FOR OFFICIAL USE ONLY
GOVERNMENT OF INDIA
MINISTRY OF RAILWAYS
The Vigilance Manual which was first published in 1970 was last updated and revised in 1996. In the decade since then, there have been innumerable amendments and changes in the procedures, rules and policies relating to the vigilance portfolio in response to new issues and problems confronting the Government and the Railway organisation. It was becoming increasingly difficult to keep track of the various amendments and circulars that have been issued from time to time in the last ten years. In point of fact, the Compendium of supplementary instructions to the Vigilance Manual had become bulkier than the original Manual. This revision was long overdue. The Vigilance Manual in its new avatar hopefully incorporates all the relevant and essential information that not only the vigilance official needs to know but also anybody else wishing to be educated in the nuances of vigilance working. Yes, the Vigilance Manual is no longer a privileged, confidential document but will be available for general use.
It needs to be mentioned that revising the Manual invariably involved considerable selection and deletion, but we are sanguine that most of what is important in Vigilance matters has been covered in as readable a style as possible. The reader must, however, be warned that there are some overlaps but these were deliberate, in order to avoid too many cross-references.
A note of caution. The various provisions in the Manual do not supercede the rules contained in any of the Railway Codes and in case of any conflict in versions, the provisions in the Railway Code shall prevail. Particularly in the sphere of Establishment and D&AR matters, a reference should always be made to the original rules and instructions. For ease of reference, the paragraphs in the Manual have been numbered according to a four figure ?CODE? in which the last two numbers indicate the number of the paragraph and the first 1 or 2 figures gives the chapter number. Thus, paragraph 101 is paragraph 1 of Chapter 1 of the Manual and 1011 is paragraph 11 of Chapter X. Sub-paragraphs have also been similarly numbered. Thus, 209.9 is sub-paragraph 9 of paragraph 09 of Chapter II. Annexures have also been numbered likewise. Thus, Annexure I/3 is Annexure 3 of Chapter I and Annexure I/6.4 is Sub-Annexure 4 of Aannexure 6 of Chapter I.
If there ever was a sterling example of a collective, cohesive and harmonious group effort, the process of compilation of this Manual has witnessed it. A Manual which is so all-encompassing and diverse in its sweep can never succeed as an individual effort. I am indeed fortunate that the Vigilance Directorate has individuals with the knowledge, commitment and communication skills to undertake this onerous assignment. As the ?non-playing? conductor of this highly talented orchestra, I gratefully acknowledge the tremendous work put in by the Officers and staff of the Vigilance Directorate. However, some need to be specially mentioned:
The revision of the Vigilance Manual could not have been possible without Shri Adesh Sharma, EDVE. His comprehensive grasp of all vigilance-related issues coupled with his painstaking editing were a vital factor in this revision. One cannot thank Shri Amit Varadan, DVT and Shri Subramanian, JDV(A&P) enough for their contributions. Their sheer virtuosity with the language and their knowledge greatly enhanced the quality of this Manual. There were some very special inputs by Shri Satya Prakash, DVE-II, Shri Ramashray Pandey, DVE-I, Shri R.K.Bhatnagar, JDV(R&SC), Shri N.K.Sharma, JDV(S) and Shri Vijayan Nair, DDV(I), which are gratefully acknowledged. For their contributions in conceptualising the various subjects and clarifying the main themes, I thank Shri Rakesh Aron, EDVS, Smt.Vandana Nanda, EDVA and Shri Arvind Kumar, EDVT. And who can ignore the immense contribution of Shri Sanjay Goel, DV(M) who nursed the Vigilance Manual to fruition. Thank you, Sanjay! My thanks to Shri K.K.Sharma, JS(E&P) and Shri Manish Tiwari, DIP for their contributions. I also gratefully acknowledge the work done by Shri A.K.Madhok, DD/V-1, Smt.Janaki Ramesh, PPS/AMV and Smt.Usha Gopalakrishnan, PPS/DV(M) who have helped at various stages in the revision of this Manual.
In this kaleidoscopic, fast changing world, constant updating is essential in order to keep abreast with events and issues. In case there are suggestions for amendments or improvements in the Manual, these may be sent in writing to the Secretary (Vigilance), Railway Board for consideration.
