DECISION MAKER HAVE FEAR OF VIGILANCE 7 cbU IN GOVT

1. by RP Saxena
Decision making,
Vigilance awareness
1R P Saxena

2. • DECISION MAKING
R P Saxena 2

3. Decision making in Govt
• Officer are for Taking
decisions
• Policy decisions
• Case to case decision
• Spl cases which are not coming
within purview of policy
• Change in policy
• Decision to overcome a
unforeseen situation

4. Decision making in Govt
( contd)
• Stakes are very high in Govt decision at
higher level
• Sanction of Project ,loan , restructuring etc
• Granting exemption & concessions
• Disinvestment
• Industrial houses are benefitted by thousands
of crores by just tweaking in Govt policy
• Intense Lobbying for influencing policy
decision
• Every decision benefit/ Annoy somebody
either you or your rival

5. Professional Hazards
• During course of duty , an officer is exposed to
situation where several vested interests are
involved & his decision affect adversally some
body or other .
• Such disgrunteled elements try to level score with
such officer by reporting various decisions either
to vigilence or to CBI
• This results in many false complaints against
officers
• In enquiry of any decision ,always two views can be taken as
only thin line exist between Public intrest & self
interest
• However such officer is subjected to harrasment
• Seeing such harassments ,other officers stop
taking decisions

6. PM said on 17th
Jan
2014
• Facing accusations of policy
paralysis, Prime MinisterManmohan
Singh admitted that growth rate had
slowed down because clearances
were not granted to infrastructure
projects for the fear of CAG and
CVC.
• decision Making is slowed down in
Govt for fear of CBI also

7. CBI Enquiry on bonafide
decisions
• Coal sect PC Parakh-retd in 2005
• HC Gupta coal secy 2006-2009
• SEBI chief CB Bhave
• NSEL dir GK Pillai
• Sanjay chandra telecom secy
• Kumar Manglam birla
• No prior sanction for retd officers or
court monitored investigation
R P Saxena 7

8. Psychological Fears in Decisions
Making
Agencies waiting
with net to catch
• Account
• Vigilance
• Audit
• CBI
To assist all above
agency ,there is
RTI -

9. Decision making
• Decision making is biggest
source of vigilance
complaints
• No decision making ..no
complaints ..but then no
works..Govt machinery come to
halt.
• Do nothing but..

10. Do nothing is very
difficult

11. Do nothing –you need to
be on Top
R P Saxena 11

12. What Govt officer wants
• Protection from investigation for
Bonafide decision to serving as
well as retired employee
• CBI should prove that some
pecuniary advantage flowed to
concern officer before taking up
investigation
R P Saxena 12

13. CBI View
• CBI is demanding for no sanction in
cases of Bribery & Disproportionate
cases
• In Lokpal bill , lokpal sanction will
require instead of Govt
• As per CBI there are lot of corrupt
bureaucrats & they should be tracked
upto their death bed
R P Saxena 13

14. PM Narendra Modi said on
4.6.2014 to secretaries of GOI
• How good are you
• How much do you work
• Either work or Leave the chair
• Work fearlessly
• Bona fide decision will be
backed by PM
• Only corrupt have to fear
R P Saxena 14

15. Present Govt Policy
• PMO has prepared of list 125 top
officers who are either slow in
decision or corrupt ..to be retired
either voluntarily or compulsorily
• Railways has also prepared alist of
tainted officers to retire them
• Nitin Gadkari said ..Take decision or
take VRS
• Delaying of files will not be tolerated
R P Saxena 15

16. • Govt has already compulsory
retired 15 officer incl 4
commissioner .
• This action will continue
quarterly
R P Saxena 16

17. Concern of Honest
officers
• CBI should not draw hasty
conclusions
• Reputation of an officer built over
decades is involved when
investigating ordered or FIR
registered
• One has to take many decision in his
service ..if one decision is considered
wrong at later date ……….?
• Should he be hanged ?

