CPWD VIGILANCE MANUAL

VIGILANCE UNIT, CPWD

NIRMAN BHAWAN
NEW DELHI

Go\'ernment
Ministry
Central
Nirman

..H~.6h

Jk,eJ

of Indh.

of Urban Development
Public Works ()epartment

Bhawan,

New ()elhi - 110011

Unique Pin Code No.: 110108

Tel. : 23062114, Fax: 23061996

'l.~~!).

Joint Secretary
&

Date

Chief Vigilance Officer

19th September 2012

FOREWORD

When I took over charge of the Joint Secretary & Chief Vigilance Officer of
CPWD the Vigilance Unit had a large number of cases under investigation/ which
were going on for quite some time/ inquiries which appeared to be unending and
protracted court cases which often derailed the inquiry process. The only guiding
light was the Vigilance Manual brought out by the Central Vigilance Commission
[the latest compilation of which was available as Vol. I (6th Edition/ 2005) j. The
Manual required to be consulted along with the earlier Edition (1991) of complete
Manual as well as various instructions/orders/judgments issued by the CV~ DOP"0
Ministry of Urban Developmen~ CPWD/Hon'ble High Court & CAT etc.
The need of a comprehensive Manual was always felt strongly so that all the
relevant issues relating to a case could be examined in correct perspective and
without a last minute pressure of locating the relevant instructions / guidelines here
and there. Shri Naimuddin/ SE (Vig) I & Shri Harish Kumar, SE(Vig) III have
contributed significantly in compiling the various chapters of the present Manual
meticulously and I am really grateful for their sincere efforts and hard work. In fact/
the final compilation is the outcome of a continuous discussion with various
functionaries of the Vigilance Unit including Shri Ramesh Chandra/ SE(Inquiry Shri
A.K. Sharma/ SE (Vig.)II, Shri Tarkeshwar Tiwari, SE (Vig.)II-A/ the various
Executive Engineers (Vigilance) and Engineering Officers (Disciplinary). But for the
assistance of Mrs. Alamelu Sriram/ Sr. PPSand Mr. P.P. Mohan/ PA/ the compilation
would not have come out in the time frame planned.

I am happy that all relevant issues and instructions relating to the various
stages of a case have been covered comprehensively and it will be of great use to
every functionary of the Vigilance Uni~ CPWD. All the users are requested to
provide their suggestions for further improvement of this Manual.

Foreword
Chapters

Index

Pages

Mandate & Organization of the Vigilance Unit

1-3

Complaints

4-7

Suspension

8-13

Preliminary Inquiry/Investigation

14-16

Disciplinary Proceedings

17-28

CAT/Court Cases

29-36

Appeal/Revision/Review

37-43

Vigilance Cases Monitoring Information System (VIGMIS)

44-45

Appendix 1 to 10

46-61

CPWD VIGILANCE MANUAL

Chapter-I

Mandate and Organisation of Vigilance Unit of CPWD

1.0

1.1

The Vigilance Unit of the CPWD is responsible for vigilance in the organization under the
general superintendence of the Central Vigilance Commission, the apex organization of the
Government of India that controls anti-corruption measures and probity in public life. The
vigilance unit is headed by the Chief Vigilance Officer who has a two-fold function
(i) to act as an adviser to the DG, CPWD in all matters pertaining to vigilance and
(ii) to provide a link between the vigilance unit, CPWD and the CVC on the one hand and the
CBI on the other.
The functions of the Chief Vigilance Officer
The functions of CVO may be divided broadly into 3 parts:(I)

Preventive Vigilance :

This is most important aspect of vigilance. It deals with systemic correction and
modification of rules and processes which, because of their ambiguity and complexity may
give rise to scope of Corruption.
The Santhanam Committee (following whose recommendations, the Central
Vigilance Commission was set up in 1964), while outlining the preventive measures, had
identified 4 major causes of corruption viz.
(i)
(ii)
(iii)
(iv)

administrative delays;
Government taking upon themselves more than what they can manage by way of
regulatory function;
Scope for personal discretion in the exercise of powers at different levels of
government;
Cumbersome procedures for dealing with various matters which are of importance
to citizens in their day to day affairs.

Thus, we can conclude that the main features of preventive vigilance so far as the
CPWD is concerned, would be to simplify the CPWD Works Manual, Maintenance Manual,
Schedule of Rates and work processes being followed by CPWD. It would also include
reduction of discretion at different levels in the functioning of CPWD. For example, if an
extra item is to be provided in a work, or if a specification in a work is to be changed or if the
scope of a work is to be changed or expanded, the norms for these are to be decided at
different levels. This also clarifies that the raison d etre of vigilance activities is not to
reduce but to enhance the level of managerial efficiency and effectiveness in the
organization. (para 1.6.3 of Vigilance Manual issued by Central Vigilance Commission).
(v)

Punitive Vigilance:

This deals with the verifiable allegations/complaints reported to CVO. On a

preliminary investigation, if the complaint is found to have vigilance angle, an enquiry for
major or minor penalty should be done in accordance with the procedure as delineated in
the Central Civil Services (Classification, Control and Appeal) Rules, 1965. In case of
Category A employees, advice of the CVC is sought to initiate inquiry. The CVO is also
1

required to ensure that the disciplinary authority concerned, issues a speaking order while
imposing punishment on delinquent employee. Here, it is important to clarify the concept
of Vigilance angle.
Vigilance Angle: The para 1.6.1 of the Vigilance Manual issued by CVC defines vigilance
angle as follows:
(I) Demanding and/or accepting gratification other than legal remuneration in respect
of an official act or for using influence with any other official.
(II) Obtaining valuable thing, without consideration or with inadequate consideration
from a person with whom a government servant has or likely to have official
dealings or his/her subordinates have official dealings or where he/she can exert
influence.
(III) Obtaining for himself/herself or for any other person any valuable thing or pecuniary
advantage by corrupt or illegal means by abusing his/her position as a public
servant.
(IV) Possession of assets disproportionate to his/her known sources of income.
(V) Cases of misappropriation, forgery or cheating or other similar criminal offences.
There are, however, other irregularities where circumstances will have to be weighed
carefully to take a view whether the officers integrity is in doubt. Gross or willful
negligence; recklessness in decision making, blatant violations of systems and procedures;
exercise of discretion in excess where no ostensible public interest is evident; 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 officer concerned.
Absence of vigilance angle in various acts of omission and commission does not mean
that the concerned official is not liable to face the consequences of his actions. All such
lapses not attracting vigilance angle would, indeed, have to be dealt with appropriately as
per the disciplinary procedure under the service rules.
(vi)

Surveillance and detection:

This deals with collection of intelligence about the corrupt practices committed, or
likely to be committed by the employees of the organization. This could be done by the CVO
through surprise inspections in the sensitive areas of the organization or through different
reports or returns, such as Audit Reports, Press reports, Departmental Inspection Reports,
etc.
1.2

Organization of Vigilance unit, CPWD

Till the year 2006, the Vigilance unit of CPWD was headed by a Chief Engineer of the
CPWD, when the CVC decided to depute an officer from outside the organization as the
CVO. The unit has 3 separate units headed by Superintending Engineers and one unit
assigned specifically to Inquiry, headed by a Superintending Engineer (Inquiry). There are 13
2

Executive Engineers consisting of 8 EEs (Vigilance) who function as Investigating Officers and
5 Engineering Officers (Disciplinary) who handle the disciplinary cases after charge-sheet is
issued upto the stage of final order.
The duties of EOs(D) include functioning as Presenting Officer during the inquiry,
processing of Appeal and Review Cases as well as Court cases. There is a small
administrative unit headed by one EE (HQrs.) and supported by 2 Section Officers and one
AE (Cash) who functions as DDO. There is one AE(Computer) who is responsible for the
upkeep of VIGMIS [a software for Vigilance Management Information System maintained by
the Vigilance Unit] and downloading of vigilance status information from the VIGMIS for the
issue of Vigilance Clearance Certificate.

Chapter II
Complaints:
2.0

A complaint is an information about corruption, malpractice or misconduct on the part

of a public servant from any source whatsoever. Complaints must contain factual details, verifiable
facts and related matters. They should not be vague or contain sweeping general allegations.
Redressal of grievances should not be the focus of complaints. Complaints which do not meet these
criteria should be invariably filed.
Normal sources of complaint for the CVO are:
(i)
General public or Employees;
(ii)
Departmental Inspection Reports & Stock Verification Surveys;
(iii)
Referred by CVC;
(iv)
Audit Report;
(v)
Annual Property Statement
(vi)
CBI and Anti-Corruption Bureaus;
(vii)
Press Report;
(viii)
Reports of Parliamentary Committees like the Estimates Committee, Public
Accounts Committee & Committee on Public Undertakings;
(ix)
Source information, if received verbally from an identifiable source, to be reduced in
writing.
In addition, the CVO concerned may also devise and adopt such methods, as considered
appropriate and fruitful in the context of nature of work handled in the organization, for
collecting intelligence about any malpractice and misconduct among the employees.

2.1 Initial Action on complaint: Every complaint, irrespective of its source, is entered in the

prescribed format in the Vigilance Complaint register in form CVO-I in two separate parts for
Category A and Category B employees. Category A includes such employees against whom
Commissions advice is needed whereas Category B includes employees for which Commissions
advice is not required. Only those complaints in which there is an allegation of corruption or
improper motive, should be entered in the register. Complaints of administrative nature or
operational or technical irregularities having no connection with vigilance angle should not be
entered in the register and should be dealt separately under non-vigilance complaints

The format of CVO Register I is as follows:S.No.

Source of
complaint
(Note 1)

Date of
Receipt

Name
&
Designation
of
Officer(s)
complained against

Reference
to File No.

Action
taken
(Note 2)

Date of
Action

Remarks
(Note 3)

Note 1: Complaint includes all types of information containing allegations of misconduct against
public servants, including petitions from aggrieved parties, information passed on to the CVO by CVC
and CBI, press reports, findings in inspection reports, audit paras, PAC reports etc. In the case of
petitions the name and address of the complaints should be mentioned in Column 2 and in other
cases, the sources as clarified above should be mentioned.

Note 2: Action taken will be of following types:

4

(a)
(b)
(c)
(d)
(e)

Filed without enquiry

Filed after enquiry
Passed onto other sections as having no vigilance angle
Passed onto the CBI for investigation/appropriate action
To take up for detailed investigation by the Vigilance.

A complaint will be treated as disposed of after entry in column (6) & (7)
Note 3 : Remarks Column should mention:
a. If there were previous cases/complaints against the same officer, the facts should be
mentioned in the Remarks Column
b. Date of Charge-sheet issued, wherever necessary
2.2. Scrutiny of Complaints
Each complaint will be examined by the Chief Vigilance Officer to see whether there is any
substance in the allegations made in it to merit looking into. Where the allegations are vague and
general and prima facie unverifiable, the Chief Vigilance Officer may decide, with the approval of
the head of the Department, where considered necessary, that no action is necessary and the
complaint should be dropped and filed. Where the complaint seems to give definite information to
require a further check, a preliminary inquiry/investigation will need to be made to verify the
allegations so as to decide whether, or not, the public servant concerned should be proceeded
against departmentally or in a court of law or both. If considered necessary, the Chief Vigilance
Officer may have a quick look into the relevant records and examine them to satisfy himself about
the need for further inquiry into the allegations made in the complaint. The information passed on
by the CBI to the Ministry/Department regarding the conduct of any of its officers should also be
treated in the same way.
2.3 Disposal of complaints
A complaint which is registered can be dealt with as follows:(i)file it without or after
investigation; or (ii) to pass it on to the CBI for investigation/appropriate action; or (iii) to pass it
on to the concerned administrative authority for appropriate action on the ground that no vigilance
angle is involved; or (iv) to take up for detailed investigation by the departmental vigilance agency.
An entry to that effect would be made in columns 6 and 7 of the vigilance complaint register with
regard to action taken and date of action respectively. A Complaint will be treated as disposed
of in monthly/annual returns either on issue of charge-sheet or final decision for closing or dropping
the complaint. If a complaint is taken up for investigation by the departmental vigilance agency, or
in cases in which it is decided to initiate departmental proceedings or criminal prosecution, further
progress would be watched through other relevant registers. If there were previous cases of
complaints against the same officer, it should be indicated in the remarks column, i.e. column 8.
2.4 Action on Anonymous/Pseudonymous complaints
The Central Vigilance Commission has issued instructions that no action is to be taken by
the administrative authorities, as a general rule, on anonymous/pseudonymous complaints
received by them. When in doubt, the pseudonymous character of a complaint may be verified by
enquiring from the signatory of the complaint whether it had actually been sent by him. If he
cannot be contacted at the address given in the complaint, or if no reply is received from him
5

within a reasonable time, it should be presumed that the complaint is pseudonymous and should
accordingly be ignored. However, if any department/organization proposes to look into any
verifiable facts alleged in such complaints, it may refer the matter to the Commission seeking its
concurrence through the CVO or the head of the organization, irrespective of the level of employees
involved therein.
Although, the Commission would normally also not pursue anonymous/pseudonymous
complaints, it has not precluded itself from taking cognizance of any complaint on which action is
warranted. In the event of the Commission deciding to make an inquiry into an anonymous or
pseudonymous complaint, the CVO concerned should make necessary investigation and report the
results of investigation to the Commission for further course of action to be taken. Such complaint
should be treated as a reference received from the Central Vigilance Commission.
Where the Commission asks for an inquiry and report considering that the complaint is from
an identifiable person, but it turns out to be pseudonymous, the administrative authority may bring
the fact to the notice of the Commission and seek instructions whether the matter is to be pursued
further. The Commission will consider and advise whether, notwithstanding the complaint being
pseudonymous, the matter merits being pursued.
Sometimes, the administrative authority may conduct investigation into a pseudonymous
complaint under the belief that it is a genuine signed complaint, or for any other reason. The
commission need not be consulted if it is found that the allegations are without any substance. But
if the investigation indicates, prima facie, that there is some substance in the allegations, the
Commission should be consulted as to the further course of action to be taken if it pertains to
category A employee.

2.5.:

Government of India Resolution on Public Interest Disclosure and Protection of

Informer (PIDPI Cases):

The Government of India has authorized the CVC as the Designated Agency to receive
written complaints for disclosure on any allegation of corruption or misuse of office and recommend
appropriate action. The CVC has the responsibility of keeping the identity of the complainant secret.
Hence the complainant under PIDPI category should make the complaint in a closed envelope
making the text specific. The Commission is mandated not only to maintain the secrecy of the
complainants identity but also provide protection to the complainant against any physical threat,
harassment or victimization.

2.6. Time Frame for different stages of processing of a complaint as prescribed by CVC
(Ref: 2.14.1, Vigilance Manual, Vol.I, 2005)
S.No.
1.

2.

Stage
Decision as to whether the complaint involves
a vigilance angle whether to be filed or to be
entrusted to CBI or to be sent to the
concerned administrative authority for
necessary action
Conducting of investigation and submission of
report

Time
One month from the receipt of complaint

Three months

3.

6.

Departments comments on the CBI reports in

cases requiring Commissions advice
Referring departmental investigation reports
to the Commission for advice
Reconsideration of the Commissions advice,
if required
Issue of charge-sheet if required

7.
8.
9.

Time for submission of defence statement

Consideration of defence statement
Issue of final orders in minor penalty cases

10.

Appointment of IO/PO in major penalty cases

11.

Conducting departmental inquiry and

submission of report
Sending a copy of the IOs report to the CO for
his representation

4.
5.

12.

13.
14.

Consideration of COs representation and

forwarding IOs report to the Commission for
second stage advice
Issuance of order s on the Inquiry report

One month from the date of receipt of CBI

report by the disciplinary authority
One month from the date of receipt of
investigation report
One month from the date of receipt of
Commissions advice
(i)One month from the date of receipt of
Commissions advice
(ii)Two months from the date of receipt of
investigation report
Ordinarily ten days.
15 (fifteen) days
Two months from the receipt of defence
statement
Immediately after receipt of defence
statement
Six months from the date of appointment of
IO/PO
(i)Within 15 days of receipt of IOs report if any
of the Articles of charge has been held as
proved (ii)15 days if all charges hold as not
proved reason for disagreement with IOs
findings to be communicated.
One month from the date of representation
(i)One month from the date of Commissions
advice
(ii)Two months from the date of receipt of IOs
report if Commissions advice is not required.

