Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, PuriSESSION OVERVIEWCorruption is one of the mostdamaging consequences of poorgovernance. It undermines investmentand economic growth, decreases theresources available for humandevelopment goals, deepens the extentof poverty, subverts the judicialsystem, and undermines the legitimacyof the state. In fact, when corruptionbecomes entrenched, it can devastatethe entire economic, political, andsocial fabric of a country.There is an urgent need to createa zero tolerance for corruption, whichmust be embedded in legislativeframeworks. Corruption continuesuntil the corrupt are caught andpunished. In this session we will bediscussing salient features ofPrevention of Corruption Act, 1988,to understand the formal statute so asto enforce the laws fairly.We will also discuss theprovisions of CCS (Conduct) Rules,1964 relevant to vigilance matters andvarious orders/ instructions issued byGOI/ CVC/CAG on the matter.Under the CCS (Conduct) Rules,a Government servant is expected tomaintain absolute integrity, showdevotion to duty and not exhibitconduct unbecoming of a Governmentservant, as already explained in theearlier session devoted on the subjectof CCS (Conduct) Rules. By now weare aware that the Conduct Rulesrequire all Government servants tomaintain certain standards of disciplineand decorum. Abuse of authority is aserious violation of both the ConductRules and provisions of Prevention ofCorruption Act.LEARNING OBJECTIVEIn this session the participantswill understand their rights and the rolethat they can play in fightingcorruption. The lesson aims to launch asystematic campaign againstcorruption by involving all members ofan organization in fighting this socialevil and to educate them about thedangers of corruption and sensitisethem about the evil consequences ofcorruption.A. PREVENTION OFCORRUPTION ACT, 19881. Basic concept1.1 Corruption is defined as the useof public office for private gain. Whenit becomes entrenched and systemic,its negative influence on economic andsocial development multiplies.Fighting corruption has therefore,become a rhetorical, rather than anactual priority. The legal framework,aiming at a substantial elimination ofmajor sources of corruption, is laiddown in Prevention of CorruptionAct, 1988.1.2 The present Act consolidates theprovisions of Prevention of CorruptionAct, 1947, Section 161 to 165A of theIndian Penal Code (IPC), andCriminal Law (Amendment) Act,1952. The sole idea is that the relevantprovisions are brought in the singleAct, which will make it convenient torefer to the various provisions of the
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, PuriAct more effectively to curb themenace of corruption among the publicservants.1.3 Criminal misconduct, referred asoffence under the Act, includes whenthe public servant misappropriates theproperty entrusted to him. When heobtains a valuable thing by abusing hisofficial position and when he is inpossession of disproportionate assets tothe known sources of his income.Habitual bribe taking increases thegravity of the offence under IPC.Abuse of office is another criminalmisconduct. When a public servantobtains a valuable thing or pecuniaryadvantage by corrupt or illegal meansor by abusing his official authority, hecommits a criminal misconduct.2. Date of effect2.1 The Act received the consent ofthe President of India on September 9,1988(Act, No, 49 of 1988) and cameinto force on that date.3. Applicability3.1 The Act extends to the whole ofIndia except the State of Jammu andKashmir and it is applies also to allcitizens of India outside India.B. PREVENTION OFCORRUPTION ACT, 1988 -Salient Features1. The essential feature of this Act isthat it makes it obligatory for the Courtto make certain presumptions of guiltagainst the accused. It is radicaldeparture from the normal rule underwhich the prosecution is required toprove ‘beyond doubt’ all theingredients of an offence.1.1 Prevention of Corruption Act,1988, hereinafter referred as ‘the Act’consists of 31 sections coveringdifferent authorities, offences and thepunishments. The Act is divided intofive Chapters.2. Chapter I2.1 This is preliminary chapter.Section 1 gives extent of the Act andSec 2 defines various terms used inthe Act.2.2 The term ‘public servant’ ascontained in section 21 of IPC hasbeen enlarged to include a largenumber of employees within the ambitof definition by incorporating sections2(c)(iii) and 2(c)(ix) coveringemployees of Nationalised Banks andoffice bearers of Co-operative societiesof the Central and State.3. Chapter II3.1 It deals with the appointment ofspecial judges, the procedure and theirpowers.3.2 Section 3 - It empowers CentralGovernment and State Government toappoint Special Judges to try thefollowing offences :-i) any offence punishableunder this Act; andii) any conspiracy to commitor any attempt to commit orany abetment of any of the
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Purioffences specified in (i)above.3.3 The judges can be as many asrequired for an area and for givengroup of cases.3.3 The appointment is to be done byway of notification in the OfficialGazette.3.4 Eligibility - In order to beeligible for appointment as a specialjudge the person has to be a SessionsJudge or an Additional Sessions Judgeor an Assistant Sessions Judge underthe Code of Criminal Procedure (sec2 of 1974) (in short CrPC).3.5 Section 4 - This sectionspecifies the jurisdiction of the specialJudges appointed in sec 3. Theimportant aspects of the section are-i) it states that offencesdescribed in sec 3 are to betried by Special Judgesonly.ii) the jurisdiction of theSpecial Judge will be as perthe area assigned/ the caseassigned to them.iii) the Special Judge also haspowers to try any offence,other than an offencespecified in sec 3, withwhich the accused may,under the CrPC, may becharged at the same trial.iv) the trial should be held onday to day basis.3.6 Section 5 - This sectiondescribes the procedure to be followedand the powers of Special Judge-i) A special judge can takecognizance of offenceswithout the accused beingcommitted to him and shallfollow the CrPC for thetrial of warrant cases byMagistrate.ii) The special judge, with aview to obtaining theevidence of any personsupposed to have beendirectly or indirectlyinvolved in an offence, maytender a pardon to suchperson on condition of hismaking a full a truedisclosure of the wholecircumstances relating tothe offence.iii) The section furtherelaborates that provisions ofCrPC shall apply to theproceedings before theSpecial Judge. He will actin the capacity of aMagistrate and isempowered to pass anysentence, authorized bylaw, for punishment of theoffence of which a person isconvicted.3.7 Section 6 - This sectionauthorises Special Judge to conduct atrial in a summary manner, in caseswhere violation of section 12-A(1) ofEssential Commodities Act, 1955, hastaken place; and pass upon any persona sentence of imprisonment for a termnot exceeding one year. The convicted
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puriperson will not have any right toappeal against such summary trial ifthe term of imprisonment does notexceed one month and fine notexceeding two thousand rupees. Incases where the sentence is in excessof the said limits, appeal shall lieagainst such trials.4. Chapter III4.1 This chapter is dedicated toactions amounting to offence and therelevant penalties which they attract incase of violation of the laid norms.4.2 Section 7 - If a public servant ischarged with accepting anygratification other than legalremuneration in respect of an officialact, as a motive or reward for doingany official act or showing any favouror disfavour to any person in officialfunction; he shall be punishable withimprisonment which shall not be lessthan six months but which may extendto five years and shall also be liable tofine. It would be seen that a minimumsentence of six months has been mademandatory and fine is no more optionalbefore the Courts.4.3 Section 8 - Accepting orattempting to obtain any gratificationby corrupt or illegal means, to do anyofficial act is punishable withimprisonment which shall not be lessthan six months but which may extendto five years and shall also be liable tofine.4.4 Section 9 – Accepting orattempting to obtain any gratificationfor exercise of personal influencewith public servant, to do any officialact, is punishable with imprisonmentwhich shall not be less than six monthsbut which may extend to five years andshall also be liable to fine.4.5 Section 10 - If any publicservant abets the offences defined insec 8 & 9, he shall be punishable withimprisonment which shall not be lessthan six months but which may extendto five years and shall also be liable tofine.4.6 Section 11 - If any publicservant obtains valuable thing,without adequate consideration fromperson concerned in proceeding orbusiness transacted by such publicservant, he shall be punishable withimprisonment which shall not be lessthan six months but which may extendto five years and shall also be liable tofine.4.7 Section 12 - This section definesthe punishment for abetment ofcriminal offences defined in sec 7 &11. The charged person shall bepunishable with imprisonment whichshall not be less than six months butwhich may extend to five years andshall also be liable to fine.4.8 Section 13 - This section definesactions which can be described ascriminal misconduct:-i) if the public servant ishabitual defaulter undersection 7 of ‘the Act’; orii) if he is habitual defaulterunder section 11 of ‘theAct’; or
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puriiii) if he dishonestly orfraudulentlymisappropriates anyproperty entrusted to himor under his control aspublic servant; or allowsany other person to do so;oriv) if he obtains for himself orfor any other person anyvaluable thing or pecuniaryadvantage-a) by corrupt or illegalmeans, orb) by abusing his position.c) while holding office aspublic servantv) if he is in possession ofpecuniary resources orproperty disproportionateto his known sources ofincome.criminal misconduct shall bepunishable with imprisonment for aterm which shall be not less that oneyear but which may extend to sevenyears and shall also be liable to fine.4.9 Section 14 - Habitualcommitting of criminal offence undersection 8, 9 and 12 is punishable withimprisonment for a term which shall benot less that two years but which mayextend to seven years and shall also beliable to fine.4.10 Section 15 - Any attempt tocommit an offence referred in section13 shall be punishable withimprisonment for a term which mayextend to three years and shall also beliable to fine. It can be seen that thesection provides compulsoryimprisonment which may extended upto three years.4.11 Section 16 - Where a sentence offine is imposed under section 13 or 14,the court shall take into considerationthe amount or the value of the propertywhich the accused has obtained bycommitting the offence.5. Chapter IV5.1 This chapter describes theinvestigation authorities authorised toinvestigate offences under ‘the Act’and the limits of their powers.5.2 Section 17 - In terms of Section17 of the Prevention of Corruption Act,1988, an offence punishable under thePC Act can be investigated by a policeofficer not below the rank of anInspector of Police in the Metropolitanareas and a DSP or a police officer ofequivalent rank elsewhere. Further,every person, aware of the commissionof, or of the intention of any otherperson to commit any offence,punishable under various sections ofIPC including Sections 7 to 12 of thePC Act, in the absence of anyreasonable excuse, is required to giveinformation to the nearest Magistrateor Police Officer of such commissionor intention in terms of Section 39 ofthe Criminal Procedure Code.5.3 Section 18 - If a Police Officerhas reason to suspect the commissionof an offence which he is empoweredto investigate under section 17, he caneven inspect any bankers’ books in sofar as they relate to the accounts of the