Addl. Member (Vigilance)
C O N T E N T S
CHAPTER I 1 to 23
RAILWAY VIGILANCE ORGANIZATION AND ITS ROLE
101 - Definition of Corruption, 102 - Evolution of Vigilance Organization, 103 - Present Structure of the Vigilance Organization on Indian Railways, 104 - Functions & responsibilities of Vigilance functionaries, 105 - Duties of the CVOs on the Railways, 106 - Appointment of Officers/Staff for Vigilance work, 107 - Duties of functionaries in the Vigilance Directorate, Railway Board 108 - Vigilance Bulletin, 109 - Conclusion, Annexures I/1 to I/6.4
CHAPTER II 24 to 61
CENTRAL VIGILANCE COMMISSION (CVC)
201 - Objectives of establishing CVC, 202 - Statutory status to CVC Under CVC Act 2003, 203 - Powers & functions of CVC, 204 - Jurisdiction of CVC, 205 - Organization of CVC, 206 - Vigilance angle, 207 - Cases that have to be sent by Railway Board to CVC for advice, 208 - CVC and complaints, 209 - Stages at which CVC is consulted in Gazetted cases, 210 - Commissioners of Departmental inquiries (CDI), 211 - Mode of communication between Ministries/Departments & CVC, 212 - Procedure to be followed in prosecution cases, 213 - Statements/returns to be submitted to CVC, 214 - Intensive Examination by Chief Technical Exminer (CTE)/CVC, 215 - Action to be taken on CTE?s Reports, List of References, Annexure II/1 (Standard layout of speaking order for grant of ?sanction for prosecution? and ?sanction order?), Annexures II/2 to II/8 (Pertaining to CTE/CVC)
CHAPTER III 62 to 88
CENTRAL BUREAU OF INVESTIGATION
301 - Evolution, 302 - Present Structure, jurisdiction & functions of CBI, 303 - Investigation by CBI, 304 - Co-operation with CBI, 305 - Action to be taken when bribe is offered, 306 - Trap cases, 307 - Departmental Trap cases ? Procedure & Guidelines, 308 - Transfer of an officer on the request of CBI, 309 - Assistance to CBI by Technical officers, 310 - Suspension, 311 - Prosecution, 312 - Withdrawal of prosecution, 313 - Departmental Action, 314 - Supply of documents by CBI to the Disciplinary Authority, 315 - Draft charge-sheet, 316 - Appointment of Presenting Officer, 317 - Examination of witnesses as cited by CBI by the IO, 318 - Documents to be made available to CBI after Departmental proceedings, 319 - Difference of opinion between CBI and Administrative Authorities, 320 - Grant of immunity/pardon, 321 - Liaison between CBI and the Administrative Authorities, 322 - Agreed List/Secret List, 323 - Railway Sectional Officers(RSOs), List of References, Annexure III/1 (List of Sensitive Posts)
CHAPTER IV 89 to 102
INVESTIGATION OF COMPLAINTS BY RAILWAY VIGILANCE
401 - Introduction, 402 - Complaints, 403 - Source information, 404 - Registration of complaints, 405 - Action on anonymous and pseudonymous complaints, 406 & 407 - Examination of complaints, 408 - Verification of genuineness, 409 - Complaints received under Public Interest Disclosure, 410 - Priority for complaints referred for investigation by CVC, 411 - Investigations, 412 ? Investigation of cases by Railway Board Vigilance, 413 - Registration of a case against Railway officials, 414 - Preparation and submission of the investigation report, 415 - Investigation of complaints against officers already in deputation to other Ministries / PSUs, 416 ? Preventive checks, 417 - Closure of cases, List of references
CHAPTER V 103 to 110
PROCESSING OF VIGILANCE CASES IN RAILWAY BOARD
501 to 510 ? Introduction, 511 & 512 ? Procedure for obtaining CVC?s first stage advice in cases relating to CBI?s request for prosecution, 513 - Reference to CVC for 2nd stage advice, 514 - Imposition of penalties, 515 - Consultation with the CVC- making available a copy of CVC?s advice to the concerned official, List of References.