18. Bibek debroy committee item 17
• All powers decentralization down to the level of divisions
• DRMs should be sufficiently empowered to handle all tenders
connected with works, stores procurement, service or even
revenue-earning commercial tenders, pertaining to their division.
• DRMs should have powers to sanction new posts).
• Finance must completely be under the DRM.
• DRMs must have the option to choose between RPF and other
security agencies.
• Liberty to spend part of earning in Divison
• Before registering a vigilance case, one should
ascertain the views of the DRM. (In general,
before registering a vigilance case, views should
be sought from at least three higher reporting
level
R P Saxena 18

19. 7 CPC states in para
1.30
• The government should inspire confidence in mind of civil
servants that they will not be hounded by unnecessary
harassment by investigation agencies
• The recent trend of hounding civil servants as criminals for
the failure of bona fide decisions is not a happy one.
• This will decisions discourage the bureaucracy to take bold
in fear of being hounded if such a decision misfires.
• Any misadventure should not be looked upon with suspicion
unless it has definite criminal intent to benefit either himself
or someone else.
• If this trend is not checked it will lead to disastrous
consequences. "
R P Saxena 19

20. • VIGILLANCE AWARENESS
R P Saxena 20

21. Different stage of
vigilence case
• Complaint..received
• Verification- genuineness of the
complainant and complaint
• Investigation ..fact finding enquiry
• Report
• System improvement
• DA R case if required

22. • The identity of the complainant is kept
secret and he is not exposed at any
stage of the inquiry, investigation or
trial.
• Disciplinary action is recommended
against staff found responsible for
committing irregularities and systems
improvements are suggested whenever
flaws are detected in the work
procedures/practices.

23. Type of complaints
• Harassing by unfair demands
• Showing favour in award of contracts
• Purchase at higher rates
• False Payment or fabricated
purchases
• Execution of substandard work
• Fake appointments
• favour in departmental selections,
promotions
• causing any undue pecuniary
advantage to any one, without any
R P Saxena 23

24. Vigilance –misuse of
facility
• Misuse of privilege
• Misuse of duty pass
• Misuse of privilege pass
• False claim of TA
• Misuse of rest house facility
• Misuse of inspection carriage
• -Removal from service

25. What constitutes Vigilance AngleWhat constitutes Vigilance Angle ??
 Demanding and/or accepting
gratification
 Obtaining valuable thing
Possession of assets disproportionate
to known sources of income
Misappropriation, forgery or cheating
Gross or willful negligence;
 Blatant violations of systems and
procedures;
 Exercise of discretion in excess,
without any evident public interest;
All above can be summed as
Recklessness in decision making

26. General
• Most straight forward person can land in
problem for none of his faults
• He may be selected for random nationwide raid
Programme
• An enquiry of some of his associate may lead to
him-2G case
• This lecture will create awareness about
provision of LAW & precaution required in
decision making
• In spite of it , if somebody lands in
problem then how to defend in court of
LAW
• Tender & contract is most problematic for civil
engineers & their decision in dealing tender
cases can create problem for them

27. What Not to Do in Tender &
contracts• Execute work in good faith without sanction or
estimate or tender
• Award the contract on exorbitant rates
• Execution of substandard work- quality check
• Payment for works not executed –overpayments ,false
payments
• Manipulation in tender such as
• Exaggerating performance of favorite tenderer &
failures of Rivals
• Projecting artificial urgency –time is valuable
• Doctoring briefing note to project someone as most
suitable
• Bypassing lowest bidder without convincing reasons
• Call negotiation for reduction of rates but accepting
it after negotiation even if no appreciable reduction
achieved in negotiation
• Non application of mind in tender Acceptance
• Do a thing for which your conscious is not
permitting-Right or wrong –conscious will give
you one signal –respect it or overshoot it

28. Cvc instruction march
2007 & jan 2010
• As post tender negotiations
could often be a source of
corruption, it is directed that
there should be no post tender
negotiations with L1, except in
certain exceptional
situations”.2007
• Few great people started post
tender negotiation with L2 & L3
as they thought that No ban to
negotiate with L2 & L3
• Clarification issued in 2010

29. • Circular No. 01/01/10
• Attention is invited to the Commission’s circular No. 4/3/07 dated 3.3.07 on the issue of “Tendering
• Process Negotiations with L1”.
• In the said circular it has, among other things, been stated “As post tender negotiations could often
•
be a source of corruption, it is directed that there should be no post tender negotiations
with L1, except in certain exceptional situations”.
• It has come to Commission’s notice that this has been interpreted to mean that there is a
ban on post tender negotiations with L-1 only and there could be post tender negotiations
with other than L1 i.e. L2, L3 etc. This is not correct.
• It is clarified to all concerned that- there should normally be no
post tender negotiations. If at all
• negotiations are warranted under exceptional circumstances,
then it can be with L1 (Lowest tenderer) only
• if the tender pertains to the award of work/supply orders etc. where the
Government or the Government company has to made payment. However, if the
tender is for sale of material by the Government or the Govt. company, the
post tender negotiations are not to be held except with H1 (i.e. Highest tenderer) if
required.
• 2. All other instructions as contained in the circular of 3.3.2007 remain unchanged.
• 3. These instructions issue with the approval of the Commission and may please be
noted for immediate
• compliance.