Chapter-III
SUSPENSION
3.0 The Rule:
Rule 10 of the CCS (CCA) Rules 1965 deals with the matter of suspension of Government servants.
The Rule is reproduced below:
(1)
The appointing authority or any authority to which it is subordinate or the disciplinary
authority or any other authority empowered in that behalf by the President, by general or
special order, may place a Government servant under suspension(a)
Where a disciplinary proceeding against him is contemplated or is pending; or
(aa)
where, in the opinion of the authority aforesaid, he has engaged himself in activities
prejudicial to the interest of the security of the State; or
(b)
Where a case against him in respect of any criminal offence is under investigation, inquiry or
trial:
Provided that, except in case of an order of suspension made by the Comptroller and Auditor General in regard to a member of the Indian Audit and Accounts Service and in regard to an Assistant
Accountant General or equivalent (other than a regular member of the Indian Audit and Accounts
Service), where the order of suspension is made by an authority lower than the appointing authority,
such authority shall forthwith report to the appointing authority the circumstances in which the order
was made.
(2)
A Government servant shall be deemed to have been placed under suspension by an order of
appointing authority (a)
With effect from the date of his detention, if he is detained in custody, whether on a criminal
charge or otherwise, for a period exceeding forty-eight hours;
(b)
With effect from the date of his conviction, if, in the event of a conviction for an offence, he
is sentenced to a term of imprisonment exceeding forty-eight hours and is not forthwith
dismissed or removed or compulsorily retired consequent to such conviction.
(3)
Where a penalty of dismissal, removal or compulsory retirement from service imposed upon
a Government servant under suspension is set aside in appeal or on review under these rules
and the case is remitted for further inquiry or action or with any other directions, the order
of his suspension shall be deemed to have continued in force on and from the date of the
original order of dismissal, removal or compulsory retirement and shall remain in force until
further orders.
(4)
Where a penalty of dismissal, removal or compulsory retirement from service imposed upon
a Government servant is set aside or declared or rendered void in consequence of or by a
decision of a Court of Law and the disciplinary authority, on a consideration of the
circumstances of the case, decides to hold a further inquiry against him on the allegations on
which the penalty of dismissal, removal or compulsory retirement was originally imposed,
the Government servant shall be deemed to have been placed under suspension by the
Appointing Authority from the date of the original order of dismissal, removal or compulsory
retirement and shall continue to remain under suspension until further orders :
Provided that no such further inquiry shall be ordered unless it is intended to meet a situation where
the Court has passed an order purely on technical grounds without going into the merits of the case.
(5)
(a)
Subject to the provisions contained in sub-rule (7), an order of suspension made or deemed to
have been made under this rule shall continue to remain in force until it is modified or
revoked by the authority competent to do so.
(b)
Where a Government servant is suspended or is deemed to have been suspended (whether in
connection with any disciplinary proceeding or otherwise), and any other disciplinary
proceeding is commenced against him during the continuance of that suspension, the
8

(c)
(6)

(7)

3.1

authority competent to place him under suspension may, for reasons to be recorded by him
in writing, direct that the Government servant shall continue to be under suspension until
the termination of all or any of such proceedings.
An order of suspension made or deemed to have been made under this rule may at any time
be modified or revoked by the authority which made or is deemed to have made the order or
by any authority to which that authority is subordinate.
An order of suspension made or deemed to have been made under this rule shall be reviewed
by the authority competent to modify or revoke the suspension, before expiry of ninety days
from the effective date of suspension, on the recommendation of the Review Committee
constituted for the purpose and pass orders either extending or revoking the suspension.
Subsequent reviews shall be made before expiry of the extended period of suspension.
Extension of suspension shall not be for a period exceeding one hundred and eighty days at a
time.
An order of suspension made or deemed to have been made under sub-rules (1) or (2) of this
rule shall not be valid after a period of ninety days unless it is extended after review, for a
further period before the expiry of ninety days:
Provided that no such review of suspension shall be necessary in the case of deemed
suspension under sub-rule (2), if the Government servant continues to be under detention
at the time of completion of ninety days of suspension and the ninety days period in such
case will count from the date the Government servant detained in custody is released from
detention or the date on which the fact of his release from detention is intimated to his
appointing authority, whichever is later.
Handling suspension cases in Vigilance Unit - Circumstances which merit placing a
Government servant under suspension

It is the duty of the vigilance unit to examine suspension cases against Group A and B officer
and place its considered view before the competent authority i.e. MoUD for Group A and DG
CPWD for Group B officer. For proper analysis and unbiased examination of the case, the Public
interest should be the guiding factor in deciding to place a Government servant under suspension.
The following circumstances are indicated in which it may be appropriate to place an employee
under suspension:
(i)

(ii)
(iii)

(iv)

Cases where continuance in office of the Government servant will prejudice the
investigation, trial or any inquiry, (e.g., apprehended tampering with witnesses or
documents);
Where the continuance in office of the Government servant is likely to seriously subvert
discipline in the office in which the public servant is working;
Where the continuance in office of the Government servant will be against the wider
public interest other than those covered by (i) and (ii), above, such as there is a public
scandal and it is necessary to place the Government servant under suspension to
demonstrate the policy of the Government to deal strictly with officers involved in such
scandals, particularly corruption;
Where allegations have been made against the Government servant and the preliminary
inquiry revealed that a prima facie case is made out which would justify his prosecution or
his being proceeded against in departmental proceedings, and where the proceedings are
likely to end in his conviction and/or dismissal, removal or compulsory retirement from
service

In the first three circumstances, the disciplinary authority may exercise his discretion to place a
Government servant under suspension even when the case is under investigation and before a
9

prima facie case is made out. Certain types of misdemeanours where suspension may be desirable in
the four circumstances mentioned, are indicated below: (i)
any offence or conduct involving moral turpitude;
(ii)
corruption, embezzlement or misappropriation of Government money, possession of
disproportionate assets, misuse of official power for personal gain;
(iii)
Serious negligence and dereliction of duty resulting in considerable loss to Government;
(iv)
Desertion of duty;
(v)
Refusal or deliberate failure to carry out written orders of superior officers.
3.2
Court Jurisdiction in the matter of suspension
Case No.
Parties
Gist of court observation
1984(3) SLR 534
State of
Necessity or desirability to place under suspension is the
(Mad.)
Tamilnadu VS.
objective satisfaction of the Government. Court cannot look
P.M.Ballippa
in to sufficiency of material, but only factum of satisfaction
(if the satisfaction is no satisfaction at all or it was formed
on extraneous consideration or there was a total lack of
application of mind). Fact that the court can form a
different opinion is no ground for quashing the order of
suspension.
AIR 1994 SC 2296
State of Orissa
Where serious allegations of misconduct are alleged, the
Tribunal would not be justified in interfering with the
VS.
orders of suspension of the Disciplinary Authority pending
B.K.Mohanty
inquiry.

3.3. Action after suspension

3.3.1

Payment of subsistence allowance

(i)
Rule position
a. As per FR 53 (1) a suspended employee is entitled to a subsistence allowance at an
amount equal to leave salary which the employee would have drawn, if he had been on
leave on half pay.
b. Where the period of suspension exceeds 3 months, the amount of subsistence
allowance may be increased by a suitable amount, not exceeding 50% of the subsistence
allowance admissible during the period of first three months, if the reasons for
prolongations of suspension are not attributed to the employee.
c. The amount of subsistence allowance may be reduced by a suitable amount not
exceeding 50 % of the subsistence allowance admissible during the period of first three
months, if the reasons for prolongations of suspension are directly attributed to the
employee.
d. Payment shall be made to employee only after he submits a certificate that he is not
engaged in any other employment/business/profession/vocation.

3.3.2

Who shall make order for payment of subsistence allowance?

The authority which placed the employee under suspension is required to pass orders for
payment of subsistence allowance and also revision thereof. Cases for grant of subsistence
allowance are processed in vigilance unit and are put up to competent authority for orders.
Orders in case of Group A employee are issued by the MoUD and those for Group B
officers are issued by the Vigilance Unit.
10

3.4

Can suspended employee be asked to attend office and to mark attendance?

No. The High Court in a case, observed that the expression 'suspension' means debarring an
employee from service temporarily and as such he cannot be compelled to attend office and
mark his attendance. It is not open by way of administrative instructions to amend or modify
the statutory rules, though it is open to the executive to supplement or fill up the gaps by
administrative instructions. The High Court rejected the contention of the Food Corporation
that the power to suspend on the part of the management will include power to suspend an
employee partially; in other words, it is open to them to direct the employee to come to the
office and mark his attendance but at the same time not to render service. The
consequences of suspension are also laid down and the rules do not provide for a peculiar
order of this nature. This method adopted is clearly contrary to the power vested in them
under the Regulations and cannot be sustained.

3.5

Issue of charge-sheet
In the Ministry of Home Affairs OM No. 221/18/65-AVD, dated the September, 1965, the
attention of all disciplinary authorities was drawn to the need for quick disposal of cases of
Government servants under suspension and it was desired, in particular, that the
investigation in such cases should be completed and a charge-sheet filed in court, in cases of
prosecution, or served on the Government servant, in cases of departmental proceedings,
within six months. The matter was considered further at a meeting of the National Council
held on the January, 1971 and in partial modification of the earlier orders it has been
decided that every effort should be made to file the charge-sheet in court or serve the
charge-sheet on the Government servant, as the case may be within three months of the
date of suspension, and in cases in which it may not be possible to do so, the disciplinary
authority should report the matter to the next higher authority explaining the reasons for
the delay.
[Cabinet Sectt. (Department of Personnel) Memo. No. 39/39/70-Ests.(A)
dated
the February, 1971].
In the light of the above decision, it is imperative that the charge sheet is served to the
suspended employee within three months.
3.6
Review of suspension
3.6.1 Unduly long suspension, while putting the employee concerned to undue hardship, also
involves payment of subsistence allowance without the employee performing any useful service to
the Government. Rule 10 of the CCS (CCA) Rules provides that an order of suspension shall be
reviewed by the competent authority on the recommendations of the Review Committee
constituted for this purpose. Further, an order of suspension is not valid after 90 days unless it is
extended after review before expiry of 90 days.
The review committee(s) may take a view regarding revocation / continuation of the suspension
keeping in view the facts and circumstances of the case. Without prejudice to the foregoing, if the
officer has been under suspension for one year without any charges being filed in a court of law or
no charge memo has been issued in a departmental enquiry, he shall ordinarily be reinstated in
service without prejudice to the case against him. However, in case the officer is in Police/Judicial
custody or is accused of a serious crime or a matter involving national security, the Review
Committee may recommend the continuation of the suspension of the official concerned.
Further, Chapter - 2, 'Sec. 14 of CCS (CCA) Rules, pertaining to "Revoking of suspension says:
"Under Rule 10 (5) (c), an order of suspension made or deemed to have been made may, at any
11

time, be revoked by the competent authority. This is done in the following circumstances:
(A) Departmental Proceedings:
(i)
If it is decided that no formal proceedings need be drawn up with a view to impose a
penalty of dismissal, removal or compulsory retirement, or reduction in rank.
(ii)
Where the final order passed is other than dismissal, removal or compulsory retirement.
(iii) Where the Govt Servant is exonerated of the charges against him.
(iv) In appeal, or revision, the order is modified into one other than dismissal, removal or
compulsory retirement and no further enquiry is ordered to be held".
3.6.2

Provisions of the CVC Vigilance Manual

Section 6.3.4 of the CVC Vigilance Manual says

Public interest should be the guiding factor in deciding whether or not a Government
servant, including a Government servant on leave, should be placed under suspension; or
whether such action should be taken even while the matter is under investigation and
before a prima-facie case has been established. Certain circumstances under which it may be
considered appropriate to do so are indicated below for the guidance of competent
authorities:
(i)
(ii)
(iii)

(iv)
(v)

Where the continuance in office of the Government servant will prejudice

investigation, trial or any inquiry (e.g., apprehended tampering with witnesses or
documents);
Where the continuance in office of the Government servant is likely to seriously
subvert discipline in the office in which he is working;
Where the continuance in office of the Government servant will be against the
wider public interest, e.g., if there is a public scandal and it is considered necessary
to place the Government servant under suspension to demonstrate the policy of
the Government to deal strictly with officers involved in such scandals, particularly
corruption;
Where a preliminary enquiry into allegations has revealed a prima-facie case
justifying criminal or departmental proceedings which are likely to lead to his
conviction and/or dismissal, removal or compulsory retirement from service;
Where the public servant is suspected to have engaged himself in activities
prejudicial to the interest of the security of the State.

Section 6.3.6 of the CVC Vigilance Manual says

Without prejudice to the above guidelines, there are certain kinds of cases where the SPE will,
invariably, advise that the officer should be placed under suspension. If the CBI recommends
suspension of a public servant and the competent authority does not propose to accept the CBIs
recommendation, it may be treated as a case of difference of opinion between the CBI and the
administrative authority and the matter may be referred to the Commission for its advice. Further, if
a public servant had been suspended on the recommendation of the CBI, the CBI may be consulted if
the administrative authority proposes to revoke the suspension order.
3.6.3 MoUD, vide OM No. 23/5/2004/EC-I/EW-I dated 21.4.2005, has notified constitution of a
review committee for decision of the competent authority in respect of Group A employees.
Following are the members of the committee.
S.N

Level of the suspended officer

Constituents of the review committee

12

1
2
3

For officers up to the level of JAG i.e. Additional Secretary (UD), DG, CPWD and
officers of the level of SE.
ADG(S&P), CPWD
For officers up to the level of SAG i.e. Additional Secretary (UD), DG, CPWD and
officers of the level of CE.
ADG(S&P), CPWD
For officers up to the level of HAG i.e. Secretary (UD), Secretary (UE&PA) and DG,
officers of the level of ADG.
CPWD.

For Group B employees the constitution of the review committee is notified by the Directorate of
works. In terms of the DoPT OM No. 11012/4/2003-Estt. (A) dated 7.2.2004, committee will
comprise of 3 officers of the level of Additional Director General and /or Chief Engineer.
Therefore it is important for the vigilance unit to keep track of the suspension cases and initiate
action for review well before expiry of 90 days from the order of suspension. The vigilance unit will
initiate the proposal for review and shall prepare a detailed background note giving all details of the
case. It shall also bring out the facts and the rule position in the note. The note is put up to the
suspension review committee constituted as per the status of the employees for according their
decision. In case of Group A employees the order on revocation/continuation of suspension is
issued by the MoUD after approval by the Minister of Urban Development. For Group B employees
the orders are issued by the Vigilance unit after obtaining approval of the DG, CPWD.
3.7 Action after suspension has been revoked.
After suspension has been revoked, it is necessary for the authority which revoked the
suspension to make suitable orders on the treatment of the period of the suspension and
the pay and allowances for the period of the suspension. Following is worth notice.
(i)

DoPT, vide their OM No. 11012/15/85-Estt.(A) dated 3.12.1985 have ordered that
the period of suspension is to be treated as duty if minor penalty only is imposed. It
is concluded that where departmental proceedings against a suspended employee
for imposition of major penalty end with the imposition of minor penalty, the
suspension can be said to be wholly unjustified in terms of FR 54-B and employee
concerned should be paid full pay and allowances for the period of suspension by
passing order under FR 54-B.

(ii)

Cases not falling in above category need to be examined and disposed in the light of
the provisions of the FR 54.

In case of the Group A employees, the orders on the treatment of suspension period and
pay and allowances thereof are required to be issued by the MoUD. However it is the duty of
the vigilance unit to prepare a background note for submission to the MoUD for orders by
them. For Group B employees, the vigilance unit shall prepare the background note for
consideration of the DG, CPWD. The orders will also be issued by the Vigilance Unit.