CHAPTER VI 111 to 124
601 - Suspension, 602 - Competent Authority, 603 - Circumstances for suspension, 604 - Guiding Principles for Suspension, 605 - Headquarters of Suspended officer, 606 - Suspension Orders, 607 - Review of cases of suspension, 608 - Review of orders of suspension in trap cases, 609 - Continuation of departmental proceedings against retired Railway servants who were under suspension on the date of their retirement, 610 - Effect of suspension, 611 - Railway servant under suspension acting as a counsel, 612 - Writing of ACRs by officers under Suspension, 613 - Pay during suspension, 614 - Reckoning of the period of suspension followed by Removal or Dismissal or Compulsory retirement from service, 615 - Reinstatement ? Payment of pay and allowances, 616 - Certain Instructions in Regard to Rule 1343 to 1345 ? R.II, 617 ? Standard Forms, 618 - Signing of the Standard Forms, 619 - Revocation of suspension by specific order, 620 - Appeals against Orders of Suspension.
CHAPTER VII 125 to 137
VIGILANCE CLEARANCE FOR MANAGEMENT DECISIONS
701 & 702 - Ensuring integrity of public servants, 703 - Procedure in vogue in the Board?s office for Vigilance clearance, 704 - General, List of References, Annexures VII/1 & VII/2 (Guidelines for Vigilance Clearance)
CHAPTER VIII 138 to 176
RELEVANT ASPECTS OF RAILWAY SERVANTS (DISCIPLINE & APPEAL) RULES, 1968 FOR VIGILANCE WORK
801 - Application of D&A Rules, 802 - Appointing Authority, 803 - Disciplinary Authority, 804 - Railway servant, 805 - Inquiry Authority, 806 - Protection of rights and privileges conferred by any law or agreement, 807 - Penalties under Discipline & Appeal Rules, 808 - Procedure for imposition of minor penalties, 809 - Withholding of increments, 810 - Withholding of privilege Passes and P.T.O.s, 811 - Penalty of recovery from pay of loss caused to Government in addition to another penalty, 812 - Framing of charge and calling for written statement of defence, 813 - Procedure for imposition of major penalties, 814 - Administrative Action, 815 - Instructions for placing of warnings/Displeasure etc. in the CR/Personal file, 816 - Appointment of Board of Inquiry or Inquiry Officer, 817 - Permission to inspect official records, 818 - Inquiry Procedure, 819 - Procedure to be followed after the inquiry is completed by the Railway Inquiry officers, 820 - Disciplinary Authority?s finding on the Inquiry Report and imposition of penalty, 821 - Non-CVC vigilance cases pertaining to Group ?C? and Group ?D? employees ? consultation with Vigilance, 822 - Communication of orders, 823 - Common Proceedings, 824 - Special procedures in certain cases, 825(1) - Model time schedule for disciplinary cases initiated by the executive and 825(2) - Model time schedule for disciplinary cases initiated as a result of vigilance investigations and in consultation with the Central Vigilance Commission, 826 - Cognizance of hearsay evidence, 827(a) - Provision regarding Railway servants lent to other Ministry or Department of the Central Government, State Governments, etc.(b) Provision regarding officers borrowed from Central or State Governments, etc., 828 - Appeals, Revision and Review, 829 - Railway Servants convicted on criminal charge- Action thereon, 830 - Penalty of gambling, 831 - Conviction under Customs Act, 832 - Termination of Disciplinary Proceedings, 833 - Standard of proof required in a Disciplinary Enquiry, 834 - Role of Presenting officers/Assisting officers, 835 - Defence Counsel in absence of the accused, 836 - Amendment of the charge-sheet, 837 - Documents which can be safely denied, 838 - Production of priced publications as additional documents, 839 - Reducing delays in Departmental Inquiries, 840 - Disagreement with the Enquiry officer, Annexure VIII/1 (Miscellaneous provisions regarding grant of leave, T.A., Passes etc. to ?accused Railway Servants? and ?Assisting Railway Servants?)
CHAPTER IX 177 to 189
THE ROLE AND FUNCTIONS OF THE INQUIRY COMMITTEE/ENQUIRY OFFICER IN DISCIPLINARY PROCEEDINGS
901 - Introduction, 902 - Who should be appointed as Inquiry Officer, 903 - Application alleging bias against the Inquiry Officer, 904 - Role and Functions of Inquiry Officer, 905 - Action by the Inquiry Officer, 906 - Preliminary Hearing, 907 - Regular Hearing, 908 - Daily Order Sheet, 909 - Findings on New Charge, 910 - Ex-Parte Inquiry, 911 - Change of Inquiry Officer, 912 - Stay of Proceedings, 913 - Standard of Proof, 914 - Evaluation of Evidence, 915 - Report of Inquiry Officer, 916 - Guiding Principles for Conducting of Enquiries
CHAPTER X 190 to 196
INSTRUCTIONS FOR THE GUIDANCE OF OFFICIALS DEALING WITH DISCIPLINARY CASES, APPEALS, REVISION AND REVIEW UNDER THE RAILWAY SERVANTS (DISCIPLINE & APPEAL) RULES, 1968
1001 - Responsibility of Disciplinary Authority, 1002 - Service of charge-sheet, 1003 - Inspection of Documents, 1004 - Reply to charge-sheet, 1005 - Consideration of and Decision on the reply to the charge-sheet, 1006 - Action after Enquiry Report, 1007 - Appeals, 1008 - Need for issuing ?Reasoned and Speaking Orders? by Disciplinary/Appellate authority on Discipline and Appeal cases, 1009 - Revision, 1010 - Review
CHAPTER XI 197 to 223
REGISTRATION, DEMOTION & REMOVAL FROM THE APPROVED LIST AND SUSPENSION & BANNING OF BUSINESS DEALINGS ETC. OF SUPPLIERS AND BUILDING CONTRACTORS
A - STANDARDISED CODE FOR SUPPLIERS, 1101 - Procedure, 1102 - Definitions, 1103 - Approved List of Suppliers, 1104 - Registration, 1105 - Removal, 1106 - Conditions for Removal, 1107 - Communication of Orders, 1108 - Certain Clarifications, 1109 - Procedure for Removal from the List of Approved Suppliers, 1110 - Suspension, 1111 - Competence of Authority, 1112 - Procedure for Suspension, 1113 - Banning, 1114 - Banning by one Ministry, 1115 - Banning by all Ministries, 1116 - Show Cause Notice, 1117 - Revocation of Orders, 1118 - Communication to Firms, 1119 - Clearing and Transport Organization, 1120 - Review, 1121 - Maintenance of Up-to-date List, 1122 - Clarification of Orders, 1123 - Procedure to be followed by Railways, Production Units etc. for Banning of Business applicable to all Ministries, 1124 - Procedure to be followed by Railways, Production Units, etc. for Banning of Business applicable to one Ministry, 1125 - Extension of Banning Orders to Allied/Sister Concerns, 1126 - Procedure to be followed in Board?s office for Suspension/Banning of Business applicable to Ministry of Railways only, 1127 - Procedure to be followed in Railway Board?s office for Banning of Business applicable to all Ministries of the Government of India, B - STANDARDISED CASE FOR BUILDING CONTRACTORS, 1128 - Procedure, 1129 - Safeguard, 1130 - Code for Building and Works Contracts, 1131 - General, Annexures XI/1 to XI/7 (Pertaining to Banning of Business)
CHAPTER XII 224 to 260
1201 - Role of E(O)I Branch of Railway Board in Vigilance related DAR cases, 1202 - Role of Establishment (D&A) Branch of Railway Board, 1203 - Role of Personnel Branch of Zonal Railways in Vigilance related DAR cases, 1204 - Handling of Vigilance cases in Public Sector Undertakings, 1205 - Posting and tenure of officers in the Vigilance Organization, 1206 - Posting & Tenure of Vigilance Inspectors/Investigating Inspectors/Enquiry Officers, 1207 - Selection of Investigating Inspectors in Railway Board, 1208 - Selection of Vigilance Inspectors in Zonal Railways, 1209 - Training of Vigilance officials, 1210 - Issue of Identity Cards to Vigilance officials, 1211 - Preventive Checks, 1212 - CVC?s directives on putting the tenders/contracts on website, 1213 - Website of CVC, 1214 - Preservation of various types of records of Vigilance Department, 1215 - Right to Information Act, 2005, List of References, Annexures XII/1 to XII/8 (Pertaining to Preventive Checks)