to CVC for advice. 2nd stage advice.

CVC & Vigilance

Director level complaints are handled

by vigilance department of Ministry.

In case of CBI referred cases

compliance report is also sent to CVC for information.

Conduct, Discipline & Appeal Rules (CDA Rules)