13

Chapter IV

PRELIMINARY ENQUIRY/INVESTIGATION
4.0
Once a vigilance angle is located in the complaint, it is investigated to decide, prima-facie,
the charges on which an inquiry for minor penalty or major penalty would be conducted, or whether
a departmental warning for the act of commission/omission would suffice.
4.1 : Agency for Investigation
Once it is decided to investigate the allegations in a complaint, it will be necessary to decide
whether the allegations should be investigated departmentally or through CBI
4.1.1 CBI Investigation in following cases:
(a)If the offence involves bribery, corruption, forgery, cheating, criminal breach of trust,
falsification of records, possession of assets disproportionate to known sources of
income.
(b)where facts of the allegations cant be ascertained without inquiries from non-official
persons.
(c)Complicated cases requiring expert police investigation.
4.1.2 Departmental Investigation: Where allegations relate to a misconduct other than an
offence, or to departmental irregularity or negligence, and the alleged facts are capable of
verification or inquiry within the department.
Note: If there is difficulty in separating the allegations for separate investigations, the better
course will be to entrust the whole case to the CBI.
4.1.3

Discretion of CVO to refer a case to the CBI:

All CVOs have complete discretion to refer a case to the CBI and it is not necessary to
seek prior permission from the CVC. (Sec.4.2, CVC Manual, 2005)

4.2.

Parallel Investigation
Once a case is referred to and taken up by the CBI for investigation, further investigation
should be left to them and a parallel investigation by the departmental agencies should
be avoided. Further action by the department in such matters should be taken on
completion of investigation by the CBI on the basis of their report.

4.3: Departmental Investigation:(a)

Seizure of documents/records: The Investigating /Vigilance officer should, without

loss of time, secure such documents/records, etc. which will help in investigation of
the complaint.

(b)

If the alleged facts are likely to be known to other employees of the Department,
they should be interrogated (orally or/and in writing)

14

(c)

If there is a need of site inspection (in case of works related complaints), it should be
done.

(d)

If during the course of investigation, it is found that it will be necessary to

examine/collect evidence from non-official persons, the matter should be entrusted
to the CBI.

(e)

If the official complained against is in-charge of Stores, equipments etc. and there is
a possibility of his tampering with the records, the CVO should advise his/her
transfer forthwith.

(f)

It is desirable, if the time permits, to obtain the suspect officers version of facts.
There is no question of making available to him any document at this stage.

4.4 Submission of Investigation Report: The Investigating Officer should prepare a self-contained
report including the material available to controvert the defence. The Investigation report
should contain the explanation of the suspect officer, if he had given it. The Investigating officer
will submit his report to the CVO, who will forward it to the disciplinary authority, along with his
own recommendations, for appropriate decision. The CVO, while submitting his
report/comments to the disciplinary authority in the organization, should also endorse an
advance copy of the investigation report to the CVC in case of a Category A Officer, along with
his own recommendations, for appropriate decision. The format prescribed by the CVC for
reference to it by the CVOs is at Appendix - I
4.5 Investigation by the CBI:
(a) Unless there are special reasons to the contrary, the complaints, which are to be investigated
by the Special Police Establishment (SPE/CBI), should be handed over to them at the earliest
stage. As soon as a case is taken up for preliminary enquiry (PE) or a Regular Case (RC) is
registered under Sec.154Cr.PC, a copy of the PE registration report/FIR will be sent by the
SPE confidentially to the Head of the Department and/or the administrative Ministry
concerned and the CVO of the organization concerned.
(b) The CBI shall not conduct any inquiry or investigation into any offence alleged to have been
committed under PC Act, 1988, except with the prior approval of the Central Govt., where
such allegations relate to JS level officer or above.
4.6 Submission of Report by the CBI : (a) If on completion of investigation, the CBI comes to the
conclusion that sufficient evidence is available for launching criminal prosecution, they shall
forward the final report to the CVC as well as the authority competent to sanction
prosecution through the CVO, if it is required to be issued in the name of President. In other
cases, the report will be forwarded to the Competent Authority through the CVO concerned.
The report will be accompanied by the draft sanction order in the prescribed form, and will
give the rank and designation of the authority competent to dismiss the delinquent officer
from service and the law or rules under which that authority is competent to do so.
(b)In cases in which sufficient evidence is not available for launching criminal prosecution, the
CBI may come to the conclusion that:
(i)
The allegations are serious enough to warrant regular departmental action (RDA).
The final report in such cases will accompany (1) draft articles of charges (2) a statement of
imputations in support of each charge and (3) list of documents & witnesses.
15

(ii)
Sufficient proof is not available to justify prosecution or RDA but there is reasonable
suspicion about the integrity of the official. In such cases, the Competent Authority will
decide on the appropriate administrative action.
-

Reports of both types mentioned at (b) (i) & (ii), involving Category A officers, will be
forwarded by the CBI to the CVC who will advise the disciplinary authority concerned
regarding the course of further action to be taken.
Investigation reports pertaining to Category B employees will be forwarded by the CBI to
the disciplinary authority concerned, through its CVO for further necessary action.

(iii) In cases in which preliminary inquiry/investigation reveals that there is no substance in

the allegations, the CBI may decide to close the case. Such cases pertaining to Category
A officers will be reported to the CVC as also to the authorities to whom copies of the
FIRs/PE registration reports were sent. In other cases, the decision to close a case will be
communicated by the CBI to the administrative authorities concerned.
4.7 Authority competent to take a view on Investigation: For Category A cases, CVCs advice
( Stage advice) would be obtained before the Competent Authority {as specified in CCS (CCA)
Rules} takes a final decision on the matter. In Category B cases, the Disciplinary Authority will
decide on the course of action. On the basis of the investigation report, the Disciplinary
Authority takes decision to initiate disciplinary proceedings against the Government servant for
imposing penalty under Rule 16 ( i.e. Minor Penalty) or Rule 14 (i.e. Major Penalty). As soon as it
is decided by the disciplinary authority to institute disciplinary proceedings, the complaint
should be regarded as having taken the shape of a Vigilance case.
4.8: Action against persons making false complaint: If it is proved that the complaint is false,
malicious, vexatious or unfounded, the person making false complaint can be prosecuted u/s
182, IPC (imprisonment of 6 months and/or fine of Rs.1,000/=)
4.9 Expeditious Completion: In cases referred by the CVC for investigation and report, the
department should normally send its report to the CVC within three months from the date of
receipt of reference. The CBI may furnish reports on such complaints within a period of six
months. If this time schedule is not adhered to, an interim report explaining the reason(s) of
delay and expected date of investigation report should be sent.

16

Chapter V
DISCIPLINARY PROCEEDINGS
5.0

Introduction

Article 311 of the Constitution of India provides protection to the Civil servant against
dismissal/removal/reduction in pay without giving a reasonable opportunity of being heard. On the
other hand, it is expected of the Government servant at all time to maintain absolute integrity and
devotion to duty and do nothing which is unbecoming of a Government servant. Any
departure/deviation from the prescribed rules/regulations and conduct shall amount to be a
misconduct, therefore, the Government servant will become liable for imposition of penalty in
accordance with rules.
5.1

DISCIPLINARY AUTHORITIES.

Rule-12 of CCS (CCA) Rules defines the disciplinary authorities, who may impose any of the
penalties specified in Rule 11 of CCS (CCA) Rules on any Government servant.
As per Rule-13 of CCS (CCA) Rules the President or any authority empowered by him by
general or special order may(a) Institute disciplinary proceedings against any Government servant;
(b) Direct a Disciplinary Authority to institute disciplinary proceedings against any Government
servant on whom that Disciplinary Authority is competent to impose under these rules, any of
the penalties specified in Rule 11 of CCS (CCA) Rules.
The Appointing authorities, Disciplinary Authorities to impose specified penalties and Appellate
Authorities, in respect of various groups of Government Servants, in CPWD are detailed in Para 36,
Section 3, Chapter VI of CPWD Manual Vol. I, 1992.
[See Appendix 2 ]
5.2.

The two categories of penalties listed at Rule 11 of CCS (CCA) Rules, are as follows:

Minor Penalties:
(i)
(ii)
(iii)

(iv)

Censure;
Withholding of promotion;
(a)Recovery from pay of the whole or part of any pecuniary loss caused to the
Government by negligence or breach of order;
(b)Reduction to a lower stage in the time scale of pay by one stage for a period not
exceeding three years, without cumulative effect and not adversely affecting his
pension;
Withholding of increments of pay

Major Penalties
(v)

Reduction to a lower stage in the time scale of pay for a specified period, with
further directions as to whether or not the Government servant will earn increments
of pay during the period of such reduction, and whether on the expiry of such
17

(vi)

(vii)
(viii)
(ix)

period, the reduction will or will not have the effect of postponing the future
increment of pay;
Reduction to a lower time scale of pay, grade, bar to the promotion of the
Government servant to the time scale of pay, grade, post or service from which he
was reduced, with or without further directions regarding conditions of restoration
to the grade or post or services from which the Government servant was reduced
and his seniority and pay on such restoration to that grade, post or service;
Compulsory Retirement;
Removal from service which shall not be a disqualification for further employment
under the Government;
Dismissal from service which shall ordinarily be a disqualification for future
employment under the Government.

A Disciplinary Authority competent to impose minor penalties may institute disciplinary

proceedings against any Government Servant for imposition of major penalties notwithstanding that
such DA is not Competent under these rules to impose any of the major penalties.
5.3

DISCIPLINARY PROCEEDINGS:

Based on the facts, the records, documents and the statement of the witnesses and the suspected
Public Servants if recorded, in a departmental investigation or by CBI, a report of findings is
submitted to the Disciplinary Authority. The latter has to take a view for initiating the Disciplinary
Proceedings/Departmental Inquiry.
A disciplinary case may be initiated on account of:
1. Administrative lapses/irregularities i.e. Admin matter.
2. Lapses attracting vigilance angle i.e. Vigilance matter.
In both the cases the process to be followed during the course of proceedings is almost the
same. In CPWD, the Vigilance Unit deals in vigilance matters only. Rest are dealt by the respective
administrative units. Vigilance matters involving Group-A officers requires consultation of Central
Vigilance Commission, before the Disciplinary Authority orders to initiate disciplinary proceedings in
respective Rule as per options available before him i.e. Rule 14 of CCS (CCA) for Major penalty and
Rule 16 of CCS (CCA) for Minor penalty or Rule 9 of CCS Pension Rules for retired employees.
[It has been noticed of late that many departmental proceedings have been set aside or
quashed by Central Administrative Tribunal or Courts due to the fact that proceedings were not
conducted strictly in terms of laid down rules and procedures. Therefore it is imperative for all the
Disciplinary Authorities to ensure that the proceedings are conducted properly and laid down
rules and procedures are followed scrupulously so that delinquent officers are not let off on
account of flawed process.]
5.4

PROCEDURE FOR IMPOSING MINOR PENALTIES

Subject to the provisions of sub-Rule (3) of Rule 15 [CCS(CCA) Rules], an order imposing on a
Government servant any of the minor penalties may be imposed according to following procedure:
(a) Informing the Government servant in writing of the proposal to take action against him and
of the imputations of misconduct or misbehavior on which it is proposed to be taken, and
giving him reasonable opportunity of making such representation as he / she may wish to
make against the proposal; On receipt and consideration of the representation of the
18

Government servant, the DA may impose one of the minor penalties if charges are
sustained, or exonerate the Govt. servant if the charges are not proved;
(b) If, in the circumstances of a particular case, the DA decides that an enquiry should be held in
the manner as it is done for major penalty, or if the Government Servant desires to be heard
in person, the DA may permit holding the inquiry in the manner laid down in sub-rules (3) to
(23) of Rule 14;
(c) The DA will take the representation, if any, submitted by the Government servant under
Clause (a) and the record of inquiry, if any, held under Clause (b) into consideration;
(d) The DA will record a finding on each imputation of misconduct or misbehavior; and
(e) The DA will consult the Commission where such consultation is necessary.
[Refer Rule 16, CCS(CCA) Rules] ( Appendix: 3 & 4)
(2) The record of the proceedings in such cases shall include(i) A copy of the intimation to the Government servant of the proposal to take action
against him;
(ii) A copy of the statement of imputations of misconduct or misbehavior delivered to him;
(iii) His representation, if any;
(iv) The evidence produced during the inquiry;
(v) The advice of the Commission, if any;
(vi) The findings on each imputation of misconduct or misbehavior; and
(vii) The orders on the case together with the reasons therefor.
5.5

PROCESSING OF THE REPLY OF THE CHARGED OFFICER

In CPWD reply of the charged officer is processed for different groups of the Government
Servants as follows:
(i) Exoneration/Admin. Warning In case of group A Government Servant, vigilance unit,
CPWD prepares the comments of the department on reply of the charged officer and
submits to MoUD along with bio-data of the charged officer for the orders. The DA may
decide in agreement with the Stage advice of CVC , that minor penalty should be imposed.
In that case a proposal goes to the UPSC for deciding the quantum of penalty. If the DA
decides to exonerate the CO or to issue administrative warning or to impose major penalty,
this differs with the 1st stage advice of CVC and the matter, with comments of DA, will go to
the CVC for Stage advice. In case the disagreement with CVC continues, the matter goes to
DOPT for settlement. Orders are passed by the MoUD, in the name of President after
consulting CVC/UPSC/DoPT as mentioned above.
(ii) In case of group B government Servant, vigilance unit processes the case after considering
the reply of the charged officers and puts up to the Director General for decision. If
Disciplinary Authority intends to differ with CVCs advise, if obtained at stage then, stage
advise is required before orders are issued.
(iii) Respective Disciplinary Authority deals the case of group 'C' & 'D' Government Servant,
themselves. No processing in Vigilance Unit is required, unless CVCs advice at 1st stage was
obtained and now disciplinary authority intends to differ with that advice. In such cases the
matter shall be sent, along with personal details of the charged officer, to Vigilance Unit,
CPWD, for obtaining 2nd stage CVC's advice.
[Appendix - 5 & 6]
[Refer Rule 15 of CCS (CCA)
Rules]

19

5.6

PROCEDURE FOR IMPOSING MAJOR PENALTY

Rule 14 of CCS (CCA) Rules explains the procedure for imposing major penalty. Following are
the broad stages:
1.
2.
3.
4.
5.

Issue of charge sheet

Obtaining & considering reply of the charged officer
Conducting oral Inquiry
Action on Inquiry
Communication of the Orders.

5.6.1

ISSUE OF CHARGE SHEET

1.

Object of issuing a Charge Sheet.

The first step in a Departmental Enquiry is the issuance of a charge sheet containing definite
charge or charges on which it is proposed to take action against an employee for a misconduct
alleged to have been committed by him, together with a statement of the allegations on which each
charge is based and other material which is proposed to be taken into consideration in support of
the same.
The object of furnishing a charge sheet is to give the employee an opportunity to show
cause against the action proposed to be taken against him in respect of the misconduct alleged
against him, so that he knows the nature of the misconduct with which he is charged and has a
reasonable opportunity to defend himself.
2. Authority competent to issue the Charge Sheet.
A charge sheet should normally be issued by Disciplinary Authority competent to take Major
Penalty action.
Where President is the Disciplinary Authority the Charge Sheet should be signed by/or on his/her
behalf by an officer authorized for the purpose.
The prescribed authorities have been enlisted in Rule 13 of CCS (CCA) Rules, 1965.
3. Contents of the Charge Sheet.
The charge sheet contains the following:
(i)
Memorandum under Rule 14 in the Standard proforma;
(ii)
Statement of Articles of Charge;
(iii)
Statement of imputation of misconduct/misbehavior in support of Articles of Charge;
(iv)
List of documents by which Articles of Charge are proposed to be sustained and;
(v)
List of witnesses by whom Articles of Charge are proposed to be sustained.
[In the charge sheet, the verified facts are expressed in a logical manner to ensure that allegations
flow directly from the situation in which misconduct was committed. Vagueness and repetition in
charges, reference to report of preliminary Inquiry, opinions and advices, indication of any type of
penalty etc. need to be avoided. Charge sheet must be drafted in emphatic and clear defined way
and language which mentions the conduct rules violated.]
[ Appendix- 7 ]
20

4.

Amendment of Charge Sheet after issue.

There is no objection to issue a corrigendum subsequent to issue of the charge sheet.

However such corrigendum should be issued before regular hearing in the inquiry is started. The
charged officer should be given reasonable opportunity for preparing their defence i.e. calling for
additional documents or defense witness etc.
5.

Precautions to be taken

It has been noticed in recent past that several Charge Sheets and inquiry proceedings have
been quashed by Honble Courts. Therefore, it is necessary to frame Charge Sheet with greater
care, wherein charges be explained in clear, specified and in precise manner. Proper and
appropriate charges should be framed when act of violation of rules in Manuals, CCS (Conduct) rules,
different circulars or general guidelines are found. On the other hand the departmental inquiry
should also be conducted with proper procedure and rules and in accordance with Departmental
Inquiry Act, 1972. Any failure to observe the proper procedure either willfully or though gross
negligence is liable to vitiate the entire proceedings.
5.6.2

OBTAINING & CONSIDERING REPLY OF THE CHARGED OFFICER.

The reply of the charge sheet by the Charged Officer is to be examined vis--vis the charges imputed
in the charged memo. It is to be seen whether the Charged Officer has admitted the charges / partly
admitted the charges or has denied the charges. In case the Charged Officer has denied all the
allegations and his reply needs inquiry, the Disciplinary Authority shall go ahead for oral inquiry. In
case, only part charges are admitted, the oral inquiry shall be ordered by the Disciplinary Authority
for inquiring into only those charges which have been denied by the Charged Officer.
There may also be situations where the reply of the Charged Officer is convincing and there
should be no hesitation in dropping of charges after obtaining CVC advice (if the same was obtained
earlier).
In CPWD, in case of Group A officers, Vigilance Unit prepares the comments of the
department on reply of the CO and sends it to MoUD for further decision and orders. In case of
Group B Government Servants, vigilance unit processes the reply of the charged officer and puts up
the case to the Director General, CPWD for orders. The Disciplinary Authorities deal with the cases
of Group C&D Government Servants themselves.
[ Appendix - 8 : MHA OM No. 11012/2/79-Estt (A) dtd
12.3.1981 & OM No. 11012/8/82- Estt (A) dated 8.12.1982 ].
5.6.3. CONDUCTING ORAL INQUIRY.
1.
Purpose of Oral Inquiry.
The purpose of Oral Inquiry is:
(i)
To give complete and adequate opportunity to the CO to put up his defence and
contest the case of prosecution.
(ii)
To help the Disciplinary Authority to assess the guilt of the employee with a view to
decide what action, if any, should be taken against him.
2.
Procedure for conducting Oral inquiry.
21

The inquiry is vitiated if proper procedure is not followed. Therefore it is essential to understand the
procedure. Following are the broad stages of the Oral Inquiry:
(i)
Appointment of the Inquiry Officer;
(ii)
Appointment of the Presenting Officer;
(iii)
Engagement of Defence Assistant by the Charged Officer;
(iv)
Holding preliminary hearing;
(v)
Deciding relevancy of additional defense documents required by CO and
requisitioning the same;
(vi)
Regular hearing;
(vii)
Submission of inquiry report and proceeding documents.
(i) Appointment of the Inquiry Officer.
The Disciplinary Authority, on receipt of the written statement of defense, may it self inquire into
the articles of charge as are not admitted, or if it considers it necessary to do so, appoint under Rule
14(2), an Inquiry Officer for the purpose.
However, unless unavoidable, the Disciplinary Authority should refrain from being Inquiring Officer.
The essential requirements for the Inquiry Officer are as under:
(i)
(ii)
(iii)
(iv)
(v)

The Inquiry Officer must be a person who is impartial and free from bias;
He must be familiar with the rules and procedure governing the subject;
The Inquiry Officer should be superior to the rank to the Charged Officer;
In general, immediate superior of the charged employee should not be given the duty of
Inquiry Officer, i.e. by an officer on whose instance inquiry was initiated;
The complainant cannot be an Inquiry Officer

In CPWD, SE (Enquiry) attached with the Office of CVO, CPWD functions as full time Enquiry
Officer. He can be appointed as an Inquiry Officer in the case of officers upto the level of Executive
Engineer only. However, it is also to be noted that he is appointed only in the cases investigated by
the Vigilance Unit of CPWD. For cases not investigated by the Vigilance Unit and cases of
administrative nature upto the level of Executive Engineers, the SE (TLC & QA) of the region are
appointed as Inquiry Officers. Following documents are required to be given to the Inquiry Officer
along with the orders of his appointment.
(i)
(ii)

One copy of the charge sheet.

Denial of charges by the Charged Officer.

A copy of the order of appointment of the Inquiry Officer is also required to be given to the
following:
(i)
(ii)
(iii)

The Presenting Officer;

The Charged Officer;
The CVC, If their advice was obtained earlier

The order of appointment of Inquiry Officer is served upon the Charged Officer through his
controlling office (or the last controlling office in case of retired employee) and the controlling office
is required to obtain and send the acknowledgement of receipt of orders to the Vigilance Unit.
In the case against officers above the rank of Executive Engineer, the Vigilance Unit of CPWD has
empanelled retired Government Servants to function as Inquiry Officers. They may be appointed as
22

Inquiry Officers taking due care that the Inquiry Officer is at least one rank above the rank of the
Charged Officer.
The CVC also has a set of Commissioners of Departmental inquiries (CDI) on their roll. They may be
appointed as Inquiry Officers in case CVC so advises, where Inquiry Officers of required rank are not
available for conducting inquiry.
(ii) Appointment of the Presenting Officer.
The Presenting Officer has to present the case before the Inquiry Officer in support of the
charges on behalf of the Disciplinary Authority. The Presenting Officer should be one who is
conversant with the subject matter of the inquiry.
The CVC in its circular NP.34/09/06 dated 21.9.2006 have stated that a very junior official
should not be appointed as a Presenting Officer;
The person appointed as a Presenting Officer must be a member of the Civil Service of the
Union;
The investigation officer should not act as a Presenting Officer;
The appointment of Presenting Officer cannot be challenged on a ground of bias;
The Presenting Officer cannot be a prosecution witness;
The rules provide that only a serving employee can be appointed as a Presenting Officer.
In the cases investigated by the Vigilance Unit of CPWD, EO(D)s are appointed as Presenting Officers.
In other cases not investigated by the Vigilance Unit, the Disciplinary Authority will have to appoint
suitable officer from their own office. The order of appointment of Presenting Officer is required to
be given to the Inquiry Officer and the Charged Officer.
The Disciplinary Authority shall supply the following documents to the Presenting Officer:
(i)
(ii)
(iii)
(iv)
(v)

A Copy of the Articles of Charge and Statement of imputations of misconduct or

misbehavior;
A Copy of the written statement of defence, if any submitted by the Charged Officer;
Where no written statement has been received, some evidence proving the delivery of
charge sheet to the charged employee;
Copy of earlier documents of witness mentioned in the list of witness;
Copy of the order appointing the Inquiry Officer.

In disciplinary cases arising out of CBI or other departments' investigations, the Presenting
Officers are requested from those organizations.
[One has to be careful not to commit the cardinal mistake of appointing these two officers before
the reply to charge sheet is considered. This could be exploited by the delinquent employee to
prove bias].

(iii) Engagement of Defense Assistant by the Charged Officer

23

CCS(CCA) Rules, 1965 provide that defence assistance can be taken from an employee who
must be serving either at the headquarter of the charged employee or the place of inquiry. There is
no bar to the Charged Officer taking help of a retired person as a Defence Assistant to render
assistance. Rules provide that a serving employee acting as a Defence Assistant should not take
more than three cases at a time in hand and retired person should not have seven cases at a time.
The Inquiry Officer has to inform the Charged Officer of his right to have Defence Assistant.
Further, approval of the Disciplinary Authority for engaging Defence Assistant, except legal
practitioner, is not required. The Defence Assistant can also be examined as witness, if the inquiry
authority considers his witness to be relevant to the fact of the case.
(iv) Preliminary hearing.
As the name suggests the purpose of preliminary hearing is to sort out preliminaries. During
this hearing the Enquiry Officer will specifically ask the Charged Officer, if he has received charge
sheet, has understood the charges against him and whether he admits or denies the charges. In
case the Charged Officer admits the charges, it is recorded in writing. No further inquiry is necessary
and the Inquiry Officer writes the report of guilt. In case the charges are denied the Inquiry Officer is
required to explain the procedure of conducting the inquiry to the C.O. Generally at this point of
time the Inquiry Officer also issues the following directions:
a) Directions to P.O to arrange inspection of prosecution documents by the Charged
Officer;
b) Inspection of statement of witness, if any, by the Charged Officer;
c) Directions to Charged Officer to submit his requirement of additional defense
documents along with their relevance and the details of the custodian of the document;
d) Directions to Charged Officer to state if he wants to examine any witnesses in his
defense;
e) Name of the Defense Assistant, if the Charged Officer wants to engage one.
The hearing is adjourned after recording the detailed order sheet.
(v) Deciding the relevancy of the additional defense documents by the Charged Officer
There are two types of documents involved in the departmental inquiries. The category
documents include the documents on which Disciplinary Authorities relies and intends to prove the
charges i.e. those in Annexure-III of the Charge Sheet. In the category, with the documents sought
by the Charged Officer to defend his case. The right of access to the category of documents is not
unlimited. Only the relevant documents are arranged by the Inquiry Officer, irrelevant documents
are refused to requisition. The question of relevancy is looked at from the view point of defence and
not a prosecution. Even if the documents are slightly or in some way relevant for the sake of natural
justice, these are allowed. In case of refusal, the reasons should invariably be recorded and
intimated to both the parties. The delinquent officer can also be refused to supply the documents if
the requisitioned documents are not accessible on the ground of public interest as decided by the
HoD to whom the documents belong.

(vi)

Regular Hearing

The departmental inquiry Act, 1972 empowers Inquiry Authority with the powers as vested in Civil
Court under Code of Civil Procedure in respect of the following matters e.g,
24

(a) The summoning and enforcing the attendance of any witness and examining him on oath;
(b) Requiring the discovery and production of any document or other material which is producible;
(c) The requisitioning of any public record from any court or office.
Having marked the documents as Exhibits and taken on record, a recording of oral evidence begins.
The oral evidence is recorded in two stages
(1)witnesses in support of the charge and
(2)the Defence Witnesses.
The stages of recording evidence are as under:(i)
The Presenting Officer has to examine his witnesses first;
(ii)
The Charged Officer or his Defence Assistant has to cross-examine the witness;
(iii)
The re-examination
The scope of cross-examination is unlimited and need not be confined to the testimony of
the witness in the chief examination. Re-examination after cross examination should be
confined only to the matters arising out of the cross examination.
The Presenting Officer should not put up questions to the Charged Officer.
After examination, cross examination and re-examination, on conclusion of the case,
the Inquiry Officer may put question before the Charged Officer on the circumstances
appearing against him. The entire proceedings conducted should be recorded then and there
and deposition of the witnesses are counter-signed at every page by the witnesses concerned
and the Charged Officer The complete recorded deposition shall also be signed by the Inquiry
Officer and copies of the depositions be given to the Presenting Officer and Charged Officer for
their record.
On conclusion of the hearing, Inquiry Officer directs Presenting Officer to submit his written
brief within a weeks time who also supplies the copy of the same to the Charged Officer. The
Charged Officer, on receipt of written brief of P.O. shall submit written brief to Inquiry Officer.
Lastly, on receipt of written brief from charged Officer, Inquiry Officer prepares his Inquiry
Report.
(vii)

Submission of Inquiry Report

Having received written brief from both the parties, I.O. shall proceed to record his findings
and to submit report duly signed by him to the Disciplinary Authority. It is expected of the Inquiry
Officer that:
(i)
He should reach at clear findings based on the evidence produced or brought before
him. He should not make any contradictory evidence in different parts of the report;
(ii)
He is bound to consider evidence of all the witnesses including Defence Witnesses;
(iii)
The report of the Inquiry Officer must be free from any pressure and influence and
should not be influenced by the personal knowledge;
(iv)
The Inquiry Officer must keep an open mind till he writes his report. Correct assessment
of evidence and objection should be analysed fairly.
While writing Inquiry Report, the Inquiry Officer must avoid any indecisiveness, or
recommendation on any penalty making disparaging remarks. Inquiry Officer shall submit his report
to the Disciplinary Authority comprising of following:(a) Report of Inquiry prepared by him;
25

(b) Folder-I containing the list of Exhibits together with the documents produced during the
inquiry;
(c) Folder-II containing the list of witnesses examined during the inquiry on behalf of
prosecution and defence and original deposition of all witnesses;
(d) Folder III containing statements on defence;
(e) Folder IV containing, orders made by the Disciplinary Authority and Inquiry Authority in
respect of inquiry and Daily Order Sheet.
After signing the report, the Inquiry Officer becomes functus officio.
(viii)

Special Procedures in certain case

(1) Ex-parte inquiry:

The Inquiry Officer may hold enquiry Ex-parte in the following circumstances (a) Non attending the Inquiry Proceedings by the Charged Officer;
(b) Attending the proceedings but not cooperating;
(c) Attending but creating obstructions and hurdles in the proceedings.
(2) Common Proceedings
Whether two or more employees are concerned in any disciplinary case, the action against
all of them may be taken in common proceedings. However, common proceedings should
not be held in two situations (i) Where employees are governed by different set of
disciplinary rules and (ii) in the case of cross complaints.
(3) Joint Trial
There are many cases where common proceedings are not ordered, but since the subject
matter is common, same person is appointed as Inquiry Officer in all the case. For the sake
of convenience, because the same evidence is involved, the Inquiry Officer may hold the
proceedings jointly after consent of all the concerned persons.
(4) Hostile witness
Where any particular witness deposes in a way which may affect adversely the interest of
the party calling him, the party may request the Inquiry Officer to declare the witness as
hostile and to allow the party to cross examine the witness.
(5) Right to examine a witness
Presenting officer may, at his wisdom, drop a particular witness from examination. In such
case Charged Officer has the right to request the Inquiry Officer for TENDERING that
witness. In such case the Presenting Officer will call the witness for cross examination by the
Charged Officer without any examination by the Presenting Officer. Presenting Officer,
however, shall have the right to reexamination.
(6) Enforcing attendance of witness
Under Section 5(1) of the Departmental Inquiries (Enforcement of Attendance of the
witnesses and Production of documents) Act, 1972 every Inquiring authority authorized
under section 4 shall have the same powers as are vested in a Civil Court under the Code of
Civil Procedure in respect of summoning and enforcing the attendance of any witness and
examining him on oath, requiring the production of any document or material which is
26

producible as evidence, etc. Thus he has the power to enforce attendance and it is his duty
to take all necessary steps to secure the attendance of both sides.
5.6.4

ACTION ON INQUIRY REPORT

The report of the Enquiry along with all the material and records is handed over to the
Disciplinary Authority for his decision regarding further course of action. He is categorically required
to give his findings in respect of each and every charge, and state whether the charge is `proved or
`not proved. After the submission of the Inquiry Report, the Inquiry Officer becomes functus officio. In CPWD, the Disciplinary Authority takes action on Inquiry Report as per Rule 15 of
CCS(CCA) for different groups of the Government servants as follows:
(i)
In case of Group A officers the comments of the department on Inquiry
Report are offered to the MoUD. If the Disciplinary Authority, in agreement with the stage
advice of CVC, decides that major penalty should be imposed, then stage of CVC is not
required. If the DA decides to exonerate, issue administrative warning or to impose minor
penalty, in disagreement with stage advise of CVC, the matter, with comments of the DA
will go to CVC for stage advise.
When it is decided tentatively to impose any type of penalty, the DA sends the copy of
Inquiry Report, copy of the CVCs second stage advice (if any) and reasons of disagreement
with findings of the Inquiry Officer (if any) along with his tentative decision to the Charged
officer for his representation.
(Appendix 9 : orders that Second Stage Advice to be delivered)
Vigilance unit, CPWD prepares the comments of the department on Charged Officers
representation and submits to the MoUD, in case of Group 'A' officers. Where the DA after
considering the representation of CO, decides to impose a penalty of any type, he sends the case
along with his decision, to the UPSC for deciding the quantum of penalty.
If decision of the DA differs with CVCs advice, which may be even because of the advice of
the UPSC, reference is made to DoPT for settlement.
(ii)

In case of Group 'B' Government Servants, where the Director General, CPWD is the
Disciplinary Authority, the comments on Inquiry Report are prepared in Vigilance Unit and
put up to the Director General, CPWD for decision. If DG intends to differ with the CVC's
advice, if obtained earlier, the 2nd stage advice of CVC is obtained. When the Director
General decides tentatively to impose any of penalty, the copies of the Inquiry Report,
CVC's advice and reasons of disagreement, (if any) with the findings of Inquiry Officer, along
with his tentative decision is sent to the Charged Officer for his representation. On receipt
of the representation, the comments on representation are prepared by the Vigilance Unit
and put up to the Director General, CPWD for decision and orders.

(iii)

In case of Group 'C' and D Government servants the Disciplinary Authority takes the
view on Inquiry Report and makes, tentative decision to impose any of the penalty. The
copies of the Inquiry Report, CVC's advice and disagreement, if any with Inquiry Report,
along with his tentative decision is sent to the Charged Officer for his representations. On
receipt of the representation, the Disciplinary Authority examines the same along with the
record of inquiry and writes his findings and orders. No further processing in vigilance unit of
CPWD is required unless Disciplinary Authority intends to differ with CVC's advice, if

27

obtained, earlier. In case of such difference with CVC's advice, the Disciplinary Authority
shall obtain CVC's 2nd Stage advice through Vigilance Unit.
(iv) In case of retired Government servants, the action for withholding a pension or gratuity, or
both, either in full or in part, or withdrawing a pension in full or in part, whether
permanently or for a specified period, and of ordering recovery from a pension or gratuity
can be taken by orders of the President after consulting UPSC under Rule 9 of the CCS
(Pension) Rules.
Therefore, the Disciplinary Authority, if subordinate to the President will arrive at a
decision whether charges need to be dropped or action under rule 9 of the CSS
(Pension)Rules is required.
If action under rule 9 of CSS (Pension) Rules is to be taken, the Disciplinary Authority
shall submit a report recording its findings to the President through vigilance unit along with
bio-data of the charged officer on UPSC format. The vigilance unit of CPWD shall forward it
to MoUD for consulting UPSC and issuing the orders in the name of the President.
5.6.5

COMMUNICATION OF ORDERS.
Orders made by the Disciplinary Authority shall be communicated to the Government
servant who shall also be supplied with a copy of its finding on each article of charge, or where the
Disciplinary Authority is not the Inquiring Authority, a statement of the findings of the Disciplinary
Authority together with brief reasons for its disagreement, if any, with the findings of the Inquiring
Authority and also a copy of the advice, if any, given by the Commission, and where the Disciplinary
Authority has not accepted the advice of the Commission, a brief statement of the reasons for such
non-acceptance. Rule 17 of CCS(CCA) Rules may be referred.
[ Appendix 10 ]

The order issued by the competent authority should be a speaking order.

28

CHAPTER VI
CAT/COURT CASES
6.0
The vigilance unit has to handle CAT/Court cases filed by the CPWD employees aggrieved by
the vigilance action against them. Sometimes the cases are also filed by the Government in the
higher courts (High Courts and Supreme Court) against the orders of the CAT/High Court.
6.1
1.

Following is the terminology of the CAT cases.

OA
OA denotes an ORIGINAL APPLICATION filed in the Central Administrative Tribunal (CAT).
As the name suggests, it is an application filed by a party in an original matter which had not
been heard by the CAT previously. An OA generally is written as OA No/Year of filing e.g. OA
212/2011

2.

RA
RA denotes an REVIEW APPLICATION filed in the Central Administrative Tribunal (CAT). As
the name suggest it is an application for seeking review of an order passed by the Tribunal in
an OA. The RA is named, e.g. RA 001 in OA 111/2012. It is not permitted to raise fresh issues
in a RA.

3.

TA
TA denotes TRANSFERRED APPLICATION. Transferred application means the suit or other
proceeding which has been transferred to the Tribunal under sub-section (1) or sub-section
(2) of section 29 of the Administrative Tribunals Act, 1985. These may be any suit, appeal or
other proceeding which stands transferred from any court or other authority to a Tribunal.

4.

MA
MA denotes MISCELLANEOUS APPLICATION. Miscellaneous Application means an
application filed in any original Application for grant of interim relief for execution under
Rule 37 or any such other order. MA is named as MA No./Year in OA/Year. E.g. MA 1/2012 in
OA 111/2011.

5.

CP
CP denotes CONTEMPT PETITION. Contempt means anything that curtails or impairs the
freedom of limits of the judicial proceedings resulting in hampering of the administration of
Law and in interfering with the due course of justice. In simple terms it means wilful
disobedience of the orders passed by the Tribunal.

6.2

Following is the terminology of the High Court cases.

1. CWP
CWP denotes Civil Writ Petition. This is akin to OA in CAT. Generally it is filed against the CAT
orders. The constitution does no provide any limitation for petition under Article 226 or 227.
Therefore, in general, rule of 90 days limitation is applied for filing writ petitions. However
29

this rule is construed liberally by the high Courts. Therefore views of the counsel should be
obtained as to limitation period in a particular case.
2. CMP
CMP denotes Civil Miscellaneous Petition. This is akin to a MA in CAT cases.
3. CRP
CRP denotes Civil Review Petition. This is akin to a RA in CAT cases.
6.3

Following is the terminology of the Supreme Court cases.

1. SLP
SLP denotes Special Leave Petition. Under Article 136 of the Constitution of India any person
aggrieved by any judgment, decree, determination or order in any cause or matter passed or
made by any Court or Tribunal in the territory of India may appeal to the Supreme Court of
India. Accordingly, a person aggrieved by any order or judgment of High Court or of Tribunal
may appeal to the Supreme Court by filing Special Leave Petition.
If the Petition is filed against the Judgment of the High Court, the time limit is 90 days from
the date of Judgment/Order and if the Petition is filed against the Order of High Court
refusing to grant Certificate of Fitness for Appeal, the time limit is 60 days from the date of
Order refusing to grant Certificate.

6.4
A. Handling an Original application filed by employees
Ministry of Law and Justice maintains a panel of approved counsels for defending the cases in
the CAT/High Court on behalf of the Government all over India. Cases in the Courts in Delhi are
handled by the Vigilance unit from start to conclusion i/c payment of counsel fee. For cases
outside Delhi, the local chief engineer is advised to initiate action for approaching the litigation
cell located in the state/city for appointment of the counsel.
B. LITIGATION IN CAT
The Litigation (CAT) Ministry of Law & Justice Section is the part of Litigation High Court Section
at Copernicus Marg Building. This C.A.T. Litigation deals with the Original Applications filed by
any Central Government Employee against his/her Ministry and concerned Department.
As soon as CAT notice for appearance of Government in an OA is received, action for
appointment of a counsel for defending the case should be initiated. In case MoUD is also
named a respondent in the OA, the intimation of filing of OA should be sent to them for their
information and record.
C. LITIGATION IN HIGH COURTS
The Litigation (HC) Section, Ministry of Law & Justice handles the Litigation work in Delhi High
Court on behalf of all the Ministries/Departments of Government of India. The Litigation work is
30

looked after by Additional Government Counsel assisted by the Superintendent (L) and other
staff. The Litigation (HC) Section is approached for appointment of counsel for defending the
cases of the Government.
D. Litigation in Supreme Court
The Department of legal affairs, Ministry of Law and Justice is responsible for conducting
litigation before Honble Supreme Court on behalf of all Ministries/Departments of the Central
Government and also on behalf of the NCT of Delhi, Union Territories including the office of the
Comptroller and Auditor General of India and all field offices under CAG i.e. Accountants General
offices. All Special Leave Petitions of the Central Government are filed in the Supreme Court
through Central Agency Section of this Department. Government Counsels in the Central Agency
section are Advocates-on-Record of the Supreme Court. They appear before the Supreme Court
in all matters pertaining to the Union of India. Wherever necessary, Law Officers and Senior
Counsel are engaged by Central Agency to lead them in the Court. They assist the Law Officers
and other Advocates in the panel of Central Government Counsel.
6.5. Counter reply.
The counter reply to an OA in CAT is drafted by the appointed counsel. However it is the duty of
the Vigilance unit to prepare detailed note for the counsel giving complete background of the
case with all details. Vigilance unit also prepares parawise comments on the pleadings made by
the Applicant in the OA for incorporating in the counter reply.
Draft counter replies are required to be vetted by the Vigilance unit. In case MoUD is also a
respondent, the vetting by them is also required. Vigilance unit will verify the facts stated in the
counter reply and also suggest changes/corrections etc. For getting the counter reply vetted by
MoUD, complete files with all references flagged, OA and the counter reply are sent to them.
The MoUD gets the counter reply vetted by the legal cell of the Ministry of Law and Justice
located in Shastri Bhawan. After vetting, the counter reply is returned to the counsel for
preparing the fair counter reply.
The EO (D) concerned are authorised to sign the counter reply and affidavit accompanying the
same. After signature, the counter reply is returned to the counsel for filing.
There may be instances where, after filing of counter reply, the Applicant files a rejoinder in the
CAT. Comments of the Vigilance unit (and MoUD, if necessary) on the rejoinder are also sent to
the counsel.
For cases outside Delhi, the zonal Chief Engineer is requested to nominate and authorise locally
available EE to sign the counter reply and follow the case in the CAT. In such cases the role of the
Vigilance unit remains same as it is in cases at Delhi. The only difference is that the whole
process is routed through the EE authorised by the CE.
Supreme Court:- When decision has been taken to file application/counter reply in the Supreme
Court, the department of legal affairs will prepare the draft pleadings and send the same to
MoUD/CPWD for verification of facts and appending of documents before filing in the Supreme
Court. Generally bill for payment of necessary Court fee is also raised at this stage by the
department of legal affairs. After needful action of verification of facts and appending
documents with the application, the same is returned to MoUD/M/O Law along with a cheque
towards payment of Court fee. The valkalatnama/affidavit is signed by EE(V)/EO(D) or even the
under secretary of the MoUD.
31

6.6

Duties of the counsel

(i)
(ii)
(iii)
(iv)

6.7

To appear in the CAT/Court in the cases marked to him by the Officer In-charge of the
Litigation Section, Department of Legal Affairs, New Delhi.
Keep the Department concerned informed of the important developments in the case
from time to time, particularly with regard to drafting, filing of papers, dates of hearing
of the case, supplying copies of judgments etc.;
When any case attended to by him is decided against the Government of India, give his
opinion regarding the advisability of filing an appeal from such a decision;
Submit his claim for payment of fee with details.
Appearances in the CAT/Court.

Though it is the duty of the counsel to appear in the CAT/Court on the time and date fixed for
hearing, the representative of the Vigilance Unit {Generally the EE(V)/EO(D) himself} should also
attend the hearing for providing any assistance that may be required by the counsel during the
arguments. The attendance of the court hearing by the EE(V)/EO(D) also becomes necessary if
the counsel (owing to compelling circumstances) is unable to appear before the CAT/Court. In
such cases the EO(D)/EE(V) will be required to appear before CAT and seek adjournment of the
hearing.
For cases outside Delhi, the EE at station who signed the counter reply shall follow the case i/c
appearances in the CAT/Court.
6.8

Action on CAT judgments

Each judgment has to be examined on its own merit and circumstances. For this purpose, the
counsel is required to provide his/her considered comments on the judgment and
recommendation for accepting or challenging the judgment.
Judgments along with the considered comments of the counsel are examined in the vigilance
unit to form a view if the same is to be challenged or accepted. For cases involving MoUD,
complete case along with the files, judgment, OA, Counter reply, Counsels comments and the
views of the vigilance unit are forwarded to MoUD for decision. MoUD may obtain the advice of
the Legal cell of the Ministry of Law and Justice. In the process it may be necessary for the
EE(V)/EO(D) to discuss the matter with the MoUD as well as Ministry of Law and Justice for quick
decision on the Judgment.
Once it is decided to accept the CAT judgment, expeditious action for complying with the CAT
order should be taken. In case complying with the CAT judgment involves extending any financial
or administrative benefit to the employee, the matter should be brought to the notice of the
DDG (Pers) CPWD or Director of Administration CPWD or the Controlling office of the employee
for processing the case in time bound manner. Since non compliance of the judgment in the
given time frame may involve contempt of the Court, EE(V)/EO(D) should keep track of the case
till the CAT orders are fully complied.
In case it is decided to challenge the CAT judgment in the High Court, the process is repeated
from the stage of the appointment of a suitable counsel by the Litigation cell. Litigation Cell will
require the vigilance unit to produce the advice of the Ministry of Law and Justice before it takes
action to appoint a suitable counsel. It may be ensured that while drafting the appeal for filing in
the High Court, pleadings are also incorporated seeking stay on the operation of the CAT
judgment under challenge.

32

6.9

Handling delays in complying with the court/CAT Judgment

CAT/Court expects time bound implementation of their judgment. There may be many instances
where, due to administrative reasons, implementation of court orders get delayed. In such cases
it is necessary to approach the concerned court/CAT to seek additional time to comply with the
order. For this purpose, MA should be filed in the Court/CAT with the help of the counsel
engaged in the original matter.

6.10

Payments to the counsel

Terms of engagement of the Government counsels in Delhi have been notified by the Judicial
Section of the Department of Legal Affairs in the Ministry of Law, Justice and Co. Affairs vide
No.F.24(2)/99-Judl. 24 September, 1999. For the cases outside Delhi, the notification was issued
vide F. No.26(I)/99-Judl. 24.9.1999. The fee payable to the counsels have been modified vide F.
No. 26(1)/2005-Judl. Dated 31.1.2008. Same should be followed.
Vigilance unit is responsible for making payment to counsels for the CAT cases in Delhi only. For
CAT cases outside Delhi, the payment is made by the local office authorised by the CE of the
Zone.
For appearance in the Delhi High Court, the fee payable to them is to be paid by the
Department of Legal Affairs, Ministry of Law, Justice and Company Affairs, Litigation (HC)
Section, Delhi High Court, New Delhi. The fee bills are to be processed by the Litigation (HC)
Section and the payment is to be made directly by it to the Counsel concerned. Other
miscellaneous and out of pocket expenses will be borne by the Vigilance Unit. Such expenses
will be paid in advance to the Litigation (HC) Section in accordance with the instructions issued by
the Litigation (HC) Section. However, the expenditure relating to TA/DA payable to the Counsel
for their appearance in Courts, Tribunals, Commission of Inquiry etc. outside Delhi/New Delhi is
also to be borne by the Vigilance unit.
The fee bill submitted by the counsel are scrutinised by the EO(D)/EE(V) concerned for admissible
payments. After this, the bill is sent to the DDO of the vigilance unit for payment.
6.11

Reasons for quashing of disciplinary cases by the CAT/Courts

Some of the grounds on which the CAT/Courts have quashed the disciplinary
proceedings/Penalty order/Inquiry Report etc are given below.
(i)

Violation of principle of natural justice

(a) A person can not be judge in his own case (e.g. where charges against Government
servant relate to his misconduct against Disciplinary Authority, such Disciplinary
Authority passing order of dismissal amounts to his being a judge in his own case.)
(b) Non supply of the CVC advice relied upon by the Disciplinary Authority, on ground
that it is confidential, violative of principles of natural justice.
(c) When Inquiry Officer is not the Disciplinary Authority, the delinquent employee has
a right to receive copy of inquiry report before Disciplinary Authority arrives at a
finding of guilt.

33

(ii)

Regarding charges/chargesheet
(a) Charge must be specific and give necessary particulars. Presumption that the
delinquent official knew the charges cannot sustain;
(b) Lack of efficiency and failure to attain the highest standards of administrative ability
while holding high post would not by themselves constitute misconduct. There have
to be specific acts of omission/commission;
(c) Non-mention of date and time of misconduct and location of the incident in the
chargesheet amounts to denial of reasonable opportunity;
(d) Where charge is amended by issue of corrigendum during course of inquiry, failure
to permit charged official to file reply to amended charges and give opportunity to
defend himself vitiates inquiry proceedings;
(e) Past misconduct cannot be taken in to consideration without including the same in
the charge.

(iii)

Regarding Inquiry proceedings.

(a) When a witness is giving evidence, the other witnesses should not be present at the
inquiry;
(b) Earlier statements recorded in court proceedings cannot be relied upon in
departmental inquiry, when those witnesses are not produced for crossexamination;
(c) Charges cannot be proved or disproved on the basis of documents, without
adducing the oral evidence;
(d) Omission to supply copies of the statements recorded during investigation amounts
to reasonable opportunity and violates Article 311 of the Constitution;
(e) Report of Inquiry Officer must be reasoned one and discuss evidence and disclose
application of mind;
(f) Allowing a member of the investigation agency at whose instance investigation was
conducted to examine a witness or be present in the departmental inquiry vitiates
the inquiry;
(g) Rejection of inquiry report in toto by the Disciplinary Authority and appointment of
another inquiry officer to conduct a fresh inquiry is not permitted. The Disciplinary
Authority may ask the inquiry officer to record further evidence;
(h) Appointment of Inquiry Officer before receipt and consideration of statement of
defence is not proper and proceedings are liable to be quashed if prejudice is
caused;
(i) Charged Officer is entitled to supply of copies of document or, where voluminous, to
inspection of documents;
(j) The Inquiry Officer should not take into account any material which did not come up
during the course of inquiry.

(iv)

Regarding procedural/technical omissions

Recording of disagreement of the Disciplinary Authority with the findings of the Inquiry
officer in a manner where views of the Disciplinary Authority appear decisive in nature
instead of being tentative.

34

(v)

Regarding punishment
(a) Advice tendered by CVC is not binding on disciplinary authority;
(b) Recordable warning amounts to censure and cannot be imposed without following
prescribed procedure for imposition of a minor penalty.

(vi)

Regarding Appeals.
(a) Appellate authority is under obligation to consider all the three requirements;
(i)
whether procedure is complied with,
(ii)
whether finding is based on evidence and
(iii)
whether penalty is adequate. Order not disclosing consideration of all the
three elements is illegal. Order must indicate application of mind.

(vii)

Regarding delay in departmental action.

Inordinate delay in initiation of departmental inquiry coupled with subsequent
promotion of Charged Officer after coming to light of misconduct is sufficient ground
to disallow inquiry to be proceeded with.
It is worth notice that this is most common ground on which CAT/Court have
quashed the proceedings against employees. However it is also noticed that
courts/CAT are inclined to let the proceedings continue if the reasons of delay are
well explained by the Vigilance Unit. There are also instances where CAT quashed
the proceedings for the reasons of delay but, on appeal, the High Court has allowed
the department to continue with the proceedings.

6.12

Fee payable to the counsels

Fee payable to the counsels have been notified by the Ministry of Law and Justice vide their No. F.
No. 26(1)/2005-Judl. Dated 31.1.2008. Further vide OM No. 26(1)/2011 dated 1.9.2011 the Ministry
of Law and Justice has upgraded the ASG of various high Courts, Central Government standing
counsels of Delhi High Court and the Sr. Central Government Standing Counsels to SENIOR PANEL
COUNSELS and has enhanced the fee payable to them. Same is tabulated as below.
S. No.
1

2
3
4
5

Item of Work
Suits, Writ Petitions and Appeals,
including oral Applications for
Leave to Appeal to Supreme Court
in Writ Petitions
Application for Leave to Appeal to
Supreme Court in Writ Petitions
Settling pleadings
Miscellaneous Applications
Conference

Miscellaneous and out of pocket

expenses

Revised Fee
Rs.6000/- per case per day of effective
hearing. In case of non-effective hearing
Rs.1000/- per day subject to a maximum of 5
hearing
Rs.2000/- per case
Rs.2000/- per case
Rs.2000/- per case
Rs.600/- per conference subject to:(i)
for settling pleadings - One
conference
(ii)
In respect of hearing of Writ
matters, suits, appeals and
Supreme Court leave
applications etc. - Three
conference (Maximum)
As per actual to the satisfaction of the
administrative Ministry/Department
35

Chapter VII
APPEAL/REVISION/REVIEW
7.0
Vigilance unit has to frequently deal with the Appeals or Revision or Review Petitions made
by the employees aggrieved by the disciplinary action against them. It is important to understand all
the three terms clearly so that such petitions can be disposed quickly and appropriately under the
relevant rules as provided in the CCS (CCA) Rules 1965.
APPEAL
7.1 It is not open for an employee to make appeal against any order. Rule 22 of the CCS (CCA) Rules
1965 state the orders against which no appeal can be made. The orders against which appeal
can be made are given in Rule 23 of the said Rules. These rules are reproduced below.
Rule 22 Orders against which no appeal lies
(i)
any order made by the President;
(ii)
any order of an interlocutory nature or of the nature of a step-in-aid of the final disposal of a
disciplinary proceeding, other than an order of suspension;
(iii)
Any order passed by an inquiring authority in the course of an inquiry under Rule 14.
Rule 23 Orders against which appeal lies
Subject to the provisions of rule 22, a Government servant may prefer an appeal against all or any of
the following orders, namely:(i)
an order of suspension made or deemed to have been made under rule 10;
(ii)
an order imposing any of the penalties specified in rule 11, whether made by the disciplinary
authority or by any appellate or revising authority;
(iii)
an order enhancing any penalty, imposed under rule 11;
(iv)
an order which(a)
denies or varies to his disadvantage his pay, allowances, pension or other conditions
of service as regulated by rules or by agreement; or
(b)
interprets to his disadvantage the provisions of any such rule or agreement;
(v)
an order(a)
stopping him at the efficiency bar in the time-scale of pay on the ground of his
unfitness to cross the bar;
(b)
reverting him while officiating in a higher service, grade or post, to a lower service,
grade or post, otherwise than as a penalty;
(c)
reducing or withholding the pension or denying the maximum pension admissible to
him under the rules;
(d)
determining the subsistence and other allowances to be paid to him for the period of
suspension or for the period during which he is deemed to be under suspension or for
any portion thereof;
(e)
determining his pay and allowances(i)
for the period of suspension, or
(ii)
for the period from the date of his dismissal, removal or compulsory retirement
from service, or from the date of his reduction to a lower service, grade, post,
time-scale or stage in a time-scale of pay, to the date of his reinstatement or
restoration to his service, grade or post; or
(f)
determining whether or not the period from the date of his suspension or from the
date of his dismissal, removal, compulsory retirement or reduction to a lower service,
grade, post, time-scale of pay or stage in a time-scale of pay to the date of his
36

reinstatement or restoration to his service, grade or post shall be treated as a period

spent on duty for any purpose.
7.2 Appellate Authority
Appropriate Appellate authority for CPWD officers has been given in the CPWD Manual Volume I
(Staff, Establishment, Organisation and Office Procedure). These should be referred to determine
the competent appellate authority.
7.3 Period of limitation of Appeal
In terms of Rule 25 of the CCS (CCA) Rules an appeal should be made within a period of 45 days from
the date on which a copy of the order appealed against is delivered to the Appellant.
7.4 To whom appeal should be made
In terms of Rule 26 of the CCS (CCA) Rules, the Appeal must be presented to the authority to whom
appeal lies. The Appellant is also under the obligation to send a copy of his appeal to the authority
which made the order appealed against.
7.5 Role of the authority which made the order appealed against.
In terms of Rule 26 of the CCS (CCA) Rules, the authority which made the order appealed against, on
receipt a copy of the appeal, shall forward the same to the Appellate authority with his comments
on the appeal and the relevant record. (Such authority should not wait for any directions from the
Appellate authority).
This is the stage where the vigilance unit actually involves itself for the purpose of
examination of appeal after which it is submitted to the Appellate authority (Generally
MoUD).
Following information/records are required to be forwarded to the Appellate authority.
1.
2.
3.
4.
5.

Brief history of the case.

Parawise comments on the appeal.
Disciplinary case file along with documents relied upon in the inquiry proceedings.
CR dossier of the appellant.
Any other record relevant to the case.

7.6 Consideration of Appeal.

While considering the appeal against penalty order, following issues must be considered. Since
Vigilance unit examines the appeals on behalf of the Appellate authority, the procedure given below
is to be earnestly followed while examining the appeal.
1. In the case of an appeal against an order of suspension, the appellate authority shall
consider whether in the light of the provisions of rule 10 and having regard to the
circumstances of the case, the order of suspension is justified or not and confirm or
revoke the order accordingly;

37

2. In the case of an appeal against an order imposing any of the penalties specified in rule
11 or enhancing any penalty imposed under the said rules, the appellate authority shall
consider(a)

Whether the procedure laid down in CCS (CCA) rules have been complied
with and if not, whether such non-compliance has resulted in the violation
of any provisions of the Constitution of India or in the failure of justice;
Whether the findings of the disciplinary authority are warranted by the
evidence on the record; and
Whether the penalty or the enhanced penalty imposed is adequate,
inadequate or severe.

(b)
(c)

In view of the above it is worth notice that even if the Appellant has not brought out any
new points in appeal, it is obligatory on part of the Appellate authority (and vigilance unit,
for that matter) to discuss how there has been no procedural flaw or denial of opportunity
to defend and that findings of the disciplinary authority are based on the evidence and are
just.
7.7 Disposal of Appeal.
After consideration of appeal, the Appellate authority will pass the order
1.
2.

confirming, enhancing, reducing, or setting aside the penalty; or

remitting the case to the authority which imposed or enhanced the penalty or to
any other authority with such direction as it may deem fit in the circumstances of
the case :

However following provisions of the Rule 27 of the CCS (CCA) Rules must be kept in mind
1. If such enhanced penalty which the appellate authority proposes to impose is one of the
penalties specified in clauses (v) to (ix) of rule 11 and in inquiry under rule 14 has not
already been held in the case, the appellate authority shall, subject to the provisions of
rule 19, itself hold such inquiry or direct that such inquiry be held in accordance with
the provisions of rule 14 and thereafter, on a consideration of the proceedings of such
inquiry and make such orders as it may deem fit.
2. if the enhanced penalty which the appellate authority proposes to impose is one of the
penalties specified in clauses (v) to (ix) of rule 11 and an enquiry under rule 14 has been
held in the case, the appellate authority shall make such orders as it may deem fit after
the appellant has been given a reasonable opportunity of making a representation
against the proposed penalty.
3. No order imposing an enhanced penalty shall be made in any other case unless the
appellant has been given a reasonable opportunity, as far as may be, in accordance with
the provisions of rule 16, of making a representation against such enhanced penalty.
7.8 Consultation with the UPSC.
Consultations with the UPSC are necessary only in those cases where the appeal lies to the
President of India.

38

7.9 Issue of orders for disposal of Appeal.

In the cases where the appeal lies with the President, the orders are issued by the MoUD after the
submission of the case by the Vigilance unit to them.
In the cases where appeal lies with the DG, CPWD, the matter is handled by vigilance unit
from start to the final disposal. The final order is issued under the signatures of the DG,
CPWD.
7.10 REVISION
1. Who can revise the order and his powers
It must be borne in mind that original disciplinary authority can not revise or cancel its own
order. The authority to revise and his power is as given in the Rule 29 of the CCS (CCA) Rules,
which is being reproduced below:
Rule 29 Revision
(1)
Notwithstanding anything contained in these rules(i) the President; or
(ii) the Comptroller and Auditor-General, in the case of a Government servant serving in
the Indian Audit and Accounts Department; or
(iii) the Member (Personnel) Postal Services Board in the case of a Government servant
serving in or under the Postal Services Board and Adviser (Human Resources
Development), Department of Telecommunications in the case of a Government
servant serving in or under the Telecommunications Board; or
(iv) The Head of a Department directly under the Central Government, in the case of a
Government servant serving in a department or office (not being the Secretariat or
the Posts and Telegraphs Board), under the control of such Head of a Department;
or
(v) The appellate authority, within six months of the date of the order proposed to be
revised; or
(vi) Any other authority specified in this behalf by the President by a general or special
order, and within such time as may be prescribed in such general or special order;
may at any time, either on his or its own motion or otherwise call for the records of any
inquiry and revise any order made under these rules or under the rules repealed by rule 34
from which an appeal is allowed, but from which no appeal has been preferred or from
which no appeal is allowed, after consultation with the Commission where such
consultation is necessary, and may(a) confirm, modify or set aside the order; or
(b) confirm, reduce, enhance or set aside the penalty imposed by the order, or impose
any penalty where no penalty has been imposed; or
(c) remit the case to the authority which made the order or any other authority
directing such authority to make such further enquiry as it may consider proper in
the circumstances of the case; or
(d) pass such other orders as it may deem fit.
Provided that no order imposing or enhancing any penalty shall be made by any revising authority
unless the Government servant concerned has been given a reasonable opportunity of making a
representation against the penalty proposed and where it is proposed to impose any of the
39

penalties specified in clauses (v) to (ix) of rule 11 or to enhance the penalty imposed by the order
sought to be revised to any of the penalties specified in those clauses, and if an inquiry under rule
14 has not already been held in the case no such penalty shall be imposed except after an inquiry
in the manner laid down in rule 14 subject to the provisions of rule 19, and except after
consultation with the Commission where such consultation is necessary.
2. When can a revision petition be considered?
The revision petition can be considered only after the following
a. After expiry of the period of limitation for an appeal.
b. After disposal of appeal, if same is pending for the order of the appellant authority.
3. Purpose of Revision.
Though an employee can file a revision petition, the provisions relating to Revision is not
primarily designed as channel of redressal of grievances but for suo moto exercise of power
to correct any error of judgment that has crept in the order sought to be revised.
Provisions under Rule 29 also permits scrutiny by higher authority of penalty orders issued
by subordinate authority to ascertain correctness of the findings and conclusion drawn at
in the departmental inquiry and the adequacy of the punishment.
The revision petition should be dealt in the context explained above.
4. Limitation on consideration of Revision petition by the President
President has no jurisdiction to revise in terms of Rule 29, either suo moto or on application,
an original order made by the President himself.
5. Time limit for submission of Revision petition
CCS (CCA) Rules 1965 do not prescribe any time limit within which revision petition can be
submitted. However it is advisable to prefer such petition within 6 months of the issue of the
order sought to be revised.
6. Procedure for handling the Revision petitions
Revision petitions are handled in the same manner as Appeals.
7. Consultation with UPSC.
Consultation with UPSC are necessary if the President overrules or modifies an order
imposing any of the penalties specified in Clauses (v) to (ix) of the Rule 11 made by the
President or by a subordinate authority.
8. Consultation with the CVC.
In such cases where the UPSC is not to be consulted the cases at appeal/revision stage
should be referred to the Central Vigilance Commission where the appellate/revising
authorities propose to modify or set aside the penalty imposed in a case in which the
Central Vigilance Commission was earlier consulted. It will not be necessary to consult the
40

Central Vigilance Commission in cases, where the appellate/revising authority decides not to
set aside or modify a penalty imposed by a disciplinary authority. Moreover, so long as the
appellate/revising authority while modifying the penalty imposed by the disciplinary
authority on the advice of the CVC, still remains within the parameter of the major or minor
penalty, earlier advised by the Commission, there is no need to consult the Commission
again, as such a modification does not have the effect of departing from their advice. The
Commission should also be informed of the final outcome of all appellate/revision/review
proceedings, if as a result of such proceedings; the penalties imposed on the earlier advice
of the Commission are set aside or modified.
7.11

REVIEW

Rule 29A of the CCS (CCA) Rules 1965 deals with the Review and is reproduced below.
Rule 29A
The President may, at any time, either on his own motion or otherwise review any order passed
under these rules, when any new material or evidence which could not be produced or was not
available at the time of passing the order under review and which has the effect of changing the
nature of the case, has come, or has been brought, to his notice:
Provided that no order imposing or enhancing any penalty shall be made by the President unless
the Government servant concerned has been given a reasonable opportunity of making a
representation against the penalty proposed or where it is proposed to impose any of the major
penalties specified in rule 11 or to enhance the minor penalty imposed by the order sought to be
reviewed to any of the major penalties and if an enquiry under rule 14 has not already been held
in the case, no such penalty shall be imposed except after inquiring in the manner laid down in
rule 14, subject to the provisions of rule 19, and except after consultation with the Commission
where such consultation is necessary.
1. Competent authority for review.
Only President can exercise the powers of Review under Rule 29A
2. When a Review can be made?
As provided in the Rule 29 A itself, the President can review an order passed by him earlier in
revision if some new fact or material having the nature of changing the entire complexion of the
case comes to his notice. Rule 29-A, has been introduced specifying the power of the President
to make a review of any order passed earlier, including an order passed in revision under Rule
29, when any new fact or material which has the effect of changing the nature of the case comes
to his notice.
Thus the vigilance officer, while examining Review petition, must confine his scrutiny within
the scope of the review as stated above.
3. Consultation with UPSC.
Consultation with UPSC shall be necessary if the President decided to impose any of the said
penalties and in modification of an order under which none of the said penalties has been
imposed.