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puriperson suspected to have committedthat offence.6. Chapter V6.1 This chapter stipulates theprocedure for sanction of prosecutionand other Miscellaneous Provisions.6.2 Section 19 - It lays down thatbefore taking cognizance of anoffence punishable under sections 7,10, 11, 13 and 15 alleged to have beencommitted by a public servant, thecourt shall obtain prior sanction of theauthority competent to remove thepublic servant from office, namelyCentral Government, StateGovernment, or any other employer.However, any error, omission orirregularity in the sanction granted bythe authority will not make the orderopen for reversion, alteration, settingaside or stay of proceedings unlesssuch error, omission or irregularity hasresulted in failure of justice.6.3 Section 20 - It lays down thedeeming fictions in regard to theoffences committed under section 7 or11 or 12 13(1)(a) or (b) or 14(b) andstipulates that if the public servant isaccused of the offences, ibid, it shallbe presumed that he accepted orobtained the gratification, unless thecontrary is proved or the gratificationis so trivial that no inference ofcorruption may fairly be drawn.6.4 Section 21 - defines the accusedpublic servant as a competent witnessto disprove the charges made againsthim. He can give evidence on oath todefend himself.6.5 Section 22 - describesapplication of CrPC, 1973 in respectof Sections 243(1), 309(2), 317(2)and 397(1), to the proceedingsunder ‘the Act’ with certainmodifications. These sections areapplicable with respect to the rights ofthe accused for information to the listof witnesses whom he proposes toexamine, the list of documents whichhe proposes to rely for defendinghimself; the conduct of trial even in theabsence of the accused subject to thecondition that reasons are recorded andthe accused holds a right to crossexamine prosecution witnesses.6.6 Section 23 - It is again adeeming fiction and enjoins upon theauthority under ‘the Act’ to deem thepublic servant accused of the offenceU/S 13(1) (c), i.e. in charge ofproperty without specifying particularitems or dates, provided, the timeincluded between the first and the lastof such dates shall not exceed oneyear.6.7 Section 24 - This section grantsimmunity to the bribe giver fromprosecution proceedings U/S 12. Itlays down that a statement made by aperson in any proceeding against apublic servant for an offence U/S 7 to11 or U/S 13 & 15, that he offered oragreed to offer any gratification, shallnot subject him to prosecution.6.8 Section 25- It entails that ‘theAct’ will not interfere with theprocedure applicable to Military, Navaland Air Force Acts.6.9 Section 26 – It is only atransitional provision made in the Act.
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, PuriIt lays down that the Special Judgesappointed under Criminal LawAmendment Act, 1952 shall bedeemed as Special Judge undersection 3 under ‘the Act’ and shall beauthorised to deal with the all theproceedings pending before him.6.10 Section 27 - Authorises HighCourt to exercise all powers of appealand revision conferred by the Cr.CP, asif the Court of the Special Judge werea Court of Session trying cases withinthe local limits of the High Court.6.11 Section 28 - Provisions of ‘theAct’ in addition to any other law inforce, and nothing contained in ‘theAct’ shall exempt any public servantfrom any proceeding which might beinstituted against him.6.12 Section 29 - It lists variousamendments/ substitutions/ insertions,in respect of authorities, time limit,Schedules, Paragraphs etc., in theCriminal Law Amendment Ordinance,1944.6.13 Section 30 - This provides forrepeal and saving of ‘the Act’ andCriminal Law Amendment Act, 1952.6.14 Section 31 - It allowsapplication of section 6 of the GeneralClauses Act, 1897 in place of sectionswhich had been repealed by a CentralAct.7. Synopsis of the Act - With thepassing of the PCA, 1988, the existinganti-corruption laws have been mademore effective and strengthened. Inorder to combat the menace ofcorruption effectively, the existingprovisions have been streamlined. ThePC Act, is therefore, a comprehensivestatute incorporating all offences ofcorruption, laying down special rulesof procedures to combat corruption,arming the investigating agencies withsufficient powers and denying dilatorytactics by the accused persons.C. VIGILANCE MATTERSVIS-À-VIS CONDUCT RULES,19641. General1.1 Misconduct - Before we proceedon to explore the acts which attract‘preventive vigilance’ we need to goback to the underlying principles of theConduct Rules. In the conduct rulesthere is a mention of various acts,conduct and commissions which aredescribed as “misconduct”. In general,any act of the Government servant notconforming to the principles laid downin Conduct Rules is described asmisconduct.1.2 The word ‘misconduct’ thoughnot capable of precise definition, itsreflections receive its connotationsfrom the context, the delinquency in itsperformance and its effect on thediscipline and the nature of duty. Itmay involve moral turpitude; it mustbe improper or wrong behaviour,unlawful behaviour, wilful incharacter; forbidden act, atransgression of established anddefinite rule of action or code ofconduct but not mere error ofjudgement, carelessness or negligencein performance of the duty; the actcomplained of bears forbidden quality
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Purior character. Its ambit has to beconstrued with reference to the subject-matter and the context wherein theterm occurs, regard being had to thescope of the statute and the publicpurpose it seeks to serve.1.3 In the earlier session we havealready discussed in depth the acts,conduct and commissions of aGovernment servant which amount tomisconduct. In this discussion we willrestrict ourselves only to the acts,conduct and commissions in relation tovigilance.2. The often repeated Idiom“Prevention is better than cure” isextremely relevant in the context ofVigilance matters. Generally, vigilancemeans “Punitive Vigilance” which isin the nature of conducting a‘Postmortem’. This does not do theorganization as much good because theact of omission or commission isdetected and acted upon long after loss& damage to the Organisation hasalready resulted. Such a loss is at timesirrepairable and cannot be undone at alater stage. Therefore, taking timelysteps would prevent wrong decisionmaking or other acts of omission orcommission.2.1 The stratagem of takingprecautionary step in advance isdescribed in the Vigilance Jargon as“Preventive Vigilance” and is incontradiction to Punitive Vigilance.The word, “Prevention” has beendescribed to mean Ending,Controlling, Stopping, Barring,Checking, Blocking, Curbing, Halting.Similarly, the term “Vigilance”implies Planning, Wisdom, Caution,Insight, Judgement, Awareness,Preparation, Precaution, Prudence,Alertness, Farsightedness andWatchfulness. The phrase “PreventiveVigilance” emphasizes both the “Timeaspect” as well as the “Qualitativeaspect”. Both these dimensions areequally important when we go todiscuss matters which attract vigilanceangle.2.2 In common parlance what isunderstood by vigilance is nothing buta disciplinary proceeding. But as wehave understood in the earlier session,the moot point of Conduct Rules is togo for Preventive Vigilance so that allGovernment servants maintain certainstandards of discipline and decorum.3. To be fore-warned is to be fore-armed - This requires that each oneof us present here should look uponourselves as a Sentinel of Vigilance i.e.an integral part and parcel of theVigilance mechanism of ourDepartment. Presently, this is notperhaps the case as general impressionamongst us all is that since there is aVigilance Department we need notbother about it. Such an impression isnot quite correct as the Vigilancedepartment has its own constraints.Therefore, for an effective Scheme ofPreventive Vigilance, our participationbecomes “critical”. Accordingly, weneed to accept the slogan of‘Participative Vigilance’ for pluggingany loopholes.4. Integrity at the highest level3.1 For senior functionaries itbecomes very important to restrainfrom getting swamped by the current
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puritrend towards “Materialism/Consumerism”. If we lead a simple,but not shabby life, we would be ableto keep our integrity at the highestlevel. On the other hand, if we let goand live in the spirit of “Joneses” thenwe run the risk of getting into the habitof living beyond our means - initially,through indebtedness and ultimatelythrough trying to make a quick buck.Therefore, there is no justification toviolate the Code of Conduct.5. System improvement5.1 The procedures and Systems, etc.should be so designed and carried outthat settlement of Medical claims,Payment of Loans, Advances etc., tothe employees become possible withinthe shortest possible time frame. Thiswill reduce stress of employees and inturn increase their productivity andefficiency. Presence of good systemswould also inculcate a better sense ofDiscipline and Work Culture. SystemImprovements and PredictivePreventive Measures need continuousreview, simplification andrationalization so that implementationis simple and fast. Such improvementsand simplifications will also reduceVigilance cases of Administrativenature and Vigilance with limitedmachinery at their disposal canconcentrate their energies on moreimportant issues concerningCorruption.5.2 We can build in a system ofeffective “Vigilance Clearances” foroccasions like Promotions, ForeignTours/ Postings, Transfers to KeyPositions etc. In order to bringawareness amongst employees andalso to give necessary signals to themthat they should not indulge inactivities which may bring them in thetrap of vigilance, the departmentshould invariably give “VigilanceClearances” for Promotions, MeritAwards, NOC for getting Passports toquote a few examples. This processwill keep everyone alert and consciousmotivating him not to indulge inactivities which are not permitted asper Conduct Rules.6. Decision making - Avoiddelays6.1 It has generally been observedthat whenever there is delay in makingsmall or big decisions, pressures fromvarious sources start mounting on theconcerned individuals authorized tomake such decision. It is, therefore, ofutmost importance that decisionmaking should be pragmatic and fastand as per Rules and Procedure.7. Co-operation with vigilanceactivities7.1 You must co-operate in all theVigilance Activities which areprescribed. For instance, you areexpected to file your Statement ofAssets every year. It becomes yourparamount duty to ensure that youprovide full particulars in thisstatement and that too well in time.This is a protection to you as well as anaid to the Vigilance.7.2 Similarly, under variousConduct Rules some onus has beencast upon the employees either toinform about a particular transaction or