30. • Functioning of CBI and CBI
cases against Railway Officers
R P Saxena 30

31. Few Head lines 2016
• SSE elect arrested in Agra for
demanding 35000 ( jan)
• DA case registered against Sr DEN
Guntur for wealth of Rs 66 lakhs
• Ministry of Railways decided to
remove/retire tainted officers as
directed by DOPT
• CBI case against Concor officer
• CBI case against engg officers
SECR R P Saxena 31

32. • CBI case against RE officer
Allahabad-itarasi section
R P Saxena 32

33. Few head lines 2015
• Rail neer case (oct 2015)
• Yard master agc trapped ( Rs 5000)
• SSE kaithal trapped ( Rs 40000) 2 july
• SR AEN suratgarh trapped in Rs 50000
bribe case .12th
jun
• Sr DME Andal trapped in Rs 5000 bribe
case 10th
jun
• SrDEE mumbai was arrested in trap case
of Rs 1 lakh ..23 apr
• DEN Guntkal was arrested in trap case
on 18th
feb (Rs 50000)
R P Saxena 33

34. Few head lines 2014
• convicted Shri Yogendra Kumar Pandey, the then Section
Engineer (works) West Central Railway, Pipariya
• The Central Bureau of Investigation has arrested a Junior
Engineer, Rail Electrification Section, Rail Nilayam,
Secunderabad for demanding & accepting a bribe of Rs.
40,000/- from the Complainant.
• CBI REGISTERS A CASE AGAINST AN INSPECTING
ENGINEER OF RITES AND OTHERS FOR ALLEGED LOSS
OF Rs. 21.48 LAKH (APPROX) TO RAILWAYS
• CBI spl court Nagpur has acquitted a SAG officer of
Indian Railways in a DA case on account of defective
sanction and Non authorised investigations
R P Saxena 34

35. News paper headlines
of 2013
• CBI raids office, house of DRM
Ahmedabad in DA case
• THREE YEARS RIGOROUS IMPRISONMENT TO THEN SENIOR
DIVISIONAL ENGINEER OF CENTRAL RAILWAYS, FOR
POSSESSION OF DISPROPORTIONATE ASSETS
• Indian Railways Accounts Service officer K V Brahmananda
Reddy, an accused in the alleged disproportionate assets
case
• DEN MGS arrested by CBI
• TWO YEARS RIGOROUS IMPRISONMENT TO THEN STATION
MASTER OF RAILWAYS IN A BRIBERY CASE
• CBI REGISTERS A CASE AGAINST A RAILWAY OFFICIAL AND
OTHERS FOR ISSUING FAKE APPOINTMENT LETTERS
• CHAIRMAN RAILWAY RECRUITMENT BOARD(N.F
RAILWAY) SENTENCED TO THREE YEARS
IMPRISONMENT
Special Judge for CBI Cases, Hyderabad has convicted Sri
Dandu Ravi, then Welfare Inspector, South Central Railway,
Tirupati

36. News paper headlines
of 2013
• Member staff is arrested-bail after
4.5 month
• CBI REGISTERS A CASE AGAINST A SENIOR COMMANDANT OF
RAILWAY PROTECTION FORCE FOR POSSESSON OF ALLEGED
DISPROPORTIONATE ASSETS
• TWO YEARS RIGOROUS IMPRISONMENT TO TWO THEN OFFICIALS OF
NORTHEAST FRONTIER RAILWAY
• CBI ARRESTS A SENIOR SECTION ENGINEER(ELECTRICAL) OF
CENTRAL RAILWAY AND AN ADVOCATE IN TWO SEPARATE CASES OF
BRIBERY
• CBI ARRESTS A JUNIOR ENGINEER OF RAILWAY FOR ACCEPTING
BRIBE OF RS. 40,000/-
• CBI REGISTERS A CASE AGAINST AN INSPECTING ENGINEER OF
RITES AND OTHERS FOR ALLEGED LOSS OF Rs. 21.48 LAKH (APPROX)
TO RAILWAYS
• the Special Judge, Mumbai has convicted Shri Amit Kumar Roy, then
Inspector, Railway Protection Force, Mumbai
• Convicted M. Jeyasekar madurai SRly-compassionate appointmennt
• Raid in NWR in connection with a tender case.credential not with
tender.awarded to 2nd
lowest