41

4. Scrutiny of the Review cases in the Vigilance unit

Review cases shall be examined and forwarded to the MoUD along with the comments and
all relevant disciplinary/Appeal case files and records for issue of order by the MoUD.

42

CHAPTER - VIII
VIGILANCE CASES MOINTORING INFORMATION SYSTEM (VIGMIS)
8.1

Objective:

The VIGMIS software based on WINDOWS platform is an important and effective tool for monitoring
of status of complaints & disciplinary cases registered in vigilance unit of CPWD. The software is
extensively used by vigilance unit for checking of vigilance status of an employee of CPWD for
various purposes like promotion, financial up gradation, deputation, foreign visit, Superannuation
benefits etc.

The software has been in use since December, 2004 but in old module complaints and disciplinary
cases were treated separately. The old module has been thoroughly restructured with effect from
2011 to make the VIGMIS a tool for generating comprehensive report on complaints, the stage of
investigation and inquiry, penalties imposed, CBI cases and cases in court.

8.2

Scope of the software:

The new restructured VIGMIS System is a web based system running presently in Intranet
environment within the Nirman Bhawan, New Delhi at URL http://10.21.56.17/vigmis. If desired it
can also run on Internet environment. The New System works on MS Windows Framework 3.5 as
front end with MS SQL Server 2008 as back end on MS Windows 2008 OS.

The VIGMIS software is basically designed to monitor complaints & cases received from various
sources like PMOs Office, Honble MPs, CVC, MoUD, CBI, Borrowing Authority, Private persons &
firms etc. The software is designed to categorize complaints & cases based upon sources involved.
8.3

Entry of Complaints, Cases and Stage updating:

The complaints received in vigilance unit are marked to AE (Computer Cell) by SE (V)s to register in
the VIGMIS software application. The registered complaints with unique identification number are
passed on to Executive Engineer (Vigilance) [EE (V)] concerned for necessary action as required
depending on the nature of complaint. The concerned EE (V) updates the stages achieved by the
complaint in the software. As per CVC guidelines a complaint is dealt broadly on following
parameters:
1.
Complaints filed without inquiry.
2.
Complaints filed after inquiry.
3.
Complaints passed on to other sections as no vigilance angle is involved in the complaint.
4.
Complaints passed on to the CBI for investigation/appropriate action.
5.
Complaint taken up for detailed investigation.
The software has been programmed to respond to various stages achieved, like the complaints are
closed for selection of 1 to 3 parameters and if a complaint is taken up for detailed investigation
then that complaint will reflect in pending complaints category. Similarly, depending upon the
43

decision taken by the disciplinary authority or CVC, the stage selection for that decision will prompt
EE (V) to select the desired option.
Once a decision is received from disciplinary authority or CVC to initiate the disciplinary proceedings,
the complaint is converted in to case as soon as the EE (V) selects disciplinary proceedings option
either for minor penalty or major penalty proceedings. The case is transferred to Engineer Officer
(Discipline) [EOD] for disciplinary proceedings by selection of case transfer option in the menu of
software.
The disciplinary proceedings stages are further categorized in to Minor penalty and Major penalty
proceedings. The software also tracks cases where an officer against whom disciplinary proceedings
have been initiated or concluded, is not satisfied with the proceedings files Appeal, Review petition,
Revision petition or goes to CAT/Court.
The CBI prosecution cases & Regular Departmental Action cases (CBI-RDA) are monitored separately
in the software.
8.4 Reports & Queries generation from the VIGMIS software:
8.4.1

The new restructured VIGMIS software can generate various reports & queries for specified
period like

i)
ii)
iii)
iv)
v)
vi)
vii)
viii)
ix)
x)

All Complaints received.

Pending complaints.
Pending complaints (Source wise selection)
Complaints closed.
Cases pending.
Officers involved in a complaint / case.
Sequence of stages achieved by a complaint or case.
The Vigilance Clearance Status of an officer can be checked with the use of this software.
CBI Cases reports (Prosecution and RDA).
Cases from borrowing authority.

8.4.2

Vigilance Index Card form has been developed for giving vigilance clearance. It includes
complete details of a complaint/case, including court details, suspension details and CBI
details.

8.4.3

CVC Monthly Reports for complaints, Departmental Inquiries, Prosecution Sanctions have
been incorporated in the restructured VIGMIS.

8.4.4

In the New System, complaints will be automatically converted into cases as soon as the 1st
state CVC advice for Major/Minor proceedings is received.

The use of software for various purposes has resulted in better & effective monitoring of complaints
and cases in less time. Since the software will be security audited by NIC, this will enable software to
go in public domain as and when need arises in future for better coordination with MoUD, CVC and
within CPWD.
The software has been programmed to respond to various stages achieved, like the complaints are
closed for selection of 1 to 3 parameters and if a complaint is taken up for detailed investigation
44

then that complaint will reflect in pending complaints category. Similarly, depending upon the
decision taken by the disciplinary authority or CVC, the stage selection for that decision will prompt
EE(V) to select the desired option.
Once a decision is received from disciplinary authority or CVC to initiate the disciplinary proceedings,
the complaint is converted in to case as soon as the EE(V) selects disciplinary proceedings option
either for minor penalty or major penalty proceedings. The case is transferred to Engineer Officer
(Disciplinary) [EOD] for disciplinary proceedings by selection of case transfer option in the menu of
software.
The disciplinary proceedings stages are further categorized in to Minor penalty and Major penalty
proceedings. The software also tracks cases where an officer against whom disciplinary proceedings
have been initiated or concluded, is not satisfied with the proceedings files Appeal, Review petition,
Revision petition or goes to CAT/Court.
The CBI prosecution cases & Regular Departmental Action cases (CBI.RDA) are monitored separately
in the software.

45

APPENDIX - 1
(Ref: Para 4.4)
No.006/PRC/1
Government of India
Central Vigilance Commission
Satarkta Bhawan, Block 'A'
GPO Complex, INA
New Delhi-1100023
Dated the 13th March 2006
Circular No. 14/3/06

Subject: Reference to the Commission for its advice - Documents including the draft charge sheet
to be enclosed for seeking first stage advice and the
documents to be enclosed for seeking
second stage advice - regarding

Reference :

(i) No.NZ/PRC/1 dated 9.5.2005

(ii) No. NZ/PRC/1 dated 26.2.2004

The Commission has been repeatedly emphasizing the need for sending complete information to the
Commission along with the relevant documents while seeking its advice. In particular, it was emphasized that
while seeking first stage advice, the draft charge sheet should be enclosed. It is a matter of serious concern that
these instructions are not being strictly complied with.
2.
In supersession of all earlier instructions it is reiterated that following material should be furnished to
the Commission while seeking its advice :(a)
A self contained note clearly bringing out the facts and the specific point(s) on which
Commission's advice is sought. The self contained note is meant to supplement and not to substitute
the sending of files and records.
(b)

The bio-data of the officer concerned in the enclosed format (Annexure-I).

(c)

Other documents required to be sent for first stage advice :(i)

(ii)
(iii)

officer.

(iv)
(v)
(vi)

A copy of the complaint/source information received and investigated by the CVOs.

A copy of the investigation report containing allegations in brief, the results of
investigation on each allegation;
Version of the concerned public servant on the established allegations, the reasons
why the version of the concerned public servant is not tenable/acceptable, and the
conclusions of the investigating officer.
Statements of witnesses and copies of the documents seized by the investigating
Comments of the Chief Vigilance Officer and the disciplinary authority on the
investigation report (including investigation done by the CBI and their
recommendation)
A copy of the draft charge sheet against the SPS alongwith the list of documents and
witnesses through which it is intended to prove the charges.

46

(d)

Other documents required for second stage advice :

(i)
(ii)
(iii)
(iv)

A copy of the charge sheet issued to the public servant;

A copy of the inquiry report submitted by the inquiring authority (alongwith a spare
copy for the Commission's records);
The entire case records of the inquiry, viz copies of the depositions, daily Order
sheets, exhibits, written briefs of the Presenting Officer and the Charged Officer;
Comments of the CVO and the disciplinary authority on the assessment of evidence
done by the inquiring authority and also on further course of action to be taken on
the inquiry report.
This is brought to the notice of all CVOs for strict compliance.
Sd/(V.Kannan)
Director

To
All Chief Vigilance Officers

47

Annexure
Bio-Data of the officer against whom Commission's advice is sought
1.

Name of the officer

2.

Designation
(a) At Present
(b) When the alleged misconduct was committed

3.

Service to which belongs

(Also please mention the cadre and year of allotment
In case of officers of the organized/All India Services)

4.

Date of Birth

5.

Date of Superannuation

6.

Level/Group of the present post and pay scale

:
:

7.

Date of Suspension (if under suspension)

8.

Disciplinary Rules applicable to concerned

Public servant

9.

Nature of misconduct, in brief (Like false TA Claims,

Exceeding delegated powers, supervisory lapses etc)

10.

Allegations/charges in details (which were

investigated/inquired) and results thereof

11.

Version of public servant on established allegations/

Charges (Separately for each allegation/Charge

12.

Reasons why version of public servant is not acceptable

13.

Misconduct imputed (whether lack of integrity and/or :

Devotion to duty) with relevant clauses of CDA Rules :

14.

Recommendation of CVO and disciplinary authority

On the findings of investigating/inquiring authority

15.

Involvement of officer in previous complaints, if any,

and results of investigations/inquiries authority
:

16.

Brief particulars of similar cases, if any, in the

Organization in which same or other officer might
have been indulged; and action taken in the matter

:
Signature of C.V.O________________
Date___________________________
Tel. No._________________________

48

APPENDIX - 1 -A
(Ref : Para 4.4)

No.006/PRC/1/27483
Government of India
Central Vigilance Commission

Satarkta Bhawan
GPO Complex, Block 'A' , INA
New Delhi - 110023.
Dated the December, 2008
Circular No. 32/12/08
Subject:

Reference to the Commission for advice - Information to be enclosed along with organisations'
recommendations.

The Commission in order to ensure correct assessment and speedy examination of the cases being
forwarded to it for obtaining its advice has been emphasizing on the need for sending complete details/records
pertaining to such case(s). However, it is noted that despite the Commission's circular No. 14/3/06 dated
13.3.2006 on the aforementioned subject, there is no uniformity regarding the manner of sending information to
it in cases where Commission's advice is being sought. The Commission with a view to further streamline the
procedure and to avoid delay on account of incomplete information, has decided that along with other
records/documents, the following tabular statement should accompany the organizations recommendations S
No
.

Name
Designatio
n of the
suspected
officer

Allegation
s in brief

Findings of the
investigation/inq
uiry on each
allegation

Defence
of the
suspecte
d officer

Comments/Recomme
ndation of the DA

Comments/Recommendatio
n of the CVO

2.
The information in the tabular statement should accompany the organizations' recommendations in both
first/second stage advice cases. This may be noted for strict compliance.

(Shalini Darbari)
Director
All Chief Vigilance Officers

49

APPENDIX -2
(Ref: Para 5.1)
List of Appointing Authorities, Disciplinary Authorities & Appellate Authorities in CPWD

SNo.

Post/Services

Appointing
Authority

Authority competent to impose penalties and penalties which it

may impose (with reference to Rule 11 of CCS(CCA)
Rules,1965)
Authority

1. Group 'A' (Other than

Officers belonging to the CSS)
viz Central Engineering service,
Central Elect. & Mech. Engg.
Service Group 'A' and

Penalties

President

Appellate
Authority

President

All

President

General Central Service Group 'A'

Consisting of the following: DG(W)/ADG(W)/ADG(ARCH)/CE/SE/EE/AEE/CA/ACA/SA/Architect/Dy Arch/Dir. Of Hort./Additional
Dir of Hor./FO to DG(W)/DD(H)

II

Group 'B' (other than officers belonging to the

CSS/CSSS.

DG(W)

a)
b)

DG(W)
CE(Vig)

a)
b)

All
President
For (i) to
(iv) only

DG(W)

Central Engg. Service Group 'B' 'C' &

Central Elect. Engg. Service Group 'B'
And
General Central Service Group 'B' consisting the
following
(a) Asstt. Director of Horticulture ]
(b) Asstt. Architect
]

DG(W)

DG(W)

All

President

(c)

DG(W)

DG(W)

All

President

Director of
Admn.

Director of
Admn.

All

DG(W)

DG(W)

DG(W)

All

Secretary in the
Ministry of Urban
Development
DG(W) for penalties
(i) to (iv)
(a)DG(W) for all
penalties (b) CE
(Vig) for penalties (i)
to (iv)

Chief Architectural Assistant

(Non Gazetted) (Previously
designated as
Chief Draftsman)

]
]
]
]

(d) Financial Officer to the Chief Engineer

III

Group 'cC' (Other than officers belonging to

CSS/CSSS/CSCS)
(1) Architectural Assistant (previously
designated as Architectural
Draftsman/Asstt. (Arch. Department)
(2)
(3) Circle Office Superintendent

Suptdg. Engineer

(i) to (iv)

(4) Ministerial & Engineering Drawing staff

of Subordinate office cadre

SE/
Director of
Horticulture

SE/
Director of
Horticulture

All

(5) Junior Engineer (Civil/Elect)

SE

SE

All

50

Concerned CE for all

IV

(6) Sectional Officer (Horticulture)

Director of
Horticulture

Director of
Horticulture

All

(7) All other miscellaneous posts in

Circles, Divisions and Sub-Divisions

SE

(a) SE/Director of
Horticulture

(a) CE(Vig) for all

penalties

(b) Divisional Officer

(i) to (iv)

CSS/CSCS/CSSS STAFF Group 'A', 'B' & 'C'

penalties.
-do-

(b) SEs for penalties

(i) to (iv) where
orders have been
passed by Divisional
Officer

(1) Dir. Of Admn. holding the rank of Dy. Secy to

the Govt of India

President

President

All

President

(2) Dy. Director of Admn. holding the rank of

Under Secretary to the Govt of India

President

President

All

President

(3) Section Officers of CSS

President

(i) President
(ii) DG(W)

All for (i) only

President

(4) Assistants of CSS

President

(i)President
(ii) DG(W)

All for (i) to (iv) only

President

(5) Stenographers - CSSS Grade I

President

All for (i) only

Do

(6) Stenographers - CSSS Grade II

President

(i)President
(ii) DG(W)
(i)President
(ii) DG(W)

All for (i) only

Do

Dy Secy in
the
Ministry

(i)Dy Secy in the

Ministry

All

Secretary in the
Ministry

Dy
Director of
Admn.
SE

Dy Director of Admn.

All

Director of Admn.

SE

All

CE concerned

EE

(i) EE
(ii) Sub-Divisional
Officer

All
For (i) to (iv only

SE/EE

(8) Upper Division Clerks & Lower Division

Clerks of CSCS

(ii) Director of
For (i) to (iv)
DG(W)
Admn.
NOTE: Items 2 - 4 are in accordance with Part II & III of the Schedule annexed to Department of Personnel Notification No. 7/3/68-Ests (A),
dated 21.8.71.
V

Group 'D' Staff

(1) In Central Office (all posts)
(2) In Central Office (all posts)
(3) In Divisional & Sub-Divisional Offices (all
posts)

51

Appendix- 3
(Ref: Para 5.4-A)
Standard form of Memorandum of charge for minor penalties.
[ Rule 16 of CCS (CCA) Rules, 1965]
No XYZ
Government of India
Ministry of X YZ
Dated XYZ
MEMORANDUM
Shri XYZ (Designation) XYZ (Office in which working) XYZ is hereby informed that it is proposed to
take action against him under Rule 16 of CCS (CCA) Rules, 1965. A statement of the imputations of misconduct
or misbehaviour on which action is proposed to be taken as mentioned above is enclosed.
2.
Shri XYZ is hereby given an opportunity to make such representation as he may wish to make against
the proposal.
3.
If Shri XYZ fails to submit his representation within 10 days of the receipt of this Memorandum, it will
be presumed that he has no representation to make and orders will be liable to be passed against Shri XYZ
exparte.
4.

The receipt of this Memorandum should be acknowledged by Shri XYZ .

1

(By order and in the name of the President)

Signature
Designation of the Competent Authority

To,

Shri XYZ.

52

Appendix- 4
(Ref: Para 5.4-B)
Standard form for initiation of minor penalty proceedings (in cases where disciplinary authority
decides to hold the inquiry)
[ Rule 16 of CCS (CCA) Rules, 1965]
No X YZ
Government of India
Ministry of XYZ
Dated XYZ
MEMORANDUM
In continuation of Memorandum No XYZ , dated, XYZ issued under Rule 16 of the CCS (CCA) Rules,
1965, the President/undersigned is of the opinion that it is necessary to hold an enquiry against Shri X YZ under
Rule 16 (1) (b) of the CCS (CCA) Rules, 1965. The substance of the imputation of misconduct or misbehavior in
respect of which the inquiry is proposed to be held is set out in the enclosed statements of article of charge
(Annexure-I). A statement of the imputation of misconduct or misbehavior in support of each article of charge is
enclosed (Annexure-II). A list of documents by which and a list of witnesses by whom the articles of charge are
proposed to be sustained are also enclosed (Annexure-III and IV).
2.
Shri XYZ is directed to submit within ten days of the receipt of this Memorandum a written statement of
his defence and also to state whether he desires to be heard in person.
3.
He is informed that an inquiry will be held only in respect of those articles of charge as are not
admitted. He should, therefore, specifically admit or deny each article of charge.
4.
Shri XYZ is further informed that if he does not submit his written statement of defence on or before
the date specified in Para-2 above, or does not appear in person before the Inquiring Authorities or otherwise
fails or refuses to comply with the provisions of Rules 14 and 16 of the CCS (CCA) Rules, 1965 or the
orders/directions issued in pursuance of the said Rule, the inquiring Authority may hold the inquiry against him
ex parte.
5.
Attention of Shri X YZ is invited to Rule 20 of the CCS (Conduct) Rules, 1964, under which no
Government servant shall bring or attempt to bring any political or outside influence to bear upon any superior
authority to further him interests in respect of matters pertaining to his service under Government. If any
representation is received on his behalf from another person in respect of any matter dealt with in these
proceedings, it will be presumed that Shri XYZ is aware of such a representation and that it has been made at
his instance and action will be taken against him for violation of Rule 20 of CCS (Conduct) Rules, 1964.
6.

The receipt of this Memorandum may be acknowledged.

(By order and in the name of the President)
Signature
Designation of the Competent Authority

To,
Shri XYZ

53

APPENDIX - 5
(Ref: Para - 5.5-A)
No.372/19/2011-AVD-III(Pt.I)
Government of India
Ministry of Personnel, Public Grievances & Pensions
Department of Personnel & Training
New Delhi, the September, 2011.
OFFICE MEMORANDUM
Subject:

Dispensing with second stage consultation with the CVC in disciplinary cases

The Government had constituted a Group of Ministers (GoM), on January, 2011 with the approval of
the Prime Minister to consider measures that can be taken by the Government to tackle corruption. One of the
terms of reference (ToR) of the GoM was to consider and advise on "Fast tracking of all cases of public servants
accused of corruption".
The GoM, while considering this (ToR) also considered certain important
recommendations of the Hota Committee (Committee of Experts to review the procedure of Disciplinary/Vigilance
Inquiries and recommended measures for their expeditious matters may be dispensed with. However, in those
cases where consultation with UPSC is not required as per extant rules/instructions, the second stage
consultation with CVC should continue.
The above recommendation of the GoM has been accepted by the Government with the approval of the
Prime Minister. All Ministries/Departments are, therefore, advised to strictly adhere to the new procedure with
immediate effect.
The Central Vigilance Commission has been separately requested to amend its Vigilance Manual and
other relevant instructions accordingly.
(V.M. Rathnam)
Deputy Secretary to the Government of India
Tel. No. 011-23094637
To
1.
2.
3.
4.

All Ministries/Departments as per standard list

Central Bureau of Investigation, CGO Complex, New Delhi.
Prime Minister's Office, South Block, New Delhi.
NIC, DoP&T for uploading on the website of the Department

Copy to:
1.

Central Vigilance Commission, Satarkata Bhawan, New Delhi.

54

APPENDIX - 6
(Ref : Para 5.5-B)
No.006/VGL/098
Government of India
Central Vigilance Commission

Satarkta Bhawan
GPO Complex, Block 'A' , INA
New Delhi - 110023.
Dated the December, 2008

Circular No. 39/10/06

Subject:

Difference of opinion with CVC's advice regarding quantum of penalty, etc.

Reference is invited to the Department of Personnel & Training O.M. No. 134/2/95-AD-I dated
13.6.1995 and the earlier instructions contained in Department of Personnel & Administrative Reforms
O.M. No. 118/2/78-AVD-I dated 28.9.78 on the above subject.
The Commission has observed that in a number of cases of disagreement with the Commission's advice,
the Commission has not been informed about the reasons for disagreement or whether a reference to
the DOPT, as required under the above instructions, was made. The CVOs are, therefore, directed to
ensure that before it is finally decided to disagree with the Commission's advice on further action on a
complaint or on an investigation report, or in a vigilance case, reference is made to the Department of
Personnel in respect of all such cases, where the appointing authority is the President or the
disagreement is due to UPSC's advice.
The CVOs may please note these instructions for strict compliance. They should also ensure that
wherever it has been finally decided to disagree with the Commission's advice, reasons for the same are
communicated to the Commission along with a final order in the case, to enable the Commission to
decide about inclusion of the case in its Annual Report.
SD/(V. KANNAN)
DISRECTOR

All Chief Vigilance Officers

55

APPENDIX 7
(Ref: Para 5.6.1)

Standard form of charge-sheet for major penalties

(Rule 14 of CCS (CCA) Rules
No. ZYZ
Government of India
Ministry of XYZ
Dated XYZ
MEMORANDUM
The President/undersigned proposes to hold an inquiry against Shri ZYZ under Rule 14 of the Central
Civil Services (Classification, Control and Appeal) Rules, 1965. The substance of the imputations of
misconduct or misbehavior in respect of which the inquiry is proposed to be held is set out in the
enclosed statement of articles of charge (Annexure-I). A statement of the imputations of misconduct or
misbehavior in support of each article of charge is enclosed (Annexure-II). A list of documents by
which, and a list of witnesses by whom, the articles of charge are proposed to be sustained are also
enclosed (Annexure-III and IV).
2.
Shri XYZ is directed to submit within 10 days of the receipt of this Memorandum a written
statement of his defence and also to state whether he desires to be heard in person.
3.
He is informed that an inquiry will be held only in respect of those articles of charge as are not
admitted. He should, therefore, specifically admit or deny each article of charge.
4.
Shri XYZ is further informed that if he does not submit his written statement of defence on or
before the date specified in Para-2 above, or does not appear in person before the inquiring authority or
otherwise fails or refuses to comply with the provisions of Rule 14 of the CCS(CCA) Rule, 1965, or the
orders/directions issued in pursuance of the said rule, the inquiring authority may hold the inquiry
against him ex.parte.
5.
Attention of Shri XYZ is invited to Rule 20 of the Central Civil Services (Conduct) Rule, 1964,
under which no Government servant shall bring or attempt to bring any political or outside influence to
bear upon any superior authority to further his interest in respect of matters pertaining to his service
under the Government. If any representation is received on his behalf from another person in respect
of any matter dealt with in these proceedings, it will be presumed that Shri XYZ is aware of such a
representation and that it has been made at his instance and action will be taken against him for
violation of Rule 20 of the CCS (Conduct) Rule, 1964.
6. The receipt of the Memorandum may be acknowledged
1

(By order and in the name of the President)

(XYZ)

Name and designation of Competent Authority

56

-I
servant)

Statement of articles of charge framed against Shri XYZ (name and designation of the Government
Article - I
That the said Shri XYZ while functioning as XYZ during the period XYZ
Article - II
That during the aforesaid period and while functioning in the aforesaid office, the said Shri XYZ.
- II
Statement of imputation of misconduct or misbehavior in support of the articles of charge framed
against Shri XYZ (name and designation of the Government Servant).
Article - I
Article - II
- III
List of documents by which the articles of charge framed against Shri XYZ (name and designation of the
Government Servant) are proposed to be sustained.

- IV
List of documents by whom the articles of charge framed against Shri XYZ (name and designation of the
Government Servant) are proposed to be sustained.

57

APPENDIX -8
(Ref: Para 5.6.2)
(12)
defense :-

Whether charges can be dropped at the stage of initial written statement of

A question has been under consideration whether Rule 14 (5) (a) of the CCS (CCA) Rules, 1965 permits
the dropping of charges by the disciplinary authority after considering the written statement of defence
submitted by the accused Government servant under Rule 14 (4) ibid. The question has been
considered in consultation with the Ministry of Law and the position is clarified as under :(a)
The disciplinary authority has the inherent power to review and modify the articles of charge or
drop some of the charges or all the charges after the receipt and examination of the written statement
of defence submitted by the accused Government servant under Rule 14 (4) of the CCS (CCA) Rules,
1965.
(b)
The disciplinary authority is not bound to appoint an Inquiry Officer for conducting an inquiry
into the charges which are not admitted by the accused official but about which the disciplinary
authority is satisfied on the basis of the written statement of defence that there is no further cause to
proceed with.
2.
It may, however, be noted that the exercise of powers to drop the charges after the
consideration of the written statement of defence by the accused Government servant will be subject to
the following conditions :(a)
In cases arising out of investigations by the Central Bureau of Investigation, the CBI should be
consulted before a decision is taken to drop any of, or all the charges on the basis of the written
statement of defence submitted by the accused Government servant. The reasons recorded by the
disciplinary authority for dropping the charges should also be intimated to the Central Bureau of
Investigation.
(b)
The Central Vigilance Commission should be consulted where the disciplinary proceedings were
initiated on the advice of the Commission and the intention is to drop or modify any of, or all the
charges on the basis of the written statement of defence submitted by the accused Government
servant.
[G.I., MHA OM No. 11012/2/79-Estt.(A) dated the 12th March, 1981 and OM No. 11012/8/82-Estt.(A)
dated the 8th December, 1982]

58

APPENDIX - 9
(Ref: Para 5.6.4)

No.006/PRC/1
Government of India
Central Vigilance Commission
Satarkta Bhawan, Block 'A'
GPO Complex, INA
New Delhi-1100023
Dated the September 2000
To
All Chief Vigilance Officers of Ministries/Departments of Government of
India/Nationalized Banks/PSUs/Autonomous Bodies, Societies etc..
Subject: Consultation with the CVC - Making available a copy of the CVC's advice
to the concerned employee
Sir,
Para 3.6 (iii), chapter XI and para 8.6, Chapter XII of the Vigilance Manual, Vol.I, provide that
the advice tendered by the Central Vigilance Commission is of a confidential nature meant to
assist the disciplinary authority and should not be shown to the concerned employee. It also
mention that the Central Vigilance Commission tenders its advice in confidence and its
advice is a privileged communication and, therefore, no reference to the advice tendered by
the Commission should be made in any formal Order.
2. The Commission has reviewed the above instructions in view of its policy that there should
be transparency in all matters, as far as possible. The Commission has observed that the
Hon'ble Supreme Court had held a view in the case - State Bank of India Vs. D.C. Aggarwal
ands another (Date of judgment: 13.10.1992) - that non-supply of CVC's instructions, which
was prepared behind the back of respondent without his participation, and one does not
know on what material, which was not only sent to the disciplinary authority but was
examined and relied, was certainly violative of procedural safeguard and contrary to fair and
just inquiry. Further, the Hon'ble High Court of Karnataka at Bangalore, in Writ Petition No.
6558/93, has also observed that if a copy of the report (CVC's advice) was furnished to the
delinquent officer, he would have been in a position to demonstrate before the disciplinary
authority either to drop the proceedings or to impose lesser punishment instead of following
blindly the direction in the CVC's report.
3. The Commission, at present, is being consulted at two stages in disciplinary proceedings, i.e.
first stage advice is obtained on the investigation report before issue of the charge sheet,
and second stage advice is obtained either on receipt of reply to the charge sheet or on
receipt of inquiry report. It, however, does not seem necessary to call for the representation
of the concerned employee on the first stage advice as the concerned employee, in any case,
gets an opportunity to represent against the proposal for initiation of departmental
proceedings against him. Therefore, a copy of the Commission's first stage advice may be
made available to the concerned employee along with a copy of the charge sheet served
upon him, for his information. However, when the CVC's second stage advice is obtained, a
copy thereof may be made available to the concerned employee, along with the Inquiry
59

Officer's report, to give him an opportunity to make representation against Inquiry Officer's
findings and the CVC's advice, if he desires to do so.
4. In view of the position stated above, para 3.6 (iii), Chapter XI and para 8.6, Chapter XII of the
Vigilance Manual, Vol.I and also para 2 of the Commission's letter No. 6/3/73-R dated
20.8.1973 may be treated as deleted.
5. Para 12.4.4. of Special Chapter on Vigilance Management in Public Sector Banks and para
22.6.4 of the Special Chapter on Vigilance Management in Public Sector Enterprises envisage
that the inquiring authorities, including the CDI's borne on the strength of the Commission,
would submit their reports to the disciplinary authority who would then forward the Inquiry
Officer's reports, along with its own tentative views to the Commission for its second stage
advice. The existing procedure in this regard may broadly continue. The disciplinary
authority may, after examination of the inquiry report, communicate its tentative views to
the Commission. The commission would thereafter communicate its advice. This, along
with the disciplinary authority's advice, may be made available to the concerned employee.
On receiving his representation, if any, the disciplinary authority may impose a penalty in
accordance with the Commission's advice or if it feels that the employee's representation
warrants consideration, forward the same, along with the records of the case, to the
Commission for its reconsideration.
6. Thus, if on the receipt of the employee's representation, the concerned administrative
authority proposes to accept the CVC's advice, it may issue the orders accordingly. But if the
administrative authority comes to the conclusion that the representation of the concerned
employee necessitates, reconsideration of the Commission's advice, the matter would be
referred to the Commission.
Yours faithfully
Sd/(K.L. Ahuja)
Officer on Special Duty

60

APPENDIX- 10
(Ref: Para 5.6.5)
Disciplinary cases need for issuing speaking orders by competent authorities :As is well known and settled by courts, disciplinary proceedings against employees conducted under the
provisions of CCS (CCA) Rules, 1965, or under other corresponding rules, are quasi-judicial in nature
and as such, it is necessary that orders in such proceedings are issued only by the competent
authorities who have been specified as disciplinary/appellate/reviewing authorities under the relevant
rules and the orders issued by such authorities should have the attributes of a judicial order. The
Supreme Court, the case of Mahavir Prasad Vs. State of U.P. (AIR 1970 SC 1302), observed that
recording of reasons in support of a decision by a quasi-judicial authority is obligatory as it ensures that
the decision is reached according to law and is not a result of cap-rice, whim or fancy, or reached on
ground of policy or expediency. The necessity to record reasons is greater if the order is subject to
appeal.
2.

However, instances have come to the notice of this Department where the final orders passed by the
competent disciplinary/appellate authorities do not contain the reasons on the basis whereof the
decisions communicated by that order were reached. Since such orders may not conform to legal
requirements, they may be liable to be held invalid, if challenged in a court of Law. It is, therefore,
impressed upon all concerned that the authorities exercising disciplinary powers should issue selfcontained speaking and reasoned orders conforming to the aforesaid legal requirements.

3.

Instances have also come to notice where, though the decisions in disciplinary/appellate cases were
taken by the competent disciplinary/appellate authorities in the files, the final orders were not issued by
that authority but only by a lower authority. As mentioned above, the disciplinary/appellate/ reviewing
authorities exercise quasi-judicial powers and as such, they cannot delegate their powers to their
subordinates. It is therefore, essential that the decision taken by such authorities are communicated by
the competent authority under their own signatures, and the order so issued should comply with the
legal requirements as indicated in the preceding paragraphs. It is only in those cases where the
President is the prescribed disciplinary/appellate/reviewing authority and where the Minister concerned
has considered the case and given his orders that an order may be authenticated by an officer, who has
been authorized to authenticate orders in the name of the President.
[ Deptt. of Personnel & A.R. OM No. 134/1/81-AVD-I

61

dated 13.07.1981 ]