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puriin some cases to obtain prior-permission thereabout. We all shouldeducate us about these requirementsand adhere to them scrupulously like aDisciplined Soldier and also encourageyour other Colleagues and Sub-ordinates to do likewise.7.3 We should resist all temptationsto make any “wrong claims” whetherthey are medical, LTC or TA/ DAclaims. These small lapses on our partnot only tarnish our “Personal Image”but also sap our efficiency level andwe may get caught in a web.D. PERMISSION UNDERCONDUCT RULESWe have already discussedvarious Conduct Rules in our earliersession. In this topic we will touchonly specific rules which describeActivities Requiring PriorPermission / Sanction of theauthorities. Since we have laidemphasis on ‘Preventive Vigilance’ itbecomes even more important tounderstand the given rules so as toknow the acts which attract vigilanceangle. The GOI decisions/ directionsgiven under each rule, require theGovernment servant to inform theemployer before taking up thedescribed acts.1. Rule 3 - General1.1 Rule 3 - This rule is sweeping inits coverage and is a comprehensivelist of dos and don’ts prescribed for aGovernment servant. Rule 3(1)requires every Government servant atall times to -i) maintain absolute integrity;ii) maintain devotion to duty;andiii) do nothing which isunbecoming of aGovernment servant.Related GOI decisions below Rule 31. To join educational institution orcourse of studies for university degree.Rule 3 GID (4).[G.I., M.H.A., O.M. No. 130/54-Estt. (A),dated 26thFebruary, 1955.]2. To join non-official, non-politicalorganizations like Bharat Sevak Samajwhose object is to contribute to theNational Developmental Plan. Rule 3GID (6).[G.I., M.H.A., O.M. No. 25/8/55-Estt. (A),dated 3rdMay, 1955.]3. To join the Civil Defence Service inDelhi or elsewhere outside the officehours. Rule 3 GID (7).[G.I., M.H.A., O.M. No. 47/7/63-Estt. (A),dated 23 May, 1963.]4. To join as members of St. JohnAmbulance Brigade and to receivetraining subject to the condition that itdoes not interfere with the efficientdischarge of official duties. Rule 3GID (8).[G.I., C.S., Dept. of Per., O.M. No. 27/5/70-Estt. (B), dated 12thJanuary, 1971 andG.I., Dept. of Per & Trg., O.M.No.21011/2/88-Estt. (A), dated 21stMarch,1988.]
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puri5. To join officially sponsoredauxiliary police organizations likeHome Guards, National VolunteersCorps, Praniya Raks Dal, etc. Rule 3GID (9).[G.I., Dept of Per. & Trg., O.M. No.11013/4/93-Estt. (A), dated 12thJuly, 1995.]2. Rule 5 - Taking part in politicsand elections2.1 Rule 5 - It lays down that -i) No Government servantshall be a member, or beotherwise associated with,any political party or anyorganisation or assists inany other manner, anypolitical movement oractivity.ii) Government servant toprevent the members of hisfamily from taking part in,subscribing or assisting inany other manner anymovement or activitytending directly orindirectly, subversive or theGovernment as by lawestablished.iii) No Government servantshall canvass or otherwiseinterfere with, or usesinfluence in connectionwith or take part in anelection.Related GOI decisions below Rule 51. To join foreign language classesconducted by Indo-Foreign CulturalOrganisations. Rule 5 GID (14).[G.I., M.H.A., O.M. No. 25/40/65-Estt. (A),dated 18thMay, 1966.]3. Rule 8 – Connection with pressor other media3.1 Rule 8 - It states that noGovernment servant, except with theprevious sanction of the Government,is permitted to own wholly or in part orconduct or participate in the editing ormanagement of, any newspaper orother periodical publications orelectronic media. This however, willnot apply in case of Governmentservant who in the bonafide dischargesof his official duties, publishes a bookor participates in a public media. Rule8 (1).Related GOI decisions below Rule 81. A Government servant publishing abook or participating in a public mediais required to make it clear that theviews expressed by him are his ownand not that of the Government. Rule8 (3).[G.I., Dept. of Per & Trg., O.M.No.11013/4/93-Estt. (A), dated 17thJuly,1995.]4. Rule 9 – Criticism ofGovernment4.1 Rule 9 - It stipulates that noGovernment servant shall, in any radiobroadcast, telecast through any
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Purielectronic media or in any documentpublished in his own name oranonymously, pseudonymously or inthe name of any other person or in anycommunication to the press or in anypublic utterance, make any statementof fact on opinion –i) which has the effect of anadverse criticism of anycurrent or recent policy onaction of the Central orState Government;ii) which is capable ofembarrassing the relationbetween the CentralGovernment and theGovernment of any State;iii) which is capable ofembarrassing the relationsbetween the CentralGovernment and theGovernment of any foreignState.4.2 To participate in a radiobroadcast or contribute article to suchbroadcast.5. Rule 10 – Evidence beforeCommittee or any other authority5.1 Rule 10 – It prohibits aGovernment servant from givingevidence in connection with anyinquiry conducted by any person,committee or authority. Where aGovernment servant gives evidencewith previous sanction of theGovernment, he shall not criticise thepolicy or any action of the CentralGovernment or of a State Government.5.2 To give evidence in connectionwith any enquiry conducted byanybody other than the Central/ StateGovernment or Parliament or a Statelegislature or a Judicial authority or aDepartment authority subordinate tothe Government.6. Rule 12 - Subscriptions6.1 Rule 12 - No Government servantshall except with the previous sanctionof the Government or of the prescribedauthority, ask for or acceptcontributions to, or otherwise associatehimself with the raising of any funds orother collections in cash or in kind inpursuance of any object whatsoever.6.2 To accept contributions for a fundor to associate with raising of anyfunds or other collections in cash or inkind in pursuance of any objectwhatsoever.Exception – Collections during theFlag Day celebrations and to theNational Defence Fund are exempted.[G.I., M.H.A., O.M. No. 25/33/55-Estt. (A),dated 31stOctober, 1955 andG.I., M.H.A., O.M. No. 25/64/62-Estt. (A),dated 1stNovember, 1962.]7. Rule 13 - Gifts7.1 Rule 13(1) - Except as provided inthe Conduct Rules, no Governmentservant shall accept, or permit anymember of his family or any otherperson acting on his behalf to accept,any gift.
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, PuriExplanation:(i) “Gift” includes freetransport, boarding, lodgingor other service or any otherpecuniary advantage whenprovided by any personother than a near relative orpersonal friend having noofficial dealings with theGovernment servant.(ii) A casual meal, lift or othersocial hospitality shall notbe deemed to be a gift.(iii) A Government servant shallavoid accepting lavishhospitality or frequenthospitality from anyindividual, industrial orcommercial firms,organisations, etc., havingofficial dealings with him.7.2 Rule 13(2) - It states that onoccasions such as weddings,anniversaries, funerals or religiousfunctions, a Government servant mayaccept gifts from his near relatives orfrom his personal friends having noofficial dealings with him, but shallmake a report to the Government, ifthe value of such gift exceeds –(i) Rs. 5,000 - servant holdingany Group ‘A’ post;(ii) Rs. 3,000 - servant holdingany Group ‘B’ post;(iii) Rs. 1,000 - servantholding any Group ‘C’ postand(iv) Rs. 500 servant holding anyGroup ‘D’ post.7.3 Rule 13(3) - In any other case, aGovernment servant shall not acceptany gift without the sanction of theGovernment if the value thereofexceeds –i) Rs. 1,000 - servants holdingany Group “A” or Group“B” post; andii) Rs. 250 - servants holdingany Group “C” or Group“D” post.Related GOI decisions below Rule 131. To accept gift from the membersof the staff at the time of retirement.Rule 13 (2), (3) and (4).[G.I., M.H.A., O.M. No. 25/22/62-Estt. (A),dated 12thNovember, 1962.]2. To accept membership of Bookclubs run by Foreign Agencies. Ifmembership of the book club entitlesthe Government servant to receivebooks by way of gifts, the acceptanceof such gifts is governed by Rule 13GID (8).[G.I., C.S. (Dept. of Per. ), O.M. No. 25/16/73-Estt. (A), dated 3rdJuly, 1973.]8. Rule 14 – Public demonstrationsin honour of Government servant8.1 Rule 14 - No Government servantshall, except with the previous sanctionof the Government, receive anycomplimentary or valedictory addressor accept any testimonial or attend in ameeting or entertainment held in his
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Purihonour; or in the honour of any otherGovernment servant. However, thiswill not apply to-(i) a farewell held in honourof a Government servant onthe occasion of hisretirement or transfer of anyperson who has recentlyquitted the service of anyGovernment;(ii) the acceptance of simpleand inexpensiveentertainment arranged bypublic bodies orinstitutions.Related GOI decisions below Rule 141. To receive any complimentary orvaledictory address or accept anytestimonial or attend any meeting orentertainment held in his honour of anyother Government servant. Rule 14GIO (1).Exception 1 – To take part in informalfarewell entertainment held on theoccasions like retirement or transfer.Exception 2 – Acceptance of simpleand inexpensive entertainmentsarranged by public bodies orinstitutions.[G.I., M.H.A., O.M. No. 25/24/57-Estt. (A),dated 16thSeptember, 1957 read withD.G., P. & T.’s Letter No. 15/13/57-Disc.,dated 16thJanuary, 1958.]9. Rule 15 – Private trade oremployment9.1 Rule 15(1) - No Governmentservant shall, except with the previoussanction of the Government –(i) engage directly or indirectlyin any trade or business;(ii) negotiate for, or undertake,any other employment;(iii) hold an elective office, orcanvass for a candidate orcandidates for an electiveoffice, in any body, whetherincorporated or not;(iv) canvass in support of anybusiness of insuranceagency, commissionagency, etc., owned ormanaged by any member ofhis family;(v) take part except in thedischarge of his officialduties, in the registration,promotion or managementof any bank or othercompany registered orrequired to be registered,under the Companies Act,1956 or any other law forthe time in force or of anyco-operative society forcommercial purposes;(vi) participate in or associatehimself in any manner inthe making of any mediaprogramme.9.2 Rule 15(2) - A Governmentservant may, without the previoussanction of the Government undertake
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puri(i) honorary work of a socialor charitable nature;ii) occasional work of aliterary, artistic or scientificcharacter;iii) participate in sportsactivities as an amateur;iv) take part in the registration,promotion or management(not involving the holdingof an elective office) of aliterary, scientific orcharitable society or of aclub or similar organisation,the aims or objects of whichrelate to promotion ofsports, cultural orrecreational activities.v) take part in the registration,promotion or management(not involving the holdingof elective office) of a co-operative societysubstantially for the benefitof Government servants,registered under the Co-operative Societies Act,1912 or any other law inforce;9.3 Rule 15(3) - Every Governmentservant shall report to the Governmentif any member of his family is engagedin a trade or business or owns ormanages in insurance agency orcommission agency.[G.I., Dept. of Per., O.M. No. 11013/16/85-Estt. (A), dated 10thSeptember, 1986.]Related GOI decisions below Rule 151. To undertake a part time job oflecturer-ship in an educationalinstitution on regular remunerativeoccupation basis. Rule 15 GID (2).[G.I., M.F., O.M. No.F. 10(94)-E. II (B),dated 13thSeptember, 1958.]2. To take part in the registration,promotion or management of any bankor other company or co-operativesociety for commercial purposes.However if the purpose of suchcompany or co-operative society is topromote literary, scientific, sports,cultural or recreational activities priorpermission is not necessary. Nopermission is necessary to become amember of a co-operative societysubstantially for the benefit of theemployees registered under therelevant law in force. Rule 15 GID (4).[G.I., Ministry of W. & H., A.V. No. 126,dated 15thSeptember, 1960.]3. To undertake the work ofHonourary Accountant of CO-operative societies. Rule 15 GID (8).[G.I., M.F., O.M. No.F. 11(2)-E. II (B), dated6thMay, 1963.]4. To enrol himself as an advocatewith the Bar Association subject to thecondition that the Government servantdoes not engage himself in the legalprofession so long as he continues inGovernment service. Rule 15 GID(12).[G.I., Dept. of Per & A.R., U.O. No. D 207/74-Estt. (A), dated 15thJanuary, 1974.]
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puri5. To enter into negotiation withprivate firms to secure commercialemployment even while in service.Rule 15 GID (10).[G.I., M.H.A., O.M. No.29/3/66-Estt. (A),dated 8thFebruary, 1966.]10. Rule 18 - Movable, immovableand valuable property10.1 Every Government servant isrequired on his first appointment toany service or post submit a return ofhis assets and liabilities giving fullparticulars of–(i) the immovable propertyinherited by him, or ownedor acquired by him or heldby him on lease ormortgage, either in his ownname or in the name of anymember of his family or inthe name of any otherperson.(ii) shares, debentures and cashincluding bank depositssimilarly owned acquired.(iii) other movable propertyinherited by him orsimilarly owned, acquiredor held by him and(iv)debts and other liabilitiesincurred by him directly orindirectly.10.2 No Government servant shallaccept without the previous knowledgeof the prescribed authority acquire ordispose off any immovable property bylease, mortgage, purchase, sale, gift orotherwise either in his own name or inthe name of any member of his family.Related GOI decisions below Rule 181. To acquire or dispose of anyimmovable property by lease,mortgage, purchase, sale, gift orotherwise either in his own name or inthe name of any member of the family,if the above transaction is with aperson having official dealings withthe Government servant. Rule 18 (2).Note - In the case of movableproperty, a report should be givenwithin 30 days if the value of suchproperty exceeds Rs. 10,000 in respectof a Group ‘A’ and Group ‘B’ officerand Rs. 5,000 in respect of others.However, prior permission is requiredwhen the person involved in thetransaction has official dealing with theGovernment servant.[G.I., Dept. of Per & Trg., O.M.No.11013/11/85-Estt. (A), dated 7thMarch,1986.]2. To enter into transactions inmovable property, if its value exceedsprescribed limits (Rs 15,000 in the caseof Government holding any Class I orII post or Rs 10,000 holding any ClassIII or Class IV post) and if thetransaction is with a person havingofficial dealings with the Governmentservant. Rule 18 (3).[ G.I., C.S. (Dept. of Per. & Trg.) NotificationNo. 25/ 15/ 72-Estt. (A) dated 16thJuly, 1973andG.I., Dept. of Per & Trg., O.M.No.11013/4/93-Estt. (A), dated 31stAugust,1993.]
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puri11. Rule 18-A11.1 No Government servant shall,except with previous sanction of theprescribed authority –(i) acquire, by purchase,mortgage, lease, gift orotherwise, either in his ownname or in the name of anymember of his family, anyimmovable propertysituated outside India;(ii) dispose of, by sale, andother modes any propertyoutside India;(iii) enter into any transactionwith any foreigner, foreignGovernment, foreignorganisation or concern,-(a) for the acquisition(b) for the disposal, by theabove modesRelated GOI decisions below Rule18-A1. To acquire any immovable propertysituated outside India by lease,mortgage, purchase, sale, gift orotherwise either in his own name or inthe name of any member of the family.Rule 18-A (a).2. To dispose of any immovableproperty situated outside India bylease, mortgage, purchase, sale, gift orotherwise either in his own name or inthe name of any member of the family.Rule 18-A (b).12. Rule 1912.1 No Government servant shall,except with the previous sanction ofthe Government, have recourse to anyCourt or to the Press for thevindication of any official act whichhas been the subject-matter of adversecriticism or an attack of a defamatorycharacter.Provided that(i) if no such sanction isreceived by theGovernment servant withina period of three monthsfrom the date of receipt ofhis request by theGovernment, he shall befree to assume that thepermission as sought forhas been granted to him.12.2 Nothing in this rule shall bedeemed to prohibit a Governmentservant from vindicating his privatecharacter or any act done by him in hisprivate capacity and where any actionfor vindicating his private character orany act done by him in private capacityis taken, the Government servant shallsubmit a report to the prescribedauthority regarding such action.12.3 To approach the Court of Law orPress for vindication of any official actwhich has been the subject matter ofadverse criticism or an attack of adefamatory character. Rule 19 (1).13. Appendix III – Orders regardingcontact of Government servants withForeign Nationals, etc.
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puri13.1 To stay as guests with foreigndiplomats or foreign nationals abroad.Note –(i) Government servants shouldnot stay as guests withforeign nationals in India.Similarly, they should notinvite foreign diplomats tostay with them as guests.Para 10 Appendix III.13.2 To be a member of or activelyparticipate in the activities of Indo-Foreign Cultural Organisations. Para15 Appendix III.14. Rule 10 (1), CCS (Pension)Rules14.1 In the case of Pensioners, whowere Group ‘A’ officers immediatelybefore their retirement, to accept anycommercial employment, within twoyears from the date of their retirement.2. Time Limit For Grant/ Refusal OfPermission2.1 Time limits are as per table belowand are to be reckoned from the date ofreceipt of the request of theGovernment servant.2.2 In the above cases, if no reply isforthcoming within the time limitspecified, the Government servant isfree to assume that permission hasbeen granted.[ Rule 10(4), CCS (Pension) Rules, 1972; G.I.,D.P. & A.R., O.M. No. 11013/17/77-Estt. (A),dated 19thApril, 1978; DOPT O.M. No.11013/2/88-Estt. (A), dated 7thJuly, 1988.]Sl.No.Purpose for which permission is sought Time limit for grant/refusal of permission184.108.40.206.220.127.116.11.9.To publish a book himself or through a publisherTo participate in a Radio Broadcast or contribute an articleAcceptance of gifts from all persons including near relatives if the value exceedsprescribed limitsTo enter into immovable property transactionTo enter into transaction in movable property if the value exceeds prescribed limitsTo enter into transaction in immovable property outside IndiaTo enter into any property transaction with any foreigner, foreign Govt. etc.To take recourse to any Court of Law for the vindication of any official actIn the case of pensioners who were Gr A officers, to accept any commercialappointment before expiry of 2 yrs from the date of retirement30 days30 days30 days30 days30 days60 days60 days6 weeks60 days
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, PuriE. INSTRUCTIONS/GUIDELINES OF GOI/ CVC/ CAGON VIGILANCE MATTERSHereunder is the subject heading andthe related gist of the instruction/guideline.1. Vigilance Angle - Only those casesin which there is an allegation ofcorruption or improper motive or if thealleged facts indicate an element ofcorruption or improper motive need bereferred to the Commission. Casesinvolving purely administrative ortechnical lapses, e.g., late attendance,disobedience, insubordination,negligence, lack of supervision oroperational or technical lapses orirregularities need not be referred tothe Commission.[CVC letter No 1/7/66-Coord., dated 14thApril, 1966.]2. Disciplinary authority to informaction taken on Commission advice -The final decision taken on conclusionof the inquiry in respect of vigilancecases against Gazetted officers may becommunicated to the Commission.[CVC letter No. 4/44/74-R dated 19thApril,1976.]3. Rotation of officers – Rotation ofstaff, specially those working insensitive posts, by each Ministry/Department should be strictly resortedto after every 2/3 years to avoiddeveloping vested interests.[DOPT O.M.. No. 371/ 3/85-AVD-III dated12thFebruary, 1985.]4. Denial of LTC to Governmentservants found guilty of misuse offacility – Whenever a case offraudulent claim of LTC comes tonotice and the competent authorityarrives at a conclusion that there is aprima facie case for initiatingdisciplinary proceedings, the claim forthe LTC should be withheld andshould not be allowed till thefinalisation of the proceedings.[DOPT O.M. No. 31011/16/86-Estt. (A) dated8thOctober, 1987.]5. Non-supply of CVC’s advice tothe delinquent is violative ofprocedural safeguard – The advice ofthe Commission should be madeavailable to the charged official asnon- supply of the advice is violativeof procedural safeguard and contrary tofair and just inquiry.[G.I., CVC Cir. Letter No. 99/VGL/66, dated28-9-2000.]6. Amendment to CCS (CCA) Rules,1965 – In CCA Rules, in Rule 11, inthe first proviso, for the words the “thecharge of acceptance”, the words “thecharge of possession of assets dis-proportionate to known sources ofincome or the charge of acceptance”shall be substituted.[G.I., DOPT., Notification No. 11012/2/2000-Estt. (A), dated 11thOctober, 2000.]SUMMARYCorruption has various types andforms. It has progressively increasedboth horizontally and vertically. It maynot be possible to root out corruption
Vigilance Matters/Conduct Rules, disciplinary proceedings andPreventions of Corruption Act.ByShankar Bose, Inspector of Income-tax, MSTU, Puricompletely at all levels, but certainly itis possible to roll it down or to containit within tolerable limits. A littleamount of inefficiency or negligencecan be tolerated but there can be nocompromise with integrity. Vigilancecertainly helps and decreases lossesand increases profits. It should beaccepted as an important tool ofmanagerial functions. It is utmostnecessary to have a well plannedstrategy to deal with corruptionbecause a random and scattered effortcould hardly make an impact on theproblem.