37. Common mistakes done by most
of us
• In our zeal ,sometime we take out of way decision
to expedite some work without recording proper
reason in detail on file
• Very innocent action - depositing license fee by
railway staff instead of by licensee resulted in a
CBI case on WR & finally conviction .
• Slackness in ensuring quality in Level xing work
resulted in CBI case .all such thing are treated as
fraud
• A fraud case leads to raid & raid leads to
another case ie Disproportionate Asset
case
• Asset-having assets is not a crime-We do’ not
keep proper record of our financial assets
resulting difficulties in case of problem.

38. CBI CASES
• Fraud cases - complainant is department if
decision has caused financial loss to Govt
Department
• Disproportionate Asset case – source
observation – either from vigillence or from
way of living.General survey for Nation Raids –
No arrest in such cases as having assets is
not the crime
• Trap cases – complainant is a person who has
a grudge with you

39. Trap cases
Every acceptance of illegal gratification
whether preceded by demand or not, would
be covered by the Prevention of Corruption
Act, 1988 & punishment is 6 month to 7
year and fine ( new bill pending in
Rajyasabha –minimum 3 yr)
To start a case ,
• A Complaint is required
• Complaint is to be verified in trap cases in
presence of independant witness
• Then actual incidence ie acceptance of
money is to take place in presence of
independant witness

40. Why Trap case happens
• Somebody dissatisfied
• So make complaints
• Type of Bribes
• Nazrarana
• Shukrana
• Haqrana
• Zabarana
R P Saxena 40

41. How to avoid Trap cases
• Trap – do not accept money from
any one.
• Never meet suspected persons
at his place or in his car or any
other place where you have no
reasons for being there.
• Never talk about money either on
phone or in person with
suspected persons

42. How to defend trap case
• If money is recoverd from your
possession ,you have to explain
how it reached there otherwise
under section 20 ,it is presumed
that you have accepted the
money.
• Explanation should be credible
because mere acceptance of
money even if there is no
demand is sufficient to convict

43. Common problem faced by
accused in CBI cases
• The accused get arrested in Trap case
• Accused placed under suspension ,so
pass ,salary becomes half , DOT phone get
disconnected
• No money is available for defense as all
bank accounts are seized & salary is half
due to suspension- No money when one
need it most
• Advocates tries to take advantage of your
ignorance demanding huge money at
every stage
• Bail is never Granted in first
hearing .So avoid hiring expensive
lawyer in Hurry
• Normally bail is granted in 2nd
or

44. Common problem faced
by accused in CBI cases
• The colleague & Relatives starts
maintaining distance
• A depression is set in family due to
uncertain future
• Suicide tendencies develops
• Life changes completely
• Only faith in GOD & support
from friend & family can help
R P Saxena 44

45. Fraud case• The complaint is by department
• Source information
• Many time case are based on
perception of Agency like CAG –
Reliance KG basin , 2G , CWG etc
• Many time executive act out of way
in interest of work but other side
perceive it as vested interest
• Time is not evaluated –less time at
higher cost -money is evaluated
• Fraud leads to Raid & raids lead to
asset case
• Our asset management is poor
• We are careless in keeping records
of financial assets

46. DISPROPORTIONATE
Asset cases
• They are resultant of fraud &
trap case
• Money management is poor
• Book keeping is poor
R P Saxena 46

47. Common mistakes done by most
of us-Assets
• We conviniently forget to keep proper record
of
• i)Marriage gifts
• ii)Maturity value of NSC or other financial
instruments
• iii)Sale proceeds of any assets like flats etc
• iv)Gains from share Market
• v)Any awards ,honrarium etc
• vi)Gift received by children or spouse on
birthday ,marriage anniversary & their investments
• All above aspects results unknowingly in
converting white money in black money
• We habitually preserve all cash memo of our
expenditure & feel elite in using credit cards on
entertainment expenditures

48. Management of Money is
essential
• Therefore
• Always keep record of your
income & pay your tax so that
hard earned money does not get
converted in black money for
petty saving in tax
• Always prepare a balance sheet
along with tax return even if it is
not mandatory
• Declare your assets(with balance
sheet as now tax authority do not
accept balance sheet) in annual
property return

49. Common defense in DA cases
• Agriculture income
• Gifts
• Loans from friends/relatives
• Income of wife
• Income of dependant
• Dowry
• Share..speculation..lottery
• Income from private trade
R P Saxena 49

50. Point to investigate
• Whether income is legal
• Whether income is intimated to
concerned authority ( deptt,
income tax .etc) as per Law
• If illegal ..will not be considered
• If legal but not intimated will
not be considered as it is not in
“known source of Income”
R P Saxena 50

51. Where you want to be ?
• Majority of Railway officer are
straight forward officer
• But even straight officers suffers a
lot because some time their
decision go against vested interest
of few persons & some of these
disgruntled element put a complaint
against them .
• So why not be ready for defense
• Unfortunately in CBI cases
,investigation starts after Raids &
registration of case causing
harrasements
• Raid can happen for any reason .
Some of your associate is being
investigated & your name crop up –
kanimozhi case

52. Ignorance is no Defense
• Many time ,a man is not able to
defend as he is ignorant about
provisions of LAW & had not kept
proper records (of assets , detail of
transactions etc)
• Better hire professional like CA or
Income tax consultant for keeping
up proper financial records .This
investment will pay rich dividends

53. Finance mgmt & PC act
• NEW DELHI: An average of 265
companies got registered every day
in January, taking the total their
number for the whole month to 8,200
and most of them are from the
private sector.
• Every govt person should know
salient provisions of Prevention of
corruption act 1988
•
R P Saxena 53

54. Prevention of corruption act
1988- Various relevant provision
• Section 7 –Public servant
taking gratification accepts
or obtains or agrees to accept
or attempts to obtain from any
person, for himself or for any other
person, any gratification whatever,
other than legal remuneration, as a
motive or reward for doing or
forbearing to do any official act ( No
demand but agreed to accept is
sufficient to convict).

55. Prevention of corruption act
1988
• 13. Criminal misconduct by a public servant-(1) A
public servant is said to commit the offence of
criminal misconduct,- (a) if he habitually accepts or
obtains or agrees to accept or attempts to obtain from
any person for himself or for any other person any
gratification other than legal remuneration
• Section 13(1)d ii - by abusing his position as a public
servant, obtains for himself or for any other person any
valuable thing or pecuniary advantage; or
• 13 (1)–(e) if he or any person on his behalf, is in
possession or has, at any time during the period of his
office, been in possession property disproportionate
to his known sources of income.
• Section 13(2) Any public servant who commits criminal
misconduct shall be punishable with imprisonment for a
term which shall be not less than one year but which
may extend to seven years and shall also be liable to

56. • Section 15. Punishment for
attempt
• Whoever attempts to commit an
offence referred to in clause (c) or
clause (d) of sub-section(1) of
section 13 shall be punishable
with imprisonment for a term
which may extend to three years
and with fine

57. Prevention of corruption
act 1988
• 19.Previous sanction necessary for
prosecution
• (1) No court shall take cognizance of an offence
punishable under section 7, 10, 11, 13 and 15
alleged to have been committed by a public
servant, except with the previous sanction
• Such sanction shall be given by that Government
or authority which would have been competent
to remove the public servant from his office
at the time when the offence was alleged to
have been committed
• No finding, sentence or order passed by a
special Judge shall be reversed or altered
by a Court in appeal, confirmation or revision
on the ground of the absence of, or any error,
omission or irregularity in, the sanction required
under sub-section (1), unless in the opinion of

58. Sanction under section
19
• In case CBI decide to prosecute
the charged official , sanction
for prosecution is asked from
the appointing authority
• If appointing authority ,on the
basis of facts on record ,accord
his approval for prosecution
,then charge-sheet is filed in the
court . If he does not ,closure
report is filed in court

59. The Prevention of Corruption
(Amendment) Bill, 2013
• Offence of giving a bribe to a public servant under
abetment. The Bill makes specific provisions related
to giving a bribe to a public servant, and giving a bribe
by a commercial organisation.
• The Bill redefines criminal misconduct to only cover
misappropriation of property and possession of
disproportionate assets.
• The Bill modifies the definitions and penalties for
offences related to taking a bribe, being a habitual
offender and abetting an offence.
• Powers and procedures for the attachment and
forfeiture of property of public servants accused of
corruption have been introduced in the Bill.
• The Act requires prior sanction to prosecute serving
public officials. The Bill extends this protection to
former officials. R P Saxena 62

60. Pecular cases
• Rly Bd denied permission in 21 cases
• Sr DCM Nagpur
• Sr DCM Vadodara
• In one case permission was given after
denial by various Members
Traffic..finally acquitted from court
now in SAG
• In other case, the permission is not
given at all..now he is PHODR P Saxena 65

61. Railway board denied permission for
porosecution in 21 case
• .. , /.. (1.12.1994), . . , /.. (21.09.1994), , /(6.6.1995), . . ,
/.. (11.7.1996) , /.. (31.12.1997), . , /... (27.8.1997), , /..
(27.08.1997), , /.. (.3.3.1997), . . , /(20.9.1997), . . , /...
(15.10.1997), /.. (22.12.1999), . . , /(21.5.1999), . . , /
(23.6.2000), . . , /, , .. (14.3.2000), , /,.. (12.1.2000), . . /
(11.4.2000), , /.. (19.3.2001), . , /... (28.1.2001), ,
(12.9.2001), , (23.10.2001)
R P Saxena 66

62. Prevention of corruption
act 1988
• Section 20. Presumption where
public servant accepts
gratification other than legal
remuneration
• (1) Where, in any trial it is proved that
an accused person has accepted or
obtained or has agreed to accept or
attempted to obtain for himself, or for
any other person, any gratification or
any valuable thing from any person, it
shall be presumed, unless the contrary
is proved, that he accepted or obtained
or agreed to accept or attempted to
obtain that gratification or that
valuable thing, as the case may be, as
a motive or reward such as is
mentioned in section 7 or, as the case
may be
• (.

63. • 2) Where in any trial of an offence punishable
under section 12 or under clause (b) of section
14, it is proved that any gratification (other than legal
remuneration) or any valuable thing has been given or
offered to be given or attempted to be given by an
accused person, it shall be presumed, unless the
contrary is proved, that he gave or offered to give or
attempted to give that gratification or that valuable
thing, as the case may be, as a motive or reward
such as is mentioned in section 7, or, as the case
may be, without consideration or for a consideration
which he knows to be inadequate.
•
• (3) Notwithstanding anything contained in sub-
section (1) and (2), the court may decline to draw the
presumption referred to in either of the said sub-
sections, if the gratification or thing aforesaid is, in
its opinion, so trivial that no inference of corruption
may fairly be drawn

64. Avoid cases
• Prevention is better than cure
• How
• Do not indulge in any such activity
willfully which can create problem for
you in life
• Do not be there where you should not
normally be like contractor residence ,
contractor car etc
• Do not talk on phone about money
• Always record full reason of taking
particular decision in file

65. Be prepared for defense in case
of casuality (contd)• Fraud – follow rules so that you can defend
your action on later date . If rule is
bypassed ,record reasons
• Dissproportinate Assets – keep your
account clear . Maintain cash book .it is
must . Keep record of marriage gifts &
gifts received on various occassions by
you ,your spouse & childrens –Need not
keep record of expenditure – avoid
using credit card
• Do not think that you are smartest person
in the world & other are fools .
• Always Be prepare for visit of investigation
agency next morning ( they may not
come but what is harm in self

66. What one should do
• Be happy
• Do not get worried unnecessarily . .
• But be prepared with defense in case
of eventuality
• Enjoy life & have a Bright Future

67. • Any question is most welcome
• rajendrasaxena@gmail.com
• THANKS
72R P Saxena

68. Part 2
• How to defend the case in court
of Law
R P Saxena 73

69. How to defend the criminal cases
in court
• All the case are fought on fact &
legality.
• Facts are provided by you &
• legal aspect is taken care of by
your Advocate.
• Therefore both have to work
hard for defending a case

70. Various stage of cases
• Registration of FIR
• Investigation- to be ordered by SP
• Report to SP through legal deptt
• Sanction for prosecution
• Registration of case & submission of
Charge sheet
• Recording of evidence
• Argument
• Judgement

71. Various stage of case
• After registration of case for
investigation ,a thorough investigation is
done
• Witness statement are taken by I.O.
• At last , accused is asked to give his
defense
• These fact are examined by legal deptt of
CBI & based on evidence on record ,it is
decided whether it is fit case for trial
• If not , case is closed .if Yes ,regular case
is registered

72. Sanction under section
19
• In case CBI decide to prosecute
the charged official , sanction
for prosecution is asked from
the appointing authority
• If appointing authority ,on the
basis of facts on record ,accord
his approval for prosecution
,then charge-sheet is filed in the
court . If he does not ,closure
report is filed in court

73. How to defend your case on
various stage
• Stage 1 – Receipt of charge sheet
• Stage 2- framing of charge &
examining of documents
• Stage 3 –Recording of evidence
• Stage 4 Statement of the Accused
under section 313 of Cr P C of 1973
• Stage 5 Argument under section 314
of Cr P C of 1973
• Judgment &
• appeals if necessary

74. Stage 4 Statement of the Accused
under section 313 of Cr P C of 1973.
• After Recording of evidence (prosecution as
well as defense) is over ,the accused is given a
chance to explain his point of view .
• This is the only time when accused is permitted
to speak in court . A written statement can also
be given
• Although there is not much evidence value of
this statement ,However facts, if any ,not yet
come in notice of court, are brought in notice of
Judge , he may consider them while making his
final judgment.
• Accused can also act as own witness under
oath .here he will be cross examined also. This
has the evidential value .Howeve the accused
can not be forced to answer such question
which goes against him.

75. Stage 5 Argument under section
314 of Cr P C of 1973
• After recording statement of the accused,
Argument are held between prosecution &
defense advocate orally in court . Here
various decision ( with citation) of high
court/supreme court are quoted by both
the party to support their arguments
• The Judge notes down salient points of
arguments.
• To avoid the omission or over looking of
any crucial point during oral arguments ,
In addition to Oral argument , a written
argument under section 314 of CR PC
(optional) should also be submitted
before conclusion of oral arguments as
this is the only defense paper which

76. Judgement
• Based on the evidence on
record , argument ,counter
argument & laid down legal
principles , Hon Judge Finally
announce his final judgement
• If acquittal- then happy ending
• If conviction –quantum of
sentence & fine is also
announce either on same day or

77. Appeal in high court
• In case due to any reason, judgment is
against you & then appeal is filed in high
court ,
• Written argument submitted in
session court will be helpful as
appeal in high court is decided on
the bases of documents on record .
No new documents or witness is
permitted in high court .
• Only oral arguments are again done in high
court where your advocate has to explain
where Judge in session court had gone
against the evidence on record & sprit of
settled law while convicting you.

78. FACT YOU WILL LIKE TO KNOW
• The complainant & Investigation
officer are interested witness .
Their evidence value is low
.Independent witness are necessary
to establish the case
• Panch witness is independent
witness & his evidence value is very
high .Cases are lost if independence
of Panch is questionable like known
to police or complainant or habitual
panch or submissive
• Case will continue even if the
complainant become hostile witness

79. Facts you will like to know
• Many case are lost due to defective
sanction order for prosecution like non
application of mind
• Tap recorded evidence are not
acceptable as primary evidence .These
are used as corroborative evidence only
• No document can be introduced later on
if not cited initially in charge sheet.
• There are many laid down procedure for
collecting evidence like telephone
recording ,recording of conversation
,voice sample ,writing Panchnamas etc.if
they are not followed , evidence is not

80. Facts you will like to know
• 1988 act is spl act & over ride general
provisions of law ,Cr PC etc unless silent
• In DA case ,it is accused who has to prove
his innocense wheras in all other case
prosecution has to prove charge
• Suspension of sentence is different from
suspension of conviction
• Every acceptance of illegal gratification
whether preceded by demand or not, would
be covered by Section 7 of the Prevention
of Corruption Act, 1988

81. Some common aspect
for defense
• CBI has to prove case beyond
reasonable doubt . So create doubt in
their story
• The complainant & Investigation
officer are interested witness .
Their evidence value is low
.Independent witness are necessary to
establish the case.
• Panch witness is independent witness
& his evidence value is very high
.Cases are lost if independence of
Panch is questionable like known to
police or complainant or habitual
panch or submissive
• Many case are lost due to defective sanction
order for prosecution like non application of
mind ,so find fault in sanction

82. Facts you will like to know
• Tap recorded evidence are not
acceptable as primary
evidence .These are used as
corroborative evidence only
• There are many laid down
procedure for collecting
evidence like telephone recording
,recording of conversation ,voice
sample ,writing Panchnamas etc.if
they are not followed , evidence is not
acceptable . Learn about them & co-
relate in your case
• Read judgements of supreme courts &
extracts favorable to your case may
be shown to your lawyer

83. Case history in PC act
• Krishna Ram vs State of Rajasthan [SUPREME
COURT OF INDIA, 17 Mar 2009]
•
Criminal – Prevention of Corruption Act, 1988, s. 13(1)
(D) r/w 13(2) – Appeal against conviction and sentence
– Held, once it is proved that the money was recovered
from the possession of the appellant, the burden of
presumption as contemplated under s. 20 of the P.C.
Act, 1988 shifts upon the appellant,
• which he could not rebut through cross-examination of
the prosecution witnesses or by adducing reliable and
convincing evidence to prove that DW-1 advanced
Rs.500/- as loan to the appellant through the
complainant – High Court has rightly concluded that the
explanation given by the appellant was not probable

84. Case history- sanction &
improper investigation
• State of Madhya Pradesh vs Virendra Kumar Tripathi [SUPREME
COURT OF INDIA, 27 Apr 2009]
Criminal – Prevention of Corruption Act, 1988, ss. 13(1)(e) r/w 13(2), 19(3)(1) and 17
proviso II – Circular D/- 09-02-1988 – Acquisition of assets disproportionate to the
known sources of income – Framing of charge – Discharge claimed – Ground, investigation
not conducted by the Authorized police officer, and sanction was not accorded in
accordance with law – Accused submitted that sanction was to be accorded by the law
Department after consulting the parent department of the applicant/accused i.e. Forest
Department which was not done – Trial Court rejected the submissions – Appeal there
against, allowed by High Court –
• Order of High Court, whether proper? – Circular, provisions of Act esp. 19(3)(1),
perused – Finding, advice of concerned Department was necessary – Whether absence
of advice renders the sanction inoperative? – No – Undisputed fact, sanction was given
by Department of Law and Legislative; State Govt. had granted approval of prosecution;
grant of sanction was in the name of Governor of State –
• Advice at the most is an inter-departmental matter – Court further observed that HC
has failed to consider the effect of s. 19(3) wherein inter alia it is provided that finding
etc. of Special Judge shall not be interfered with on ground of irregularity in sanction
unless there is failure of justice – Prejudice or failure of justice not pleaded – Further
Court noted that question of failure of justice cannot be entered into at the stage of
framing of charge – Whether investigating officer was Authorized to conduct the
investigation? – Yes – Deputy Superintendent of Police who conducted investigation in

85. Case history -trivial
• A.Subair vs State of Kerala [SUPREME COURT OF INDIA, 26 May
2009]
Criminal - Prevention of Corruption Act, 1988, ss. 7, 13(1)(d) r/w
13(2) and 20 - Conviction and sentence by Trial Court -
Confirmation by High Court - Whether conviction proper or
whether there is sufficient legal evidence on record to bring
home the guilt of the appellant for the offence u/ss. 7 and 13(1)(d)
r/w 13(2)? –
• Held, No - Provisions perused, evidence of PWs examined - Best
evidence that of complainant not tendered in evidence by the
prosecution; no explanation by investigating officer as to why
complainant was not tendered in evidence; in absence of
examination of the complainant, there is no substantive evidence
to prove the factum of demand; best evidence was thus
unavailable –
• Factum of demand thus remained unproved; thus offence u/ss.
13(1)(d) r/w 13(2) not made out –
• (i) HC raised presumption available u/s. 20 of Act for offence u/s.
7 - Whether justified? - Held, No - S. 20 perused - When alleged
gratification is too trivial, Court is not bound to draw
presumption; in instant case amount involved was Rs. 25 only,
which Court observed was trivial - Conviction and sentence set
aside - Appeal allowed.

86. Be prepared for defense in case
of casuality (contd)
• Fraud – follow rules so that you can defend
your action on later date . If rule is
bypassed ,record reasons
• Dissproportinate Assets – keep your account
clear . Maintain cash book .it is must .
Keep record of marriage gifts & gifts received
on various occassions by you ,your spouse &
childrens –Need not keep record of
expenditure – avoid using credit card
• Do not think that you are smartest person in
the world & other are fools .
• Always Be prepare for visit of investigation
agency next morning ( they may not come

87. What one should do
• Be happy
• Do not get worried unnecessarily . .
• But be prepared with defense in case
of eventuality
• Enjoy life & have a Bright Future

88. • Any question is most welcome
• rajendrasaxena@gmail.com
• THANKS
94R P Saxena