BHARAT ELECTRONICS LIMITED

(A Government of India Enterprise)

Regd. & Corporate Office, Outer Ring Road, Nagavara, Bangalore - 560 045

First Edition : 2011

Published by : Designed & Printed by :

Corporate Vigilance DepartmentBharat Electronics LimitedOuter Ring Road, Nagavara,Bangalore - 560 045

Technical Literature DepartmentBharat Electronics Limited

Jalahalli,Bangalore - 560 013Bangalore Complex,

All rights reserved. This Vigilance Manual shall not be reproduced, distributed or publishedfor any purpose by any one without a prior written permission of the publishers.

Vigilance Manual

VIGILANCE POLICY Bharat Electronics Limited is engaged in thebusiness of Defence Electronics, empowering the Nation’sDefence Forces and in other chosen areas of ProfessionalElectronics. We recognize the importance of Values andEthics in Corporate Governance and understand thatVigilance is essentially a Management function. The Vigilance System In Bharat ElectronicsLimited is committed to assist the Management to promoteTransparency and Equity in the operations of ourCompany, in pursuit of Values and Ethics in CorporateGovernance, by providing effective service to ourstakeholders on a continual improvement basis.

CHIEF VIGILANCE OFFICER

Vigilance Manual i of iv

CHAPTER NO. 1 – INTRODUCTION

CONTENTS PAGE NO.

1.1 Purpose 1

1.2 Objective 1

1.3 Role of Vigilance 1

1.4 Units and Establishments of BEL 1

1.5 The Decision Making Process 2

1.6 Rules and Regulations, Instructions, Manuals and Records held by BEL for discharging its functions 2

CHAPTER NO. 2 – BASIC CONCEPTS OF VIGILANCE

CONTENTS PAGE NO.

2.1 Introduction 3

2.2 Vigilance 3

2.3 Vigilance Angle 4

2.4 Motto of Vigilance 5

2.5 Corruption 5

2.6 Central Bureau of Investigation (CBI) 6

2.7 Public Servant 7

2.8 Fraud 7

2.9 Bribe 7

2.10 Misconduct 7

2.11 Misappropriation 7

2.12 Illegal 7

2.13 Wrongful Gain 8

2.14 Wrongful Loss 8

2.15 Disproportionate Assets 8

2.16 Traps 8

2.17 Principles of Natural Justice 8

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CHAPTER NO. 3 - CENTRAL VIGILANCE COMMISSION

CONTENTS PAGE NO.

3.1 Introduction 9

3.2 Composition of CVC 9

3.3 Jurisdiction of CVC 9

3.4 CVC Contact 10

3.5 CVC’s Advice on Vigilance Matters 10

3.6 Chief Technical Examiner’s Organisation (CTEO) 10

3.7 Chief Vigilance Officer 11

3.8 Role, Duties & Responsibility of the CVO 11

3.9 Project VIGEYE (Vigilance EYE) on CVC Website 12

CHAPTER NO. 4 - VIGILANCE SET UP IN BHARAT ELECTRONICS

CONTENTS PAGE NO.

4.1 Vigilance Committees 13

4.2 Vigilance Organisation Chart 13

4.3 In-house Intensive Examination of Contracts 14

4.4 Formation of Internal Intensive Examination Teams 14

4.4.1 In-house Intensive Examination Team for Works Contracts 15

4.4.2 In-house Intensive Examination Team for Stores / Purchase Contracts 15

4.5 Constitution and Functions of Vigilance Committee of Unit / SBU 16

4.6 Duties & Responsibilities 17

4.6.1 Chairman Vigilance Committee 17

4.6.2 AGM (Vigilance) / CO 18

4.6.3 Sr. DGM (Vigilance) / SU / Bg. Cx. 19

4.6.4 Sr. DGM (Vigilance) / NU / GAD 20

4.6.5

Corporate Vigilance Wings: A. Investigation Wing B. Disciplinary Proceedings Wing C. Anti-Corruption & Vigilance Wing D. Preventive Vigilance Wing E. Technical Wing

22

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CONTENTS PAGE NO.

4.6.6 Vigilance Officer (VO) Unit/SBU 24

4.6.7 Investigation Officer (IO) Unit/SBU 27

4.7 DOs and DON’Ts for Vigilance Staff 27

4.7.1 DOs 27

4.7.2 DON’Ts 28

CHAPTER NO. 5 - COMPLAINTS, INVESTIGATION & DISPOSAL

CONTENTS PAGE NO.

5.1 Complaints 29

5.2 Source of Information 29

5.3 Registration of Complaints 29

5.4 Complaints received in the Unit/SBU 30

5.5 Complaints received in the Corporate Vigilance Department 30

5.6 Disposal of Complaints 30

5.7 Anonymous and Pseudonymous Complaints 31

5.8 Investigation of Complaints 32

5.8.1 Process of Investigation 32

5.9 Departmental Inquiry 35

5.10 Parallel Investigation by HR Department 35

5.11 Time Limit 36

CHAPTER NO. 6 – VIGILANCE REPORTS

CONTENTS PAGE NO.

6.1 Introduction 37

6.2 Classification of Reports 37

6.2.1 Monthly Reports 37

6.2.2 Quarterly Reports 39

6.2.3 Half Yearly Reports 39

6.2.4 Yearly Report 40

6.3 Tenders put on Website 40

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CHAPTER NO. 7 - PREVENTIVE VIGILANCE

CONTENTS PAGE NO.

7.1 Introduction 41

7.2 Sensitising the Public about Corruption 41

7.3 Monthly Meetings of Units/SBUs Divisional Committees 41

7.4 Sensitive Departments 41

7.5 Agreed List & Doubtful Integrity List 42

7.5.1 Agreed List 42

7.5.2 Doubtful Integrity List 42

7.6 Integrity Pact 43

7.7 Observance of Vigilance Awareness Week 43

7.8 Improving Vigilance Administration 44

7.9 CTE / CVC’s guidelines for improvement in the Procurement System 46

7.10 CTE / CVC’s guidelines for improvement in the Contract System 48

7.11 Whistleblower 51

7.12 RTI Act 2005: Implementation in BEL 53

CHAPTER NO. 8A - ANNEXURES 55

CHAPTER NO. 8B – APPENDIXES 93

CHAPTER NO. 9 – IMPORTANT CIRCULARS 115

Vigilance Manual

GLOSSARY OF TERMS

AC & V Anti Corruption & Vigilance ACR Annual Confidential Report AGM Additional General Manager AM Assistant Manager APIO Assistant Public Information Officers APR Annual Property Return BEL-OP BEL Optronics BG CX Bangalore Complex CBI Central Bureau Of Investigation CDA Conduct, Discipline and Appeal Rules CDI Commissioner for Departmental Inquiries CHN Chennai CMD Chairman and Managing Director CO Corporate Office COMPS Components CO-VIG Corporate Vigilance CPWD Contract Public Works Department CRL Central Research Laboratory CSG Central Services Group CTE Chief Technical Examiner CVC Central Vigilance Commission CVO Chief Vigilance Officer DGM Deputy General Manager DI Doubtful Integrity DOPT Department of Personnel and Training DPC Departmental Promotion Committee DPE Department of Public Enterprises ECDA Executives Conduct, discipline & Appeal Rules ECS/EFT Electronic Clearing Service / Electronic Fund Transfer EM Export Manufacturing EW & A Electronic Warfare and Avionics FVR Fact Verification Report GAD Ghaziabad GM General Manager Govt. Government HR Human Resources HYD Hyderabad IEMs Independent External Monitors IO Investigating Officer IP Integrity Pact IPC Indian Penal Code IR Investigation Report KOT Kotdwara LED Liquid Crystal Displays & Devices MC Machilipatnam

Vigilance Manual

MCE Military Communication Equipment MCs Marketing Centers MoD Ministry of Defence MoF Ministry of Finance MR Military Radar NAMU Navi Mumbai NS Naval Systems NU Northern Units PIDPI Public Interest Disclosure and Protection of Informers PIO Public Information Officer PK Panchkula PN Pune PO Presenting Officer POs Purchase Orders PSE Public Sector Enterprise PSU Public Sector Undertaking QPR Quarterly Progress Report ROs Regional Offices RTI Right to Information SBU Strategic Business Unit SOP Standard Operating Procedure Sr. DGM Senior Deputy General Manager SU Southern Units T & BS Telecom and Broadcasting Services TC Technical Cadre VC Vigilance Commissioner VO Vigilance Officer

INTRODUCTION

CHAPTER 1

Doing production is top line,making profit is bottom line.

But Vigilance is life line.

Vigilance Manual 1

CHAPTER – 1

INTRODUCTION

1.1 PURPOSE :

The Vigilance Manual extensively deals with the Objectives and Functions of Vigilance Department and the Systems and Procedures followed in BEL are as per the laid down circulars and guidelines issued by the Central Vigilance Commission and the Management.

Manual is only a ready reference book for use by all the officers and staffs involved in vigilance administration. It cannot and should not be a substitute for reference to the concerned Rules and Office Orders issued by CVC and the Management.

1.2 OBJECTIVE :

Objective of Vigilance is to “Protect the Honest and Punish the Corrupt”. Vigilance organisations have come into being primarily to combat corruption by bringing to book the unscrupulous public servants misappropriating public funds for personal gains as well as harassing the members of the public by demanding bribes for discharging certain public duties which such public functionaries are required to do as part of their normal duties. The primary aim of Vigilance in a govt. organization is preventive and also to introduce fool proof devices in the existing system, fine tune the existing system & build system in case no system is available.

1.3 ROLE OF VIGILANCE : Vigilance has to play a very important and effective role as a tool in the hands of Management to remove the cancerous growth of corruption on the body of the organization and make it healthy, prosperous, productive & sensitive to the needs and requirements of the public. Further, it should assist the Management in improving productivity by identifying areas vulnerable to wastage / pilferage / leakage of resources and suggest preventive measures to plug the loopholes in the system.

1.4 UNITS AND ESTABLISHMENTS OF BEL :

Bharat Electronics Limited (BEL) was established at Bangalore, India, by the Government of India under the Ministry of Defence in 1954 to meet the specialized electronic needs of the Indian Defence services. Over the years, it has grown into a multi-product, multi-technology, multi-unit company serving the needs of customers in diverse fields in India and abroad. BEL offers products and services in a wide spectrum of technology like Radars, Military Communications, Naval Systems, Electronic Warfare Systems, Telecommunications, Sound and Vision Broadcasting, Opto-Electronics, Tank Electronics, Solar Photovoltaic Systems, Embedded Software and Electronic Components. With its expertise development over the years, the company also provides turnkey systems solutions.

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BEL has its Registered Office at Bangalore and manufacturing units at nine locations in India. A network of marketing and customer support centers across India and two overseas offices at New York and Singapore supplementing the operations of the manufacturing units.

1.5 THE DECISION MAKING PROCESS :

BEL has a well-defined system of decision making with adequate channels of supervision and accountability. Proposals requiring decisions of any nature are initiated at appropriate Executive level at the Units/Offices and at the Corporate level. All proposals having financial implications are routed through respective Finance Departments/Divisions. Powers sub-delegated to various approving authorities are clearly spelled out in BEL’s “Sub-Delegation of Powers” document.

1.6 RULES AND REGULATIONS, INSTRUCTIONS, MANUALS AND RECORDS HELD BY BEL

FOR DISCHARGING ITS FUNCTIONS : Following Manuals, listing out various Rules, Regulations and instructions, are available to employees for discharging functions :

(i) Articles of Association and Memorandum of Association (ii) Administrative Manual (iii) CDA Rules (iv) Standing Orders (v) Sub-Delegation of Powers (vi) Purchase Procedure (vii) Sub-Contract Procedure (viii) Works Contract Manual (ix) Security Manual (x) Stores Procedures (xi) Traveling Allowance Rules (xii) Internal Audit Manual

CHAPTER 2

BASIC CONCEPTS OF VIGILANCE

Keep physically fit, mentally alertand spritually strong.

Vigilance Manual 3

CHAPTER – 2

BASIC CONCEPTS OF VIGILANCE 2.1 INTRODUCTION :

Every Govt. servant is bound to observe certain rules of conduct and discipline in discharging his duties. The Code of Discipline which is binding on a Govt. servant is both written and unwritten. The Govt. servant is expected to maintain absolute integrity and devotion to duty and he is at all times, bound to conduct himself in accordance with specific or implied orders of the Government regulating behaviour and conduct which may be in force. Every govt. servant should not only be honest but should also appear to be honest. Govt. servant should conduct himself both in his official functioning as well as in private life that his action should not be questioned on suspicion of dishonesty and lack of integrity. He should not indulge in corrupt practice and other irregularities which will bring bad name to the organization and the country. An independent Corporate Vigilance department was set up in BEL in 2003 to assume overall responsibility of anti-corruption measures. It is responsible for implementation of vigilance related policies of central government in BEL. Corporate Vigilance provides guidelines to Units/SBUs and coordinates within the organization in these matters. The Vigilance department acts as the apex body for exercising general superintendence and control over vigilance matters in administration. It also acts as a liaison between the Organization and the Govt./CVC/CBI.

2.2 VIGILANCE :

Vigilance in the context of any organization would mean keeping a watchful eye on the activities of the officers and officials of the organization to ensure integrity of personnel in their official transactions. Vigilance, in other words, is to ensure clean and prompt administrative action toward achieving efficiency and effectiveness of the employees in particular and the organization in general. As lack of Vigilance leads to waste, losses and economic decline. Vigilance is thus, basically and admittedly a managerial function and, therefore, it is an integral part of duties of an executive. There is a set up of internal vigilance, in every department, and their primary responsibility is to ensure Purity, Integrity and Efficiency of the staff.

The vigilance function comprises of : a) Detective Vigilance b) Punitive Vigilance c) Corrective Vigilance d) Prédictive Vigilance e) Preventive Vigilance

a) DETECTIVE VIGILANCE :

– Effective use and scan of Complaints, Inspection Reports, Audit Reports, Press

Reports, CBI Reports, Judicial Remarks, Source Information – Detection of Corruption practices, Malpractices, Negligence, Misconduct. – Better surveillance of public contact points – Close watch on officers at sensitive posts of doubtful integrity and detect fraud – Scrutiny of decisions taken by officials having discretionary powers – Organizing traps/raids with the help of Police/CBI.

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b) PUNITIVE VIGILANCE : Punitive Vigilance flows out of Detective Vigilance.

− Investigation and collection of evidence and speedy departmental inquiry- Swift

and deterrent action against the real culprits. − Strong action against the corrupt official who brings political, communal and

unethical influences. − Appreciation of vigilance for taking action against corrupt officials. − Wide publicity of punishment meted to the corrupt officials.

c) CORRECTIVE VIGILANCE :

− Analysis of results of detective vigilance. − Exploration of the reasons and contributory factors. − Finding solution to stop recurrence and activate alarm signals. − Updating the practices to keep pace with times. − Transparency in procedures & decision making. − Plugging of the loopholes and updating and building in new whistle blowing

arrangements. − Prepare case study and educate employees. − Attempt to bring in transparency in procedures and decision making. For

Corrective Vigilance to be effective the organization has to have an effective Vigilance network and the Management has to have respect for the advice of the Vigilance Department.

d) PREDICTIVE VIGILANCE :

– Foreseeing an activity prejudicial to the interests of the organization. – Suggesting in advance corrective measures to be taken by the management

against acts of misconduct, corruption, lapses which may occur in the wake of modification of rules, regulations, technology, circumstances etc.

e) PREVENTIVE VIGILANCE :

− Analysis of Rules and Regulations of the organization. − Identifying complexities in the procedures. − Identification of sensitive areas. − Identification of corrupt officials/practices. − Review of Annual Property Returns. − To ensure rotation of officials in sensitive positions. − Regular/Surprise Checks and Inspections. − Arrange in house as well as external vigilance training programmes for

employees and executives.

2.3 VIGILANCE ANGLE : Vigilance angle is obvious in the following acts:

(i) Demanding and/or accepting gratification other than legal remuneration in respect of an official act or for using his influence with any other official.

Vigilance Manual 5

(ii) Obtaining valuable thing, without consideration or with inadequate consideration

from a person with whom he has or likely to have official dealings or his subordinates have official dealings or where he can exert influence.

(iii) Obtaining for himself or for any other person any valuable thing or pecuniary advantage by corrupt or illegal means or by abusing his position as a public servant.

(iv) Possession of assets disproportionate to his known sources of income.

(v) Cases of misappropriation, forgery or cheating or other similar criminal offences.

There are, however, other irregularities where circumstances will have to be weighed carefully to take a view whether the officer’s integrity is in doubt. Gross or willful negligence; recklessness in decision making; blatant violations of systems and procedures; exercise of discretion in excess, failure to keep the controlling authority/ superiors informed in time – these are some of the irregularities where the disciplinary authority with the help of the CVO should carefully study the case and weigh the circumstances to come to a conclusion whether there is reasonable ground to doubt the integrity of the officer concerned. The vigilance activity is not to reduce but to enhance the level of managerial efficiency and effectiveness in the organization. Commercial risk taking forms part of business. Therefore, every loss caused to the organization, either in pecuniary or non-pecuniary terms, need not necessarily become the subject matter of a vigilance inquiry. Thus, whether a person of common prudence, working within the ambit of the prescribed rules, regulations and instructions, would have taken the decision in the prevailing circumstances in the commercial/operational interests of the organization is one possible criterion for determining the bona fides of the case. A positive response to this question may indicate the existence of bona- fides. A negative reply, on the other hand, might indicate their absence. Absence of vigilance angle in various acts of omission and commission does not mean that the concerned official is not liable to face the consequences of his actions. All such lapses not attracting vigilance angle would, indeed, have to be dealt with appropriately as per the disciplinary procedure under the service rules.

2.4 MOTTO OF VIGILANCE :

i. Professionalism ii. Transparency iii. Promptness and iv. Impartiality

2.5 CORRUPTION :

Corruption is use of public office for private gain. For some, it has become a way of life. Corruption undermines the rule of law, strangles economic growth and hurts the poor most severely. It is a key element in economic underperformance. This is equally applicable to Government PSUs.

6 Vigilance Manual

IMPORTANT CAUSES FOR CORRUPTION : (i) Scarcity of goods and services. (ii) Red-tapism and complicated rules and procedure. (iii) Lack of transparency in public office. (iv) Legal cushions of safety for the ‘Corrupt’ i.e. our legal system based on

“everyone in innocent till proved guilty”. (v) Tribalism or biradari among the corrupt who protect each other and (vi) Family ties, - side effect of joint family system i.e. people earns not only for

himself but for his future offspring.

This vice of corruption is playing havoc in all our system of livelihood and day today requirements, means of essential services, all the Govt. offices thereby affecting the society bringing about moral degradation. The Govt. has come up with very tough legislations, set up of Vigilance and Anti-corruption agencies to fight the menace of corruption. There are four categories of Govt. /Public Servants : (i) Honest & efficient. (ii) Honest & inefficient (iii) Dishonest & efficient (iv) Dishonest & inefficient.

The Govt. servant of the third category is very dangerous and a strict watch and close supervision & monitoring of their activities is required. It is very often this group of Govt. officials who indulge in corrupt practices. In pursuance of the recommendations of the Committee on Prevention of Corruption, popularly known as 'Santhanam Committee', various steps were taken by the Government to prevent corruption and to punish the corrupt officials. Some of the outcome of the recommendations are setting up of Central Vigilance Commission, passing of Delhi Special Police Establishment Act, 1964 which is the legal birth of Central Bureau of Investigation. Now, it is the Agenda No. 1 of any Govt. to fight the menace of corruption. Every year, the first week of November is observed as Vigilance Awareness Week, coinciding with the birth of Sardar Vallabhbhai Patel, the Iron-man of India who brought the geographical integrity of India by bringing together more than 600 independent kingdoms and principalities which we inherited at the time of our Independence. The fight against corruption is to be carried to its logical end for which the Vigilance set up of any organization plays a vital role. Section 161 of IPC describes corruption as: ‘Whoever, being or expecting to be a public servant, accepts or obtains, or agrees to accept, or attempts to obtain gratification whatever, other than legal remuneration as a motive or a reward for doing or forbearing to do any official act or for showing or forbearing to show, in the exercise of his official functions favour or disfavour to any person with the Central or State Government or Parliament or Legislature of any State or with any public servant as such. Corruption is also described as the acquisition of forbidden benefits by officials or employees, so bringing into question their loyalty to their employers.

2.6 CENTRAL BUREAU OF INVESTIGATION (CBI) :

Central Bureau of Investigation (CBI), the prime investigation agency was constituted by the Central Government under DSPE Act 1946 for conducting investigation in

Vigilance Manual 7

special crimes and corruption cases. Its jurisdiction has been extended to conduct investigation of the offences alleged to have been committed under Prevention of Corruption Act - 1988 and for other offences entrusted by the Central Government.

2.7 PUBLIC SERVANT :

A Public Servant is defined as a person who is doing a public duty in which the State or the Community at large has got an interest for which he is being paid monetary remuneration or fees from the Govt. As per the Prevention of Corruption Act, 1988, a public servant means any person : A) in service or pay of Government or remunerated by fees or commission for the

performance of ay public duty by the Government.

B) in the service of pay of a local authority, a corporation established by or under a Central, Provincial or State Act, or a Government Company as defined in Section 617 of the Company’s Act, 1956.

2.8 FRAUD :

Fraud is not defined in Indian Penal Code but Section 17 of Indian Contract Act defines Fraud as means of the successful practice of deception with the intention of cheating. Deception is dishonest concealment of facts on the part of a person. The deceiver’s objective is to acquire or retain wrongful possession of property to which the other person has a rightful claim and is entitled to recovery by law.

2.9 BRIBE :

Bribe is an amount received by a public servant other than his legal remuneration for the performance of his official duties.

2.10 MISCONDUCT : Misconduct is an act of violation of conduct rules of an Organization. To be construed in the light of the Company CDA Rules (applicable to each executives) or Standing Orders (applicable to each employees) as “Improper behaviour”, “intentional wrong doing”, “deliberate violation of rules or neglect of duty”.

2.11 MISAPPROPRIATION :

A public servant (an Employee/Executive) who has appropriated property which does not belong to him for his own benefit or for the benefit of someone else for which it was not intended commits misappropriation. Here, an Employee/Executive has got a direct control over the money / property which has been entrusted to him and which he is holding as a trustee.

2.12 ILLEGAL : The word “illegal” is applicable to everything which is an offence or which is prohibited by law, or which furnish a ground for a civil action.

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2.13 WRONGFUL GAIN :

“Wrongful Gain” is the gain by unlawful means of property to which the person or an agency gaining is not legally entitled.

2.14 WRONGFUL LOSS :

“Wrongful Loss” is the loss by unlawful means of property to which the person / organization losing is entitled.

2.15 DISPROPORTIONATE ASSETS :

The assets acquired by an Employee/Executive of the Company during a check period are said to be disproportionate to his known sources of income if, the total value of such assets is more than the difference between his income from all his known sources and the expenditure incurred during the same period.

2.16 TRAPS :

Trap is a process of apprehending an Employee/Executive of the Company by a police officer, or a person authorized to do so, at the moment of demanding/receiving/ accepting the bribe in the form of money of kind other than the legal remuneration as a consideration for showing favour to a person for which that person is not legally entitled to.

2.17 PRINCIPLES OF NATURAL JUSTICE :

The term “Natural Justice” is not defined in any Code including the Constitution of India. Therefore, it may be equated with uncodified Rules of Justice. Principles of Natural Justice are analogous to the Principles of Enquiry as recognized in the Codes of Law. Therefore, Principles of Natural Justice vary from case to case. Though the Principles of Natural Justice has not been defined anywhere in the statute, however, Article 311(2) gives a broad idea about the meaning of the term, Principles of Natural Justice. The articles reads :

“No person who is member of a Civil Service or holds a Civil Post under the Union or State shall be dismissed or removed or reduced in rank except after an enquiry in which he has been informed of the charges against him and given a reasonable opportunities of being heard in respect of those charges”.

Not defined in any Code or Law or Rules but the concept is fairly crystallized through judicial pronouncements and covers the three important principles. I) No one shall be a judge in his own cause II) No one shall be condemned unheard III) Justice should not only be done but it should appear that it is being manifestly

done.

CHAPTER 3

ROLE OF CENTRAL VIGILANCE COMMISSION

Eternal Vigilance is theprice of liberty.

Vigilance Manual 9

CHAPTER - 3

CENTRAL VIGILANCE COMMISSION 3.1 INTRODUCTION :

The Central Vigilance Commission (CVC) was set up as an apex body in 1964 by Govt. of India Resolution in pursuance of the recommendations of Santhanam Committee for exercising general superintendence and control over vigilance matters in administration and probity in public life. The Committee reviewed the then existing arrangements for checking corruption in Central Services and suggested suitable measures for producing a social climate in which corruption would not flourish.

CVC is not a statutory body like UPSC, the Supreme Court etc. The then Home Minister Late Shri Lal Bahadur Shastri, while laying the scheme of Central Vigilance Commission on the table of Parliament, observed that the Commission was to be a fearless champion to the man of integrity and a source of terror to the corrupt officer. In order to achieve this target, punitive, detective as well as preventive measures have to be adopted. The sole purpose of setting of the CVC was to improve the health of the country. There have been further changes in the constitution and functioning of the CVC complying with the recommendation of Independent Review Committee set up in Sept., 1997 and also in compliance with the judgement of the Hon’ble Supreme Court of India in CWP 340-343 of 1993-Vineet Narain and others Vs. Union of India, the Commission had been made a multiple member body and accorded statutory status with effect from 25.8.1998 through “The Central Vigilance Commission Ordinance - 1998 “. Now the Central Vigilance Commission Act 2002 has been passed. In addition to its normal functioning, CVC will be monitoring the anti-corruption work of Central Bureau of Investigation. Besides the CVC will be responsible for deciding the inquiry or fact finding on the contents of any complaint alleging corruption in any govt. office as described in the Resolution on Whistle Blower.

3.2 COMPOSITION OF CVC :

In terms of the Central Vigilance Commission Act 2003, the Commission consists of one Central Vigilance Commissioner (CVC) as Chairperson and two Vigilance Commissioners(VCs) as Members. The appointment of CVC as well as VCs is made by the Hon’ble President of India on the recommendations of the committee consisting of (a) the Prime Minister; (b) Minister of Home Affairs; and (c) the Leader of Opposition in the Lok Sabha.

3.3 JURISDICTION OF CVC :

The Commission’s jurisdiction is co-terminus with the executive powers of the Union and therefore extends to all matters. It can undertake any inquiry into any transaction in which a public servant is suspected or alleged to have acted for an improper or corrupt purpose; or cause such an inquiry or investigation to be made into any complaint of corruption, gross negligence, misconduct, recklessness, lack of integrity or other kinds of mal-practices or misdemeanors on the part of a public servant. The

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Commission tenders appropriate advice to the concerned disciplinary authorities in all such matters having a definite or potential vigilance angle and an element of corruption or criminal misconduct or malafide. It is mandatory to refer the cases involving vigilance angle in respect of all officials up to two levels below the Board level to the Commission. CVC exercises superintendence over CBI in the matters relating to the investigation of the offences alleged to have been committed under the Prevention of Corruption Act - 1988.

3.4 CVC CONTACT :

The Commissioner’s Headquarters operates from New Delhi and the address is as under: Central Vigilance Commission, Satarkata Bhavan, Block ‘A’ GPO Complex, I.N.A. New Delhi - 110 023.

WEBSITE OF CVC : All the circulars/orders of CVC are available on Web : http://cvc.nic.in and complaint can be sent on : vigilance@hub.nic.in.

3.5 CVC’s ADVICE ON VIGILANCE MATTERS :

CVC renders advice at two stages on vigilance matters viz:

A) FIRST STAGE - To consider investigation report and Advise about the type of proceedings (major/minor) to be initialed.

B) SECOND STAGE - To consider inquiry report and advise about the penalty to be imposed.

3.6 CHIEF TECHNICAL EXAMINER’S ORGANISATION (CTEO) :

For looking into the technical matters, CTEO functions under CVC as a Technical Wing of the Commission. Its jurisdiction is co-extensive with that of Commission and extends to examination of major works pertaining to any Ministry/ Department of the Government of India including those relating to works executed by the Central Public Sector Undertakings, Corporate Bodies etc. Quarterly Progress Reports(QPR) of various contracts are submitted by PSUS/Govt. departments to CTE as per the prescribed financial limits given below. CTEO selects few contracts and conducts Intensive Examination of works.

Stores/Purchase contracts - Rs. 2 Crore & above Civil - Rs. 1 Crore & above Electrical / Mechanical - Rs. 30 lakh & above Horticulture - Rs. 2 lakh & above Medical Equipment - Rs. 1 Crore & above Consultancy Contract - 2 largest value Service Contract - 2 largest value Supplies of Medicines Contracts - 4 largest value

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3.7 CHIEF VIGILANCE OFFICER (CVO) :

Each department/organization covered under the normal advisory jurisdiction of the Central Vigilance Commission has a vigilance department headed by a senior level officer designated as the Chief Vigilance Officer (CVO). The Chief Vigilance Officer is appointed with the concurrence of the Central Vigilance Commission. The rationale behind posting of CVOs from outside the organization is to insulate both the organization and the CVO from internal pressures. The Vigilance Manual of the Central Vigilance Commission lays down the duties and functions of Chief Vigilance Officer (CVO) and the vigilance units in detail. The Chief Vigilance Officer acts as an extended arm of the commission and represent the commission in all vigilance matters. The CVOs are required to provide assistance to the Chief Executive of an organisation in all matters relating to vigilance administration and acts as link between the Organisation and CVC. The CVO responsibility is of maintaining probity, integrity and efficiency in the organisation. CVO acts as watchful eye to curb corruption, misconduct, negligence, waste & wrongful loss to the organisation.

3.8 ROLE, DUTIES & RESPONSIBILITY OF THE CVO :

A) Examine the existing organisation procedures and eliminate or minimize factors that provide opportunities for corruption or malpractices.

B) Plan regular inspections, surprise visits for detecting failure in quality or speed of work indicative of existence of corruption or malpractices;

C) Maintain proper surveillance on officers of doubtful integrity and officers who are on the “Agreed List”.

D) Ensure prompt observance of Conduct Rules relating to integrity; covering (i) statements of assets and acquisitions (ii) gifts (iii) relatives employed in private firms or doing private business (iv) benami transactions;

E) Keep a close watch on officers who habitually accept lavish hospitality or pecuniary obligations in dealing with companies or businessmen .

F) Give suitable advice to the Chief Executive about adoption of appropriate procedures and practices with an objective to ensure integrity in administration.

G) Ensure speedy processing of vigilance cases and to see that rules are strictly complied with.

H) Scrutinize final orders passed by the Disciplinary Authority with a view to see whether a case for review is made out or not and also ensure wide publicity to the punishment awarded to the guilty employees for deterrent effect.

I) Ensure proper assistance to the CBI in the investigation of cases entrusted to them or started by them on their own source of information;

J) Ensure consultation with Central Vigilance Commission at stages wherever required;

K) Ensure prompt submission of returns to the Commission.

L) Review the existing arrangements for vigilance work to ensure expeditious and effective disposal of works;

12 Vigilance Manual

M) Ensure that the competent disciplinary authorities do not delay processing of vigilance cases, particularly in cases of officers due to retire;

N) Ensure that cases against the public servants on the verge of retirement do not lapse due to time-limit for reasons such as misplacement of files etc. and that the orders passed in the cases of retiring officers are implemented in time; and

O) To maintain close liaison/interaction with CVC, CBI and Administrative Ministry on vigilance matters.

P) It is the CVO’s responsibility to see that the following types of cases are Generally entrusted to CBI for investigation after approval of the Chief Executive of the Organisation:

i) Allegations involving offences which are criminal in nature (e.g. Bribery,

corruption, forgery, cheating, criminal breach of trust, falsification of records). ii) Possession of assets disproportionate to known sources of income iii) Cases in which enquiries have to be made from non-official persons and non

government records or books of accounts have to be examined and iv) Cases of complicated nature requiring expert police investigation.

Q) For smooth functioning of the vigilance department, CVO is authorized to select vigilance personnel from various disciplines who are qualified in their own field. These officers are selected based on proven integrity and performance.

3.9 Project VIGEYE (Vigilance EYE) on CVC Website : Brief description of new initiative by

Central Vigilance Commission is given below for general information :-

Project VIGEYE (Vigilance EYE) is a citizen-centric initiative, wherein citizens join hands with the Central Vigilance Commission in fighting corruption. Project Vigeye is the platform through which vigilance information flows freely through common public, the government agencies and the vigilance commission, making it possible to achieve a step jump in improving the corruption index.

Important Features of Project VIGEYE:

Citizens have multiple channels to air their grievances and complaints to CVC:

a) Through their mobile phones: by downloading the mobile application from the CVC website. The complaints can be better articulated with additional data like audio/ video/ photo evidence from their mobiles directly.

b) Through the Internet: by filling up the complaint form online they can attach audio/video/photos.

c) Through telephone: help line have been setup The entire complaint processing is done online, in digital form, enabling fast and accurate processing of complaints.

The concerned CVO will interact with the complainant directly over phone/email or in person, as the case may be, to take it forward

CHAPTER 4

VIGILANCE SET UP IN BEL

Vigilance keeps corruption under check,Negligence brings organization under wreck.

Vigilance Manual 13

CHAPTER – 4

VIGILANCE SET UP IN BHARAT ELECTRONICS

4.1 VIGILANCE COMMITTEES :

4.2 VIGILANCE ORGANISATION CHART :

Corporate Level Vigilance Committee

CMD - Chairman All Functional Directors - Members

CVO - Member Secretary

Unit / SBU / Vigilance Committee

Unit / SBU Heads - Chairman Heads of Personnel, Finance & Material Management and

IO - Members VOs of the Units / SBUs - Member Secretary

CMD

CVO

AGM (Vigilance)

Sr. DGM (Vig) / NU / GAD

Sr. DGM ((Vig.)/SU / Bg. Cx.

DGM (AC & V) / CO VO (CO/ROs/ MCs)

VO / NS VO / MR VO(Vig.) / CO

AM(Vig.)/COVO/EW & A

VO/CSG

VO / CRL-BG

VO/NAMU VO/PN

VO / BEL- OP/PN

VO / MCE

VO/COMPSVO/T&BS

VO/EM

VO/HYD VO/CHN

Corporate Vigilance Wings

as per O.O. No. HO/863/032 dt. 03.05.2005

Investigation Wing

Anti Corruption & Vigilance Wing

Disciplinary Proceedings Wing

Technical Wing

Preventive Vigilance Wing

VO/GAD

VO/PK

VO/KOT

VO/CRL-GAD

VO/MC VO/KOT

VO/PK

VO / Systems

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4.3 IN-HOUSE INTENSIVE EXAMINATION OF CONTRACTS :

Units / SBUs are sending Quarterly Progress Reports of various contracts as per prescribed financial limits given below. Based on these reports, Corporate Vigilance selects the Works Contract and Stores / Purchase Contracts for conducting Intensive Examination.

** Below mentioned are the categories of Works Contracts, containing prescribed financial limits :

Civil - Rs. 1 Crore & above

Electrical / Mechanical - Rs. 30 lakh & above

Horticulture - Rs. 2 lakh & above

Medical Equipment - Rs. 1 Crore & above

Consultancy Contract - 2 largest value

Service Contract - 2 largest value

Supplies of Medicines Contracts - 4 largest value

4.4 FORMATION OF INTERNAL INTENSIVE EXAMINATION TEAMS :

As per the guidelines issued by CVC, the Public Sector Enterprises are required to form internal Inspection Teams for conducting Intensive Examination of Works Contracts and Stores / Purchase Orders on the pattern of CTE Organisation, periodically. The results of such inspections are reported to CTE by BEL Corporate Vigilance along with Quarterly Progress Reports in the prescribed format at Appendix-3 - Chapter 8B which is applicable for both Works Contracts and Purchase Contracts.

Inspection Teams have been constituted in BEL for carrying out Intensive Examination on the pattern of CTE Organization for Works Contract and Stores/Purchase Contract as given below. Before conducting Inspection at Unit / SBU, Chairmen, Intensive Examination Teams for Works Contract would obtain the details from the concerned Unit / SBU in the format prescribed at Appendix-4 - Chapter 8B (Covering letter & Annexure I, II & III). Before conducting Inspection at Unit / SBU, Chairmen, Intensive Examination Teams for Stores/Purchase Contracts would obtain the details from the concerned Unit / SBU in the format prescribed at Appendix-5 - Chapter 8B (Covering letter & Annexure I & II).

Intensive Examination of Works / Stores / Purchase Contracts

Works Contracts**

Stores / Purchase Contracts more than Rs. 2 Crore

Vigilance Manual 15

4.4.1 IN-HOUSE INTENSIVE EXAMINATION TEAM FOR WORKS CONTRACTS:

4.4.2 IN-HOUSE INTENSIVE EXAMINATION TEAM FOR STORES / PURCHASE

CONTRACTS :

Sr. Executive of AGM level Chairman

Sr. Executive from Finance Member Secretary

Sr. Executive from MM / Purchase Member

Sr. DGM (Vigilance) / NU & VO / GAD Member

Sr. Executive of AGM level Chairman

Sr. Executive from Finance Member

Sr. Executive from Engineering Services Member

Sr. DGM (Vigilance) / SU / Bg. Cx.

Member Secretary

Sr. Executive of AGM level Chairman

Sr. Executive from Finance Member

Sr. Executive from Central Services Member

Sr. DGM (Vigilance) /NU & VO / GAD

Member Secretary

Bg. Cx. Works Team [Inspection team for Works Contract ofOther Units (GAD, HYD, CHN, NAMU,PUNE, MC, BEL-Optronics, Pune]

GAD Works Team [Inspection team for Works Contract of Bg. Cx., KOT & PK ]

In-house Intensive Examination Teams for Works Contracts

In-house Intensive Examination Teams for Stores / Purchase Contracts [More than Rs. 2 Crore]

Bg. Cx. POs Team [Inspection team for POs of OtherUnits (GAD, HYD, CHN, NAMU,PUNE, MC, BEL-Optronics, Pune]

GAD POs Team [Inspection team for POs of

Bg. Cx., KOT & PK]

Sr. Executive of AGM level Chairman

Sr. Executive from Finance Member Secretary

Sr. Executive from MM / Purchase Member

Sr. DGM (Vigilance) / SU / Bg. Cx.

Member

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4.5 CONSTITUTION AND FUNCTIONS OF VIGILANCE COMMITTEE OF UNIT / SBU

1. The Unit / SBU Vigilance Committee will be constituted as follows:

Unit / SBU Head - Chairman

Divisional Personnel Head - Member

Divisional Finance Head - Member

Divisional MM Head - Member

Investigation Officer - Member

Vigilance Officer - Member Secretary

The Vigilance Committee constituted as above may co-opt any other senior Executive of the Unit / SBU as Member of the Committee on need basis when there is requirement of such Member in the Committee to discuss the vigilance matters pertaining to area of activity of such Member.

2. The meeting of Vigilance Committee will be held every month latest by 25th to deliberate on vigilance matters pertaining to the Unit / SBU. In the absence of the Chairman, the senior most Member of the Committee will officiate as Chairman of the Committee. The Minutes of the Meeting along with the Monthly Report of vigilance status will be sent by the Member Secretary through Chairman Vigilance Committee to CO - VIG to reach by 1st of next month.

3. The Vigilance Committee will review the status of pending Investigation / Enquiry / Disciplinary Proceedings cases in the Unit / SBU and will take necessary action to ensure timely disposal of such cases. The Member Secretary will put before the Committee, the details of such pending cases and other vigilance matters requiring the attention of the Committee.

4. The Vigilance Committee will review the status of implementation of e-tendering/ e-procurement in the Unit / SBU and will ensure that, CVC Guidelines / CMD / CVOs instructions on the subject is complied with to bring transparency in procurement and contracts.

5. The Vigilance Committee will review the status of implementation of instructions contained in CVC / MoD / DPE Guidelines and CMD / CVO Circulars received from time to time on vigilance matters in the Unit / SBU. For this purpose, the Member Secretary will put up the list of such Guidelines and Circulars received every month and requiring / pending implementation.

6. The Vigilance Committee will identify the corruption prone / sensitive areas of the sections in the Unit / SBU and plan and implement rotation of Executives and Non-Executives working in corruption prone / sensitive areas for more than 3 years as on 1st of April every year within next 6 months. The Member Secretary will put up the list of such Executives and Non-Executives in the monthly meeting held in April every year and thereafter status of implementation of job rotation every month.

7. The Vigilance Committee will review monthly, the system of surprise and regular inspection in the Unit / SBU and take appropriate steps for its efficient working.

Vigilance Manual 17

The Vigilance Committee will take notice and also review the lapses observed during such surprise and regular inspection and take appropriate actions. The Member Secretary will put up before the Committee, a brief on surprise / regular inspection conducted in the month highlighting the lapses found. He will also put up actions pending for implementation in earlier surprise / regular checks.

8. The Vigilance Committee will appoint sub-committee to scrutinise high value POs / Sub - contracts orders and review the status of implementation of actions and on lapses found by the sub - committee every month. As per the CMDs Orders, all POs / Contracts of more than Rs.50 Lakhs are to be scrutinised compulsorily. The Member Secretary will put up list of such cases pending action before Committee every month.

9. The Vigilance Committee will review the status of comments / replies and actions pending on CTE / in-house Intensive Examination Reports and take appropriate actions on timely compliance. The Member Secretary will put up list of such pending Paras and actions pending relating to such Examination Reports.

10. The Vigilance Committee will facilitate study of system improvement taken by the Vigilance Officer on different areas at least once in 6 months and ensure implementation of measures recommended.

11. The Vigilance Committee will ensure that all Executives are put through Vigilance Awareness Programme at least once in 10 years. Besides, it will also ensure that, Non-Executives who are functioning in sensitive areas are to be exposed to Vigilance Awareness Programme.

12. The Vigilance Committee will provide all logistics support and other facilities to VO / IO to facilitate efficient functioning of vigilance in the Unit / SBU.

13. Any other task assigned by CMD / CVO. 4.6 DUTIES & RESPONSIBILITIES :

4.6.1 CHAIRMAN VIGILANCE COMMITTEE :

1. As Chairman of Vigilance Committee, he will endeavor to maintain integrity and transparency in all functions of Unit / SBU.

2. Chair the Monthly Meeting of Vigilance Committee every month to review the status of vigilance in the Unit / SBU. The meeting to be held latest by 25th of every month, so that the Minutes / Monthly Report / Quarterly Report could reach CO - VIG by 1st of next month.

3. Along with VO, will identify Executives / TC Personnel who are to be kept under Agreed List and Doubtful Integrity List and send the same to CO-VIG for further action. Also approve names of those Non-Executives, who are to be kept under internal Agreed List and Doubtful Integrity List.

4. Any other task assigned by CMD / CVO.

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4.6.2 AGM (VIGILANCE) / CO:

1. He will report administratively and functionally to the Chief Vigilance Officer.

2. As Principle Staff Officer, will assist CVO for ensuring implementation of Corporate policies and CVC /DPE/MoD guidelines on all Vigilance matters in the company.

3. Responsible for compilation / collation of all Vigilance reports, correspondences and returns from all the SBUs /Units including Corporate Office (considered as a Unit), and further onward submission to the MoD/CVC/CBI/MoD/and other Govt. departments.

4. Follow up the cases pending investigation / enquiry / disciplinary actions in all SBUs/Units for timely disposal as per CVC Guidelines.

5. Put up shortcomings and difficulties faced if any in the working of Vigilance and recommend improvement needed.

6. Put up before CVO all the pending Vigilance matters of the Company in the first of week of every month and along with suggestions for expediting action.

7. Maintain a Vigilance Compliant register in prescribed format at the corporate level for keeping records of Complaints received in Corporate Vigilance and maintain register for keeping track of progress of investigation and disciplinary proceedings in prescribed format.

8. Ensure circulation of all CVC / DPE / MoD guidelines / CMD / CVO Circulars to all Units / SBUs, for compliance.

9. Liaise with the CBI and vigilance set up of other central PSU’s in Bangalore, regarding Vigilance matters.

10. Initiate action to prepare Vigilance Manual for BEL and its updation yearly thereafter.

11. Take steps to publish BEL Corporate Vigilance Half yearly magazine containing important matters relating to Vigilance.

12. Co-ordinate with CVC for carrying out their audit on Vigilance function and take corrective actions based on audit findings of CVC.

13. Put up review of vigilance work done by ACVOs on quarterly basis by 30th of next month of quarter along with comments on review report sent by ACVOs on vigilance performance of VOs / IOs.

14. Put up nominations of Executives for external training / seminars / meetings relating to vigilance and disciplinary proceedings and maintain record of trained Executives.

15. Put up for CVO agenda points for MoD / CVC / Board / Roll on Plan/ CMD / Quarterly and other important meetings, relating to Vigilance.

16. Visit Units / SBUs in connection with vigilance related activities.

17. Look after the work of CVO in his absence.

18. Carryout any other duties entrusted to him by CVO.

Vigilance Manual 19

4.6.3 SR. DGM (VIGILANCE) / SOUTHERN UNITS / BG. CX. :

1. He will be based in Bg. Cx. Unit under the administrative control of D (BC) and will functionally report to CVO through AGM(Vigilance) Corporate Office.

2. Will discharge duties as resource person on vigilance matters w.r.t. Southern Units i.e., Bg. Cx. SBUs / HYD / CHN / MC / NAMU / PN Units. Vigilance Officers of Bg. Cx/ HYD / CHN / MC / NAMU / PN Units will report to him.

3. Supervise the work of VOs of Bg. Cx. SBUs / HYD / CHN / MC / NAMU/ PN Units for all activities of Vigilance and regularly visit these Units / SBUs to review vigilance status.

4. Earmark separate timings and days to meet visitors / staff / vendors who come with specific complaint / information on vigilance issues relating to units / SBUs.

5. Scrutinize and analyze complaints received and take up or direct any VO/IO from Units / SBUs for investigation in respect of Non-Executives. In case of Executives, forward complaint to Corporate Vigilance. While doing so, will guard against malicious victimization and vindictiveness and ensure proper documentation of such complaints and status thereof.

6. Monitor the implementation of CVC / MoD / DPE Guidelines / CMD / CVOs instructions in the Units / SBUs.

7. Monitor and ensure timely compliance of submission of all periodical reports and returns to Corporate Vigilance on vigilance activities by Units / SBUs. A copy each of Monthly Meetings / Monthly / Quarterly Reports be endorsed by VOs of Units / SBUs.

8. Organise Vigilance Seminars / Workshops, besides arranging training programmes for executives working in vigilance and other sensitive areas. Will maintain a list of experienced faculty external as well as internal and also prepare training modules of short duration covering desired aspects of vigilance work / disciplinary proceedings.

9. Maintain list of trained executives in Domestic Enquiry / Disciplinary proceedings / VO Course / Presenting Officers Course etc. and project further requirement of trained executives after assessing needs of each Unit/ SBU.

10. Will be the Liaison Officer on vigilance matters of BEL and will liaise and co-ordinate with CBI, Bangalore and respective CBI Officers of Southern Units.

11. Monitor the timely completion of Investigation / Enquiry / Disciplinary Proceedings pending in different units / SBUs.

12. Organize the Vigilance Awareness Week and other vigilance related activities to bring awareness about vigilance among Executives / Non Executives.

13. Monitor the rotation of Executives and Non Executives working in sensitive areas for more than 3 years as on 1st April every year in Units / SBUs.

20 Vigilance Manual

14. Ensure atleast 20% scrutiny of Annual Property Returns by Vigilance Officer of Unit / SBU and monitor the actions on abnormalities noticed during scrutiny.

15. Monitor strict implementation of e-tendering within Units / SBUs and report to Corporate Vigilance, lapses if any.

16. Monitor the study of system improvements in sensitive / corruption prone areas taken up by Vigilance Officers of Units/SBUs and ensure its implementation.

17. As the Member Secretary of technical inspection team for Works Contracts, will conduct Intensive Examination of Works Contracts of GAD / CHN / HYD / MC / NAMU / PN Units along with the inspection team and submit the report on the pattern of CTE, CVC to Corporate Vigilance. Monitor action on lapses found during in-house/CTE inspection reports.

18. Send list of Executives for inclusion in Agreed List and List of Doubtful Integrity to Corporate Vigilance by 30th January and also hold periodic meeting with SP, CBI in Bangalore. Monitor and make arrangements for watching employees placed in Agreed List / DI List and report if adverse activities are noticed on quarterly basis.

19. As the member Secretary of the Committee for inspection / Examination of Stores/ Purchase Orders, along with the inspection team will conduct intensive examination of purchase orders exceeding Rs. 2 Crores in different BEL Units/SBUs, chosen at random by CO Vigilance.

20. Monitor timely implementation of ECS / EFT in Units / SBUs.

21. Co-ordinate and ensure that system of surprise / regular inspections in the Units is working effectively and efficiently.

22. Collect intelligence / informations on vigilance related matters in respect of Units. For this purpose, he will cultivate and maintain a list of sources.

23. Any other task assigned to him by CVO.

4.6.4 SR. DGM (VIGILANCE) / NORTHERN UNITS / GAD :

1. He will be based in GAD Unit under the administrative control of GM, GAD Unit. He will functionally report to CVO through AGM(Vigilance)/CO.

2. Discharge duties of Vigilance Officer of GAD Unit in addition to his duties as resource person on vigilance matters w.r.t. Northern Units i.e., PK/KOT Units. Vigilance Officers of PK/KOT Units will report to him in discharge of Vigilance functions.

3. Supervise the work of VOs of PK/KOT for all activities of Vigilance and regularly visit these Units to review vigilance status.

4. Earmark separate timings and days to meet visitors / staff / vendors who come with specific complaint / information on vigilance issues relating to units in his jurisdiction.

5. Scrutinize and analyze complaints received and take up or direct any VO/IO from Units for investigation in respect of Non-Executives. In case of

Vigilance Manual 21

Executives, forward complaint to Corporate Vigilance. While doing so, will guard against malicious victimization and vindictiveness and ensure proper documentation of such complaints and status thereof.

6. Monitor the implementation of CVC / MoD / DPE Guidelines/ CMD/ CVOs instructions in the Units.

7. Monitor and ensure timely compliance of submission of all periodical reports and returns to Corporate Vigilance on vigilance activities by Units. A copy each of Monthly Meetings/ Monthly / Quarterly Reports be endorsed to him by VOs of Units.

8. Organize Vigilance Seminars / Workshops, besides arranging training programmes for executives working in vigilance and other sensitive areas. For this purpose, maintain a list of experienced faculty external as well as internal and also prepare training modules of short duration covering desired aspects of vigilance work / disciplinary proceedings.

9. Maintain list of trained executives in Domestic Enquiry/ Disciplinary proceedings/ VO Course / Presenting Officers Course etc. and project further requirement of trained executives after assessing needs of each Unit.

10. Will be the Liaison Officer on vigilance matters of BEL and will liaise and co-ordinate with respective CBI officers of Northern Units.

11. Monitor the timely completion of Investigation/ Enquiry/ Disciplinary Proceedings pending in different units.

12. Organize the Vigilance Awareness Week and other vigilance related activities to bring awareness about vigilance among Executives/ Non Executives.

13. Monitor the rotation of staff, Executives and Non Executives working in sensitive areas for more than 3 years as on 1st April every year in Units.

14. Ensure atleast 20% scrutiny of Annual Property Returns by the Vigilance Officer of the Unit and monitor the actions on abnormalities / adverses noticed during scrutiny.

15. Monitor strict implementation of e-tendering within Units and report to Corporate Vigilance lapses if any.

16. Monitor the study of system improvements in sensitive/corruption prone areas taken up by Vigilance Officers of Units/SBUs and ensure its implementation.

17. As the Member Secretary of technical inspection team for Works Contracts, will conduct Intensive Examination of Works Contract of Bg. Cx., PK & KOT Units along with the inspection team and submit the report on the pattern of CTE, CVC to Corporate Vigilance and monitor actions on Lapses found during in house / CTE inspection reports.

18. Send list of Executives to Corporate Vigilance by 30th January for inclusion in Agreed List and List of Doubtful Integrity and also hold quarterly meeting with SP's of CBI having jurisdiction of GAD Unit and monitor & make arrangement for watching employees placed in Agreed List / DI List and report if adverse activities are noticed.

22 Vigilance Manual

19. Monitor timely implementation of ECS / EFT in Units.

20. Co-ordinate and ensure that system of surprise / regular inspections in the Units is working effectively and efficiently.

21. Collect intelligence / informations on vigilance related matters. For this purpose, he will cultivate and maintain a list of sources.

22. Any other task assigned by CVO.

4.6.5 CORPORATE VIGILANCE WINGS :

A. INVESTIGATION WING :

1. Investigation of Complaints.

2. Monitoring the progress of Investigations.

3. Verification of files in which irregularities suspected based on Source Information.

4. To keep surveillance on corrupt elements, vulnerable areas and persons of doubtful reputation to conduct regular and surprise checks in sensitive corruption prone areas, to record statements of witnesses and so, on.

B. DISCIPLINARY PROCEEDINGS WING :

If on the basis of Investigation report, the disciplinary authority decides to initiate disciplinary proceedings against a public servant, then various stages / functions are involved such as:

1. Drafting the Charge sheet and it is served to the employee after it is approved by the competent authority. Drafting the charge sheet is a laborious and complex matter and any charge sheet not properly prepared, would not sustain in the enquiry proceedings.

2. Scrutiny of Charged Officers reply to the charge sheet.

3. If on the basis of investigation report, it is concluded, or his reply is not satisfactory, or if the Charged Officer denies the Charges, then the case is to be further processed to appoint Inquiry Officer and Presenting Officer.

4. To monitor the progress of Inquiry proceedings.

5. On receipt of Inquiry Officers report, it is to be examined, scrutinized not only to see, whether the Investigation Officer has followed the principle of natural justice, but also whether is findings/ conclusions are reasonable / acceptable. Detailed analytical notings are required to be recorded by Vigilance Officer, where IOs findings are not acceptable.

6. Similarly, a copy of the IOs report is required to be given to the Charged Officers asking for his representation / comments on the IOs findings. These are to be further examined on receipt.

7. Whenever necessary consultation with CVO has to be done, detailed references are required to be drafted.

Vigilance Manual 23

8. Finally, based on the decision of Disciplinary Authority, an order of punishment/ exoneration is to be prepared, got approved and issued.

C. ANTI-CORRUPTION AND VIGILANCE WING :

The following Works will be dealt by DGM (AC &V) CO :

1. He will act to strengthen vigilance and supervisory control through awareness, detect possible weakness and loopholes in the systems and take positive measures, to prevent their occurrence.

2. Maintaining information about persons of bad reputation, maintaining lists of persons of doubtful integrity, maintaining in consultation with CBI, an agreed list-keeping liaison with CBI and CVC.

3. Tendering advises to Disciplinary Authorities in particular and to the Management in general on anti-corruption activities.

4. Liaison with SBUs / Units in getting the monthly / quarterly vigilance reports and scrutinize the same

5. Request CBI to undertake investigations in more grave irregularities involving wider ramifications.

6. Corruption opportunities to be plugged through review of administrative polices, and managerial practices improvement in procedures and instructions.

7. Analysis of Surprise and Regular inspections.

8. Updating works contract manual, purchase procedure manual and sub contract manual, in line with CVC, MoD, MoF, DPE guidelines.

9. Liaison with e-tendering and e-procurement committee.

10. Scrutiny of APR's Overall review at Corporate.

11. Overall review of training on Vigilance at corporate level.

12. Overall review Job Rotation of persons posted in sensitive areas.

13. Simplification of procedures, rules, circulars, regulations, instructions etc.

14. Recommend measures by which opportunity to indulge in corrupt practices is reduced.

NOTE: While the Investigation Wing will concentrate on investigation and probing aspects, and prepare investigation reports, the Anticorruption and Vigilance wing will process those reports after scrutiny, recommend, further investigation or strengthening of Vigilance Case, suggest alternative angles of investigation and there after put up the cases to Disciplinary Authority.

24 Vigilance Manual

D. PREVENTIVE VIGILANCE :

1. To strengthen leadership and supervisory control through awareness.

2. To bring in awareness among the managers at all levels, to be alert, to the possible weakness and loopholes in their systems and take positive measures, to prevent their occurrence.

E. TECHNICAL WING :

1. To assist CVO in the investigation of technical cases.

2. To organize Intensive Examination of Purchase Orders, Civil, Electrical / Mechanical, Horticulture works on the guidelines of CTE/CVC.

3. To scrutinize the reports submitted by the Intensive Examination teams and submit the same with technical remarks to CVO for further necessary action.

4. To co-ordinate with CTE to carry out their inspection on BEL works.

5. To scrutinize the inspection reports of CTE and take necessary action based on the CTE report.

4.6.6 VIGILANCE OFFICER (VO) UNIT/SBU :

1. He will be responsible for Vigilance function of the Unit / SBU.

2. As Vigilance Officer of the Unit / SBU, will act as the Member Secretary of the Vigilance Committee of the Unit / SBU.

3. Will be responsible for the timely submission of all periodical reports / returns / correspondences to Corporate Vigilance. A copy of Monthly Meeting / Quarterly Report will also be endorsed to the concerned Sr.DGM Vigilance SU/NU.

4. Review and report the status of implementation of e-tendering / e-procurement in the Unit / SBU to the Vigilance Committee every month to ensure strict compliance of CVC guidelines on e-tendering / e-procurement on monthly basis.

5. Undertake system study at least once in 6 months of different areas in his Unit / SBU with a view to streamline and simplify the procedures and to eliminate / minimise the factors providing opportunities for corruption and malpractices, under intimation to CO - VIG and Vigilance Committee. Put up his recommendations to Vigilance Committee for implementation in 3 months. (Format for System Improvement at Appendix-7 - Chapter 8B).

6. Maintain the record of scrutiny of POs / Sub - contracts of high value by sub-committee appointed by Vigilance Committee in the prescribed format. At his own level, scrutinise at least 1 PO / Contract in a month. Initiate appropriate actions on the lapses found on scrutiny. Serious / major lapses to be intimated to CO - VIG for further action. Put up brief note on scrutiny of POs / Contracts to Vigilance Committee highlighting lapses found and actions pending on lapses. (Annexure 1 - Chapter 8A). Checklist for Review of Purchase Orders & Contracts is placed at Appendix-6 - Chapter 8B.

Vigilance Manual 25

7. Maintain the list of Executives / TC Personnel who are not put through any Vigilance Awareness Programme in the last 10 years and put up list to Vigilance Committee. Organise such programmes at least once in 6 months locally in consultation with CO-VIG. In addition, will organise Vigilance Awareness Programme and other activities to bring awareness on vigilance for the Non-Executives especially those who are posted in sensitive areas.

8. Monitor the implementation of various CVC / MoD / DPE / CMD Guidelines / Circulars and CVOs instructions received from time to time within the Unit / SBU and send the status of compliance to CO - VIG. Put up list of various guidelines / circulars received and actions pending before Vigilance Committee every month.

9. Maintain a separate office as a VO and earmark specific timings and days in a week to meet the Visitors / Staff / Vendors, who come with specific complaint / information on vigilance issue relating to Unit / SBU, exclusively and confidentially.

10. Monitor the timely completion of Investigation / Enquiry / Disciplinary Proceedings pending in the Unit / SBU and bring it to the notice of Vigilance Committee / CO - VIG of any delay if any.

11. Conduct scrutiny of at least 20% APRs of Executives (Below E 7) and TC Personnel in a financial year and maintain the record of scrutiny in the prescribed format so that, all Executives (Below E 7) and TC Personnel are covered in a block period of 5 years. will report any abnormalities noticed during the scrutiny requiring further action to CO - VIG and keep Chairman Vigilance Committee informed. APRs will be kept in custody of Personnel Head of the Unit / SBU. (Annexure 2 - Chapter 8A)

12. Identify specific corruption prone / sensitive area / section in his Unit / SBU and put up a list of Executives and Non-Executives working for more than 3 years in such places as on 1st of April every year to Vigilance Committee for rotating them. The job rotation should be completed within next 6 months of identifying the persons. Put up status of job rotation to Vigilance Committee every month.

13. Identify Executives / TC Personnel working in the Unit / SBU for keeping in Agreed List and Doubtful Integrity List in consultation with Chairman Vigilance Committee and send the list to CO - VIG for approval by 20th of January every year. If any Non-Executive is to be kept in Agreed List and Doubtful Integrity List, the same will be put up to Chairman Vigilance Committee for approval to keep them in Internal Agreed List and Doubtful Integrity List by 30th of January every year. Make arrangements to keep watch on persons kept in Agreed List and Doubtful Integrity List and send quarterly reports by 10th of next month of quarter.

14. Maintain the vigilance complaint register in the prescribed format in 3 Parts. Part I for Executives, Part II for Non-Executives and Part III for non-vigilance complaints. If complaint relates to Executives (with or without Non-Executives), then it should be entered in Part I and if it relates to Non-Executives only, it should be entered in Part II. If complaint relates to non -

26 Vigilance Manual

vigilance matters which are received in vigilance section, then it may be separately entered in the register in Part III and after entering the details, the complaints may be forwarded to P&A or the concerned department for further action. Vigilance Officer will sign the entries in the vigilance complaint register. (Annexure 3 - Chapter 8A)

15. When complaint having vigilance angle is received against Executives, will send it to CO - VIG for further action under intimation to Chairman Vigilance Committee. If complaint relates to Non-Executives will take up action on such complaints under intimation to CO - VIG and after keeping Chairman Vigilance Committee informed.

16. Submit the Investigation / Preliminary Enquiry reports on the complaint taken up for investigation in the prescribed format. Besides, will also submit the fact verification report on source information / report. (Annexure 4 & 5 - Chapter 8A)

17. Maintain track of progress on investigations till its disposal in the prescribed format. Maintain the register showing the progress of disciplinary proceedings until its disposal in the prescribed format.(Annexure 6 & 7 - Chapter 8A)

18. Organise / conduct surprise and regular checks / inspection in corruption prone areas / sensitive areas and make a record of such checks in the prescribed formats. Initiate and monitor actions on the lapses observed. Put up note on outcome of surprise / regular inspections conducted every month and actions pending on lapses found to Vigilance Committee every month.

19. Collect intelligence / informations on vigilance related matters within his Unit / SBU and act properly on such information. For this purpose, cultivate and maintain a list of sources.

20. Expedite the comments / replies on CTE / In-house Intensive Examination Reports on POs / Contracts and other reports. Monitor actions recommended in such reports and send the status of implementation to CO - VIG whenever and wherever asked for. Put up such examination reports and actions pending on reports before the Vigilance Committee for appropriate timely action.

21. Keep close liaison with SP, CBI having the jurisdiction and hold periodic meeting to exchange relevant information on vigilance matters of Unit / SBU.

22. Keep all vigilance related documents including Complaint Register, Files, Correspondences, Circulars, Returns, Reports, Periodicals / Books etc, in personal custody and hand over the same to the next incumbent after the completion of his tenure as VO, along with authenticated list of such documents / files.

23. Any other task assigned by CVO.

Vigilance Manual 27

4.6.7 INVESTIGATION OFFICER (IO) UNIT/SBU :

1. Assist and report to Vigilance Officer of Unit / SBU.

2. Investigate the cases entrusted by Vigilance Officer / Chairman, Vigilance Committee / Corporate Vigilance and submit the report timely in prescribed format. Keep documents relating to investigation in safe custody and make them available to appropriate authority.

3. Assist Vigilance Officer in organizing / conducting regular / surprise inspections and also conduct independent inspection in corruption prone and sensitive areas of Unit / SBU.

4. Develop and maintain effective Vigilance Information Network in Unit / SBU.

5. Assist Vigilance Officer in keeping watch over persons kept in agreed list/ Doubtful Integrity list and internal agreed list / Doubtful Integrity list.

6. In the absence of Vigilance Officer he will discharge the duties of Vigilance Officer of the Unit / SBU.

7. Assist Vigilance Officer in preparation and submission of periodical reports / returns and in maintenance of records / registers.

8. Carry out any other task assigned by VO / Chairman, Vigilance Committee / Corporate Vigilance.

4.7 DOs AND DON’Ts FOR VIGILANCE STAFF :

4.7.1 DOs :

a) Be objective in collecting the facts and evidence- both oral and documentary.

b) Develop an information channel for planning and conducting preventive checks so as to cover all the departments vulnerable to corruption.

c) Before taking up allegation for investigation always ensure that it has s vigilance angle.

d) Complete investigation with reasonable speed and in an objective manner so as to instill a sense of confidence. Justice delayed is justice denied.

e) Always be fair and impartial and without personnel prejudices and influence while conducting an investigation.

f) Plan adequately before commencement of an investigation and make reasonable assessment of time required.

g) Investigate in detail to form a logical picture of all the facts and evidence. Link them to conclude in a fair and just manner.

h) Check authenticity of the source.

i) Conduct Quality preventive check.

j) Ensure that investigation is meticulously factual, scrupulously fair and unfailingly speedy.

k) Be a man of absolute integrity and devotion to duty.

28 Vigilance Manual

l) Always be firm in conviction and determination.

m) Be polite and courteous. Give due regard to your seniors even if they are under investigation.

n) Always submit your own claims for TA, Medical Reimbursement, LTC/LTA etc., in time.

o) Do consider everyone as honest and well meaning, unless proved otherwise.

p) Do seek permission from your controlling officer before leaving Headquarters.

q) Do keep your departmental head informed of your movements.

r) Do exercise vigil on the activities of officials included in the Agreed List/ODI List.

s) Do remain accessible to all employees.

4.7.2 DON’Ts :

a) Do not be instrumental in building a false case against an employee.

b) Do not register a vigilance case under local pressures or pressure out of department including affinity, acquaintance, etc.

c) Do not conclude in haste.

d) Do not disclose source of your information.

e) Do not divulge the identity of the complainant. It could lead acrimonious relations.

f) Do not be light hearted, flippant, irresponsible in your official conduct.

g) Do not allow bias or prejudice to affect objectively.

h) Do not do anything with a view to settle scores.

i) Do not ask for any favour.

j) Do not avail any non-entitled facility even if offered.

k) Do not take up petty cases for registration and investigation.

l) Do not try to play the role of policeman.

m) Do not try to bypass any instruction from superior authority even in a circuitous way.

n) Do not offer advice unless you are sure of its correctness and legal tenability.

o) Do not be extravagant in your habits.

p) Do not forgot to submit your Property Returns in time.

q) Do not develop familiarity with any particular employees or junior otherwise, your impartial could be questioned.

r) Do not accept gifts whose value is beyond the acceptable limit.

s) Do not act in a manner which erodes faith of an employee in the functioning of vigilance.

t) Do not engage directly or indirectly in trade or business

CHAPTER 5

COMPLAINTS,INVESTIGATION & DISPOSAL

The honest have value,the corrupt have a price.

Vigilance Manual 29

CHAPTER – 5

COMPLAINTS, INVESTIGATION & DISPOSAL

5.1 COMPLAINTS :

Complaints are an important source of information about the corruption, malpractice and Misconduct on the part of public servants. Receipt of information about corruption, malpractice or misconduct from whatever source, would be termed as a complaint. Information about corruption, malpractice or misconduct may flow to CVO/VOs of Units or SBUs/Administrative Authority/ CVC/ CBI/Police Authorities from any of the following sources as given in following Para 5.2. Complaints can be classified as :

a. Written – Signed b. Oral / Verbal c. Anonymous / Pseudonymous

5.2 SOURCE OF INFORMATION :

A Complaint includes all types of information containing allegations of misconduct against public Servants, the sources can be classified as mentioned below:

i) Complaints received from employees of the organization. ii) Complaints received from vendors/suppliers, customers or from the public. iii) Departmental inspection reports and stock verification surveys. iv) Scrutiny of annual property statements. v) Scrutiny of transactions reported under the Conduct Rules. vi) Reports of irregularities in accounts detected in the routine audit of accounts; e.g.

tampering with records, over-payments, misappropriation of money or materials etc.

vii) Audit reports on Government accounts and other corporate bodies etc. viii) Reports of Parliamentary Committees like the Estimates Committee, Public

Accounts Committee and the Committee on Public Undertakings ix) Proceedings of two Houses of Parliament x) Complaints and allegations appearing in the press etc. xi) Source information, if received verbally from an identifiable source, to be reduced

in writing and xii) Intelligence gathered by agencies like CBI, local bodies etc.

In addition, the Chief Vigilance Officer concerned may also devise and adopt such methods, as considered appropriate and fruitful in the context of nature of work handled in the organization, for collecting intelligence about any malpractice and misconduct among the employees.

5.3 REGISTRATION OF COMPLAINTS :

i) Every Vigilance Section of Units/SBUs will maintain a vigilance complaints register in the prescribed format in 3 Parts. Part I for Executives, Part II for Non-Executives and Part III for non-vigilance complaints. If complaint relates to Executives (with or without Non-Executives), then it should be entered in Part I and if it relates to Non-Executives only, it should be entered in Part II. Vigilance Officer will sign the entries in the vigilance complaint register.

30 Vigilance Manual

ii) Normally an employee/executive can enter a direct complaint in the complaint register provided in the vigilance office of the respective Units/SBUs giving information about corruption or other kinds of malpractice. While genuine complainants should be afforded protection against harassment or victimization, serious notice should be taken if a complaint, after verification, is found to be false and malicious. There should be no hesitation in taking severe departmental action or launching criminal prosecution against such complainants.

iii) Every complaint, irrespective of its source, would be entered in the prescribed format

in the complaints register chronologically as it is received or taken notice of. A complaint containing allegations against several officers may be treated as one complaint for the purpose of statistical returns.

iv) Entries of only those complaints in which there is an allegation of corruption or

improper motive; or if the alleged facts prima facie indicate an element or potentiality of a vigilance angle should be made in the register. Complaints, which relate to purely administrative matters or technical lapses, such as late attendance, disobedience, insubordination, negligence, lack of supervision or operational or technical irregularities, etc. should be dealt with separately under “non-vigilance complaints”. Then it may be separately entered in the above register in Part III and after entering the details, the complaints may be forwarded to P&A or the concerned department for further action.

5.4 COMPLAINTS RECEIVED IN THE UNIT/SBU :

Complaints received in the Unit/SBU will be registered and examined initially by respective Vigilance Officer. If complaint relates to Executives then it should be forwarded to Corporate Vigilance with intimation to Chairman vigilance committee. Then CVO will decide action to be taken on the complaint according to the nature of each complaint. If it relates to Non-Executives, The Unit/SBU Vigilance Officer can take suitable action on the complaint with permission of Chairman Vigilance Committee with intimation to Corporate Vigilance according to the nature of each complaint.

5.5 COMPLAINTS RECEIVED IN THE CORPORATE VIGILANCE DEPARTMENT :

Complaints received in the Corporate Vigilance will be registered and examined initially by the Corporate Vigilance Department. The CVO may decide, according to the nature of each complaint, that does not merit any action and may be filed, or it should be sent to the administrative Department concerned for disposal, or for inquiry and report, or it should be sent to VO for detailed investigation, or the CVO himself can undertake the inquiry.

5.6 DISPOSAL OF COMPLAINTS :

A complaint which is registered can be dealt with as follows :

(i) File it without or after investigation; (ii) To pass it on to the CBI for investigation/appropriate action (iii) To pass it on to the concerned administrative authority for appropriate action on

the ground that no vigilance angle is involved (iv) To take up for detailed investigation by the Unit/SBU Vigilance Officer or by the

Corporate Vigilance Department.

Vigilance Manual 31

An entry to that effect would be made in vigilance complaint register with regard to “action taken” and “ date of action” respectively.

5.7 ANONYMOUS AND PSEUDONYMOUS COMPLAINTS :

i) The Central Vigilance Commission has issued instructions that no action is to be taken by the administrative authorities, as a general rule, on anonymous/pseudonymous complaints received by them. When in doubt, the pseudonymous character of a complaint may be verified by enquiring from the signatory of the complaint whether it had actually been sent by him. If he cannot be contacted at the address given in the complaint, or if no reply is received from him within a reasonable time, it should be presumed that the complaint is pseudonymous and should accordingly be ignored. However, if any department / organization proposes to look into any verifiable facts alleged in such complaints, it may refer the matter to the Commission seeking its concurrence through the CVO or the head of the organization, irrespective of the level of employees involved therein.

ii) Although, the Commission would normally also not pursue anonymous/pseudonymous complaints, yet it has not precluded itself from taking cognizance of any complaint on which action is warranted. In the event of the Commission deciding to make an inquiry into an anonymous or pseudonymous complaint, the CVO concerned, if advised to look into the complaint, should make necessary investigation and report the results of investigation to the Commission for further course of action to be taken. Such complaint should be treated as a reference received from the Central Vigilance Commission and should be entered as such in the vigilance complaints register and in the returns made to the Commission.

iii) Where the Commission asks for an inquiry and report considering that the complaint is from an identifiable person, but it turns out to be pseudonymous, the administrative authority may bring the fact to the notice of the Commission and seek instructions whether the matter is to be pursued further. The Commission will consider and advise whether, notwithstanding the complaint being pseudonymous, the matter merits being pursued.

iv) Sometimes, the administrative authority may conduct investigation into a pseudonymous complaint under the belief that it is a genuine signed complaint, or for any other reason. The Commission need not be consulted if it is found that the allegations are without any substance. But if the investigation indicates, prima facie, that there is some substance in the allegations, the Commission should be consulted as to the further course of action to be taken if it pertains to category “A” employee.

v) Co-operation of responsible voluntary public organizations in combating corruption should be welcome. No distinction should, however, be made between one organization and another; nor should any organization be given any priority or preference over others. Where a public organization furnishes any information in confidence, the confidence should be respected. However, the identity and, if necessary, the antecedents of a person, who lodges a complaint on behalf of a public organization, may be verified before action is initiated.

32 Vigilance Manual

vi) Private voluntary organizations or individuals should not be authorized to receive complaints on behalf of administrative authorities as such authorization will amount to treating them to that extent, as functionaries of the administrative set-up.

5.8 INVESTIGATION OF COMPLAINTS:

a) Investigation can be done by IO or any other officer considered suitable in the particular circumstances of the case; e.g. it may be advisable to entrust the conduct of the preliminary enquiry to a technical officer if it involves examination and appreciation of technical data or documents. Similarly, the administrative authority may entrust the investigation to an officer of sufficiently higher status if the employee/executives complained against is of a senior rank.

b) Investigation of complaints entrusted to the Investigation Officer is not always a straight forward case. It requires an expert investigator just like a competent surgeon, operates the minimum required and with a little loss of blood. The skill of investigation may differ from person to person. An expert and skillful investigator will be having a scientific and to the point approach. In order to achieve better results, it is desired that the allegations and available facts be thoroughly studied, properly planned and programmed and pursued vigorously. A good investigator should develop essential qualities and skills by which he will certainly achieve success in the investigations. Even a fresh look into the case may change the entire complexion of the case. The good investigator can achieve this skill only by putting his heart and soul together, followed by long experience and a will to investigate.

5.8.1 PROCESS OF INVESTIGATION : The purpose of investigation is to determine

whether there is prima facie substance in the allegations. Investigation can be conducted as given below :

A. Fact Verification / Fact Finding Enquiry : A preliminary Fact Finding Enquiry be conducted to know if prima facie, there is adequate substance in the complaint. The Fact Verification can be made depending upon the nature of the allegation by verifying certain documents, files, official records etc. in a tactful manner. If the Fact Finding Enquiry / Fact Verification brings out some substance in the complaint, then a full-fledged investigation should be conducted.

Fact Verification Report (FVR) may be prepared indicating :

– Reference – Allegation – Examination of rules – Examination of documents – Violation of procedures, rules and directions – If allegations are proved mention the allegation with names of the

officials who are responsible for the violations indicating the financial loss to the company or gain to the individual or others.

– Recommendation for detailed investigation – Copies of relevant documents / guidelines / procedures to be enclosed to

the report. – Format of FVR is as per the Annexure – 4 - Chapter 8A.

Vigilance Manual 33

B. Full Fledged Investigation:

If the Fact Verification brings out some substance in the complaint, then a full-fledged investigation should be conducted as detailed below: As soon as it is decided by the CVO to conduct a detailed investigation, the complaint should be regarded as having a vigilance case and it will be mentioned in the monthly and Quarterly report.

− If the allegations contained information which can be verified from any document or file or any other departmental records.

− All the rules, procedures (Purchase, Sub-Contract and Works Contract) and guidelines / directions relevant to the event / transactions shall be examined in detail.

− All the documents concerning allegations / transactions shall be examined in detail and the papers found to contain evidence supporting the allegations should be taken over for retention to guard against the possibility of such evidence being tampered with. If the papers in question are required for any current action, the Investigating Officer may retain authenticated copies for the purpose of investigation and handover the original documents to the Officer who requires them for current action and making him responsible for the safe custody of the documents.

− Find out the violations of the rules / procedures prescribed in BEL.

− Find out the officials who are responsible for the violations of the rules and procedures.

− Ascertain if there is a financial loss caused by the violation of rules / procedures by each official and / or gain caused to an official / other parties.

− In case where the available facts are likely to be known to other employees the Investigating Officer should interrogate such employees orally or ask for their written statements. He should make a full record of the oral statement, which the person interrogated should be asked to sign in token of confirmation and Investigating Officer should also sign after writing “statement recorded by me”. Where, any important facts have been disclosed during oral interrogation or any written statements, these should be verified with documentary or collateral evidence to make sure of the facts.

− In cases where enquiries from the employees of any other Government department or Office is considered necessary, the Investigating Officer may seek the assistance of the department concerned.

− In certain types of complaints pertaining to works, the Investigating Officer may find it helpful to make site inspections or surprise checks to verify facts on the spot and also to take suitable action to ensure that the evidence in support of the allegations is not disturbed.

− After Investigation, the documentary evidence should be assessed on the facts, which have emerged from the examination of documents and explanation of the concerned parties to arrive at a conclusion as to what is proved against whom, allegation wise.

34 Vigilance Manual

− To give an opportunity to the accused of misconduct, it is desirable the Investigating Officer obtains the suspect Officer’s version of facts / information / explanation. At this stage, there is no question of making available to him any documents.

− On completion of the Investigation process the Investigating Officer is expected to prepare a self-contained report including the material available to controvert the defence. The Investigation Report should contain the explanation of suspect Officer and the fact that an opportunity was given to the Officer concerned should be mentioned in the Investigation Report even if the Officer did not avail of it. The Investigation Officer should also take all connected documents in his possession, as this becomes necessary if departmental action has to be taken against the Officer.

• The investigation report should contain : − Reference to the allegation. − Details of allegation. − Whether allegation substantiated − Details of the relevant rules, procedures, guidelines,

directions relevant to the event / transaction (extracts to be enclosed).

− Facts emerging from the examination. − Details of violations of rules and procedures prescribed in BEL. − Details of officials responsible for the violations / misconduct. − Estimation of financial loss caused to the company or financial gain

caused to the official/ other parties. − Details of the documents concerning allegation transactions,

documents or copies of the documents to be enclosed. − Statement of witnesses, who corroborates and support allegations

(oral/ written). − Oral / written statements of the suspected officials regarding the

violations of rules and procedures, assessment of documentary evidence to arrive at a conclusion as to what is proved against whom allegation wise.

− Examination of evidence leading to the proof of allegation and suspected officials version of the case.

− Details of the Officers and details of the misconduct for violation of procedures, conclusion of the Investigating Officer bringing out the proved allegations against each official with reference to relevant misconduct as mentioned in standing orders or CDA rules.

− Recommendation of the Investigation Officer against each suspect official for minor penalty / major penalty, criminal prosecution etc.

− Copies of relevant documents, relevant guidelines and procedures, oral/ written statements, allegations proved, misconduct identified etc. should be enclosed to the report.

− The report should be brief with clarity and accuracy. − Format of Investigation Report is as per the Annexure-5 - Chapter

8A.

Vigilance Manual 35

C. The investigating officer will submit his report in the prescribed format to the CVO, who will decide whether on the basis of the facts disclosed in the report of the preliminary enquiry, the complaint should be dropped or whether regular departmental proceedings should be recommended against the employee/executive concerned or the administration of a warning or caution would serve the purpose.

D. CVO will forward the investigation report to the disciplinary authority, along with his own recommendations, for appropriate decision.

E. The CVO, while submitting his report/comments to the disciplinary authority, should also endorse an advance copy of the investigation report to the Commission if a category ‘A’ Officer is involved, so that it may keep a watch over deliberate attempts to shield the corrupt officer either by delaying the submission of investigation report to the Commission or by diluting the gravity of the offences/misconducts.

F. The decision, whether departmental action should be taken against a public servant should be taken by the authority competent to award appropriate penalty specified in the Discipline and Appeal Rules. In cases, where during the course of the preliminary enquiry or before a decision is taken on the report of the preliminary enquiry, a public servant is transferred to another post, the decision should be taken by the disciplinary authority of the latter post. The Commission’s advice would, however, be obtained in category ‘A’ cases before the competent authority takes a final decision in the matter.

5.9 DEPARTMENTAL INQUIRY :

If the Investigation Report brings out that, there is prima facie in the complaint, then CVO will decide on the basis of the nature of allegations and the judgment of the investigating officer a regular departmental proceedings should be recommended against the employee/executive concerned or the administration of a warning or caution would serve the purpose. After it has been decided that the departmental inquiry should be conducted, CVO will forward the investigation report to the disciplinary authority, along with his own recommendations, for appropriate decision. Then the disciplinary authority will proceed to make a departmental enquiry. The decision, whether departmental action should be taken against a employee/executive concerned should be decided by the authority competent to award appropriate penalty specified in the BEL CDA Rules. In respect of vigilance cases, the Disciplinary Authority should seek CVO’s advice before imposing proposed penalty (Refer Circular No. 31 of Chapter 9 – Important Circulars)

5.10 PARALLEL INVESTIGATION BY HR DEPARTMENT :

It is found that sometimes, parallel investigation and enquiries are conducted by Human Resources Department in respect of allegations of misconduct where vigilance angle may be involved. This amounts to duplication of work leading to confusion and discrepancy in reports and affects the proper investigation. Also sometimes vigilance department may not be aware of such investigation by Human Resources Department.

36 Vigilance Manual

To know the exact status of investigations of allegations involving vigilance angle, details of investigation cases and departmental enquiries pending in SBU/Unit, HR departments should furnish report to Corporate Vigilance every month in the format prescribed (as per the letter No.21326/19/06-07/CO-VIG Date: 13th September, 2006). Details should include pending cases and departmental enquiries covering the cases appropriation, theft, fraud and dishonesty in case of Company business or property, misuse / abuse of facilities given by the Company (like HRA, LTC, Interest Subsidy, Loan etc.), any illegal gratification, false statements made in application for appointment, forgery, falsification of records and other cases involving vigilance angle. However, investigation cases and departmental enquiries pending in respect of indiscipline cases, absenteeism, gambling, sleeping while on duty, proxy punching, insubordination, disobedience, habitual late attendance which are purely of indiscipline cases not involving vigilance angle should not be covered in the above report.

5.11 TIME LIMIT :

A. Decision on complaint, whether to be filed or to be entrusted to CBI or passed to

CVC or taken up for investigation or to sent to the concerned administrative authority as having no vigilance angle for necessary action. One month from the receipt of the complaint.

B. Conduction of Fact Verification / Fact finding inquiry and submission of report. Two months from the receipt of the complaint.

C. Conduction of Full pledged investigation and submission of investigation report. Three months from the receipt of the complaint.

D. Department’s comments on the CBI reports requiring Commission’s advice. One month from the date of receipt of CBI report by the disciplinary authority.

E. Referring departmental investigation reports to the Commission for advice. F. One month from the date of receipt of investigation report. G. Reconsideration of the Commission’s advice, if required. One month from the

date of receipt of Commission’s advice. H. Issue of charge-sheet if required. Two months from the date of receipt of

investigation report. I. Issue of final orders in minor penalty cases. Two months from the receipt of

Enquiry Report. J. Appointment of Inquiry Officer /Presenting Officer in major/minor penalty cases

15 days from receipt of reply given by accused to the charge sheet. K. Conducting departmental inquiry and submission of report. Six months from the

date of appointment of IO/PO.

CHAPTER 6

VIGILANCE REPORTS

No legacy is as rich as honesty.

Vigilance Manual 37

CHAPTER - 6

VIGILANCE REPORTS

6.1 INTRODUCTION :

Reports and returns form the basic information of vigilance and information to various authorities such as MoD, CVC, CBI, CMD etc., at different levels have to be submitted by the Corporate Vigilance on monthly, quarterly, half yearly and yearly.

6.2 CLASSIFICATION OF REPORTS :

In accordance with the periodicity of the submission, reports are classified as under: 1. Monthly Reports 2. Quarterly Reports 3. Half yearly Reports 4. Yearly Reports

6.2.1 MONTHLY REPORTS :

By 5th of every month Corporate Vigilance has to submit a consolidated reports on vigilance maters in respect of Bharat Electronics to various authorities, hence Units/SBUs must submit the following reports on vigilance work in respect of their Units/SBUs by 1st of succeeding month to Corporate Vigilance for timely onward submission. Format of the following reports are at Chapter 8A.

Sl.

No. Subject Annexure No.

1. Monthly Report on Vigilance Work by Vigilance Organisation with all the Annexures from I (a) to XV

8 - Chapter 8A

2. Monthly Minutes of Vigilance Committee 9 - Chapter 8A

3. Monthly Report on PO’s / Contracts with value exceeding Rs. 1 crore and above 11 - Chapter 8A

38 Vigilance Manual

LIST OF ENCLOSURES TO MONTHLY REPORT APPENDED AS ANNEXURE IN CHAPTER 8A

Sl. No.

Annexure No.

Details

I (a) Status of Complaints 1

I (b) Status of pending Disciplinary Proceedings

2 II Surprise / Regular checks

3 III Review of Purchase Orders / Sub - Contract Orders

4 IV Job Rotation

5 V Scrutiny of APRs

6 VI Training on Vigilance Awareness Programme / Domestic Enquiry

7 VII Expenditure incurred by the Unit on festival gifts to Government Servants

8 VIII Details of publication of Award of Tenders / Contracts above Rs.10 Lakhs posted in the website

9 IX List of Firms / Contractors who are currently banned / black listed

10 X Details of Pending Investigation Cases in HR Department

11 XI Details of Pending Departmental Enquiries in HR Department

12 XII Details of publication of Works / Purchase / Consultancy Contracts awarded on nomination / single tender basis valuing Rs.5 Lakhs and above posted in the website

13 XIII Status of ECS/EFT payments to Contractors / Suppliers

14 XIV Details of Publication of information on Purchase / SC orders on BEL website for Production items of value of Rs. 1 crore and above

15 XV Integrity Pact Report

Vigilance Manual 39

6.2.2 QUARTERLY REPORTS :

At the end of every Quarter (i.e., March, June, September and December) Units/SBUs shall submit the following reports on Vigilance Works to Corporate Vigilance for onward submission to various authorities. Format of the following reports are at Chapter 8A.

SL. NO.

SUBJECT Annexure No.

1. Action Plan on Anti Corruption Measures (Part I to Part V)

12 - Chapter 8A

Statement showing the quarterly progress of original works for quarter ending…………… 2. Works Value

i) Civil Works Rs 1 Crore & above

ii) Electrical / Mechanical works Rs. 30 lakhs & above

iii) Stores Purchase Contracts Rs 2 Crore & above

iv) Sub-Contract & Horticulture Contract

Rs. 2 lakhs & above

v) Medical Equipment Contract Rs 1 Crore & above

vi) Consultancy Contracts Any two largest values

vii) Service Contacts Any two largest values

viii) Purchase of Medicines Four largest values

13 - Chapter 8A

3.

Leveraging of Technology for improving Vigilance Administration (2 formats): a) Details of Tenders b) Details of Awarded POs/Contracts)

14 & 15 - Chapter 8A

6.2.3 HALF YEARLY REPORTS :

Corporate Vigilance has to submit the following reports every half yearly:

i. A list of Executives against whom vigilance cases are pending / penalties awarded as on date for consideration by DPC for promotions to D(HR). Format report is at Appendix - 1A - Chapter 8B.

ii. Vigilance information of Senior Board Level Officers and those likely to come in the zone of consideration for such appointments to DPE. Format report is at Appendix - 1B - Chapter 8B.

40 Vigilance Manual

6.2.4 YEARLY REPORT :

At the end of every year Units/SBUs must submit the report on foreign visits by BEL employees on private account by 10th of succeeding year month to Corporate Vigilance for onward submission. Format of the report is at Appendix – 2 - Chapter 8B.

Corporate Vigilance has to submit annual report of vigilance work in respect of Bharat Electronics every year by 10th January to CVC period from 1st January to 31st December of preceding year along with report of foreign visits by BEL employees on private account.

6.3 TENDERS PUT ON WEBSITE :

In addition to Monthly Reports, the following tenders are published in BEL website by the Units / SBUs Vigilance Officers along with Management Services department (Ref. CMD’s Office Order issued vide No. HO/863/076 dated 23.10.2009) :

Sl.

No. Data Published Format at

i) POs / Contracts of value more than Rs. 10 lakhs for non-production items including capital items

Annexure VIII of Monthly Report

ii) POs of value more than Rs. 5 lakhs for materials ordered on single tender basis.

Annexure XII of Monthly Report

iii) Details of POs / SCOs awarded for production items above threshold value of Rs. 1 crore for each line item to the exclusion criteria listed at para 2.2 of the Office Order No. HO/863/076 dated 23.10.2009.

Annexure XIV of Monthly Report

CHAPTER 7

PREVENTIVE VIGILANCE

A milligram of preventionsaves tons of agony.

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CHAPTER - 7

PREVENTIVE VIGILANCE

7.1 INTRODUCTION : Corruption cannot be totally eliminated but can be brought to tolerable limits by preventive measures. It is often quoted that prevention is better than cure. Corruption proven areas should be located like drawl of false TA/DA, bogus reimbursement of LTA/Medical claims, nepotism, favouritism and possession of disproportionate assets. Surprise Inspection should be intensified and follow up action taken.

7.2 SENSITISING THE PUBLIC ABOUT CORRUPTION :

In Order to improve vigilance administration, it is better to sensitize the public about corruption. Prevention of corruption is far better than the post corruption hunt for the guilty. There should be system improvement to prevent the possibilities of corruption. In order to caution against the misuse of official powers leading to corruption, it is desired that a standard notice-board be prominently displayed above the reception counter of each Units/SBUs, ROs/MCs offices written in English, Hindi and regional languages “Do not pay bribe….” You can complain to Head of the Unit/Department or C.V.O. or Secretary CVC or CBI. Complete addresses, Telephone numbers and e-mail addresses should be displayed as per Corporate Vigilance letter No.21326/18/10-11/CO-VIG dated 06-01-2011.

7.3 MONTHLY MEETINGS OF UNITs/SBUs DIVISIONAL COMMITTEES :

The meeting of Vigilance Committee will be held every month latest by 25th to deliberate on vigilance matters pertaining to the Unit / SBU. In the absence of the Chairman, the senior most Member of the Committee will officiate as Chairman of the Committee. The Minutes of the Meeting along with the Monthly Report of vigilance status will be sent by the Member Secretary through Chairman Vigilance Committee to CO - VIG to reach by 1st of next month.

7.4 SENSITIVE DEPARTMENTS : For effective vigilance management, following departments are considered as sensitive areas :

i. Purchase ii. Subcontract iii. Bills Payable iv. IG Stores v. QA-Material Inspection vi. HR (Recruitment) vii. Construction & Maintenance viii. Contracts ix. Disposals x. Shipping & Carpentry xi. Purchase Co-Ordination

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7.5 AGREED LIST & DOUBTFUL INTEGRITY LIST :

(Formats at Appendix - 8 & 9 - Chapter 8B)

The corrupt officers have become very skilful in their task. Sometime they do not leave any evidence behind by which they can be caught. They become expert in their nefarious activities and create an atmosphere of corruption all around. It becomes absolutely necessary that a strict watch is kept on their each and every activity.

7.5.1 AGREED LIST : If some doubt arises about the conduct / behavior/life style of the officer, it desirable to keep a close watch on his conduct both official as well as private, by the CBI and BEL. The list is prepared on the information available with the CBI or with BEL. Inclusion of employee name in the Agreed List does not carry any penal implication. In other words, it is only a ‘Watch list’ which remains in force for a year. In case, a year watch does not bring out any concrete result, his name will be removed automatically from the list.

Names may be considered for inclusion in the ‘Agreed List’ if following is observed: • Style of living is very lavish, • Amassed assets disproportionate to the known source of income. • Member of a very costly club and very often throws lavish parties. • Frequently meets persons either at his residence or in a hotel with whom he

has official dealings, beyond office hours. • Above is only an indicative list.

7.5.2 DOUBTFUL INTEGRITY LIST:

This list of Doubtful integrity is prepared by Sr.DGM(Vigilance)/SU/ Bg.Cx. in respect of the BEL Bg. Cx. & Southern Units and by Sr.DGM(NU/GAD) in respect of BEL/GAD, BEL/PK and BEL/KOT by the 15th of January every year on calendar basis in consultation with the concerned CBI and forward to the CVO duly approved by the Units/SBUs heads.

Whose Names will be included in the List? – This list includes the names of those officers only against whom either inquiry is being held or after the conclusion of the inquiry, they have been found to be lacking integrity, names of officers who have been awarded major penalty on the charges of lack of integrity. Names may also be included who are facing either major penalty proceedings or a court trial for alleged acts of lack of integrity. In addition, who were prosecuted but acquitted on technical grounds or given benefit of doubt. It is desired that names of those who have been either convicted or punished should be retained in the list for a minimum of three years.

The Purpose of maintaining and updating these lists is to bring to the notice of the department concerned that such officers should not be posted in sensitive departments. These lists also helps the department in putting special attention and closer supervisory scrutiny of the work assigned to them.

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7.6 INTEGRITY PACT : One of the latest initiatives of the Central Vigilance Commission to eradicate corruption in procurement activity is introduction of the Integrity Pact in large valued contracts in all Government Organizations. In line with directives from MOD and Central Vigilance Commission, BEL has adopted Integrity Pact with all vendors / suppliers / contractors / service providers for orders / contracts of value Rs. 20 Crore and above. Salient features of Integrity Pact.

Salient features of Integrity Pact are given below for general information : The pact envisages a pre-bid agreement between the buyers and the sellers to avoid all forms of corruption influenced by any person from the bidding stage to the last payment in the contract. The Integrity Pact envisages appointment of an Independent External Monitor of repute to oversee the implementation of the pact and to examine any complaint relating to violation of the pact. The Pact essentially envisages an agreement between the prospective vendors/ bidders and the buyers, committing the persons/officials of both the parties not to exercise any corrupt influence on any aspect of the contract. Only those vendors/ bidders who have entered into such an ‘Integrity Pact’ with the buyer would be competent to participate in the bidding. In other words, entering into this Pact would be a preliminary qualification. The Integrity Pact in respect of a particular contract would be effective from the stage of invitation of bids till the complete execution of the contract.

Some of the general nature of queries clarified by the Commission are as under :-

a) Adoption of Integrity Pact in an Organization is voluntary, but once adopted, it

should cover all tenders/procurements above a specified threshold value, which should be set by the organization itself.

b) IP should cover all phases of the contract i.e., from the stage of Notice Inviting Tender(NIT)/pre-bid stage to the stage of the last payment or a still later stage, covered through warranty, guarantee, etc.

c) Independent External Monitors (IEMs) are vital to the implementation of IP and at least one IEM should be invariably cited in the NIT. However, for ensuring the desired transparency and objectivity in dealing with the complaints arising out of my tendering process, the matter should be referred to the full panel of IEMs, who would examine the records, conduct the investigation and submit a report to the management, giving joint findings.

7.7 OBSERVANCE OF VIGILANCE AWARENESS WEEK :

Corruption is anti-national, anti-poor and anti-economic development.

Fighting corruption is too important an activity to be left on to the Central Vigilance Commission. The Commission thereof proposes to launch a systematic campaign against corruption by involving all members of the civil society in fighting this social

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evil. The first step in this campaign is to educate the people about the dangers of corruption and sensitize them about the evil consequences of corruption. The Central Vigilance Commission has declared that , every year ,the week beginning from 31st October(Birthday of Sardar Vallabhbhai Patel) will be observed as Vigilance Awareness Week. Sardar Vallabhbhai Patel represents the best values in the Indian tradition so far as governance is concerned. He integrated the country and also was a shining example of probity in public life. The measures that could be considered for celebrating the Week may include the following :

i) It should be a week long programme beginning from 31st October to 5th November. The exact dates will be announced by CVC every year in advance.

ii) The Central Vigilance Commissioner would request the President ,Vice President, Prime Minister and Leader of Opposition (Lok Sabha) for their messages to the nation on this occasion. Such messages received would be given wide publicity through the media and also through the CVC website http://cvc.nic.in.

iii) The Vigilance Awareness Week would begin in all the Units/SBUs, CO, ROs, MCs offices of the Bharat Electronics, by taking a Pledge . The pledge would be taken by all employees/executives and would be administered by the Head of the Unit/SBU/Department /Senior most officer available on the occasion.

iv) After the pledge, the message from the dignitaries will be read by the senior most officer/employees.

v) Display of banners, posters etc. at prime locations will be arranged by Units/SBUs/CO/RO etc.

vi) Organize seminars on the occasion and invite prominent faculty from the area to address the participants. The CVO/VOs will also address the participants in some of the seminars.

vii) Organize competitive debates/lectures on anti corruption topics amongst the employees and to distribute prizes.

viii) Organize competitive lectures/debate on anti corruption methods at the student levels in the colleges/schools in the city and to award prizes to the best participation.

ix) Issue special journals during the week; and request the non-government organizations, institutions and service associations in the local area to also participate in the vigilance awareness campaign.

7.8 IMPROVING VIGILANCE ADMINISTRATION :

Improving vigilance administration is possible only if system improvements are made to prevent the possibilities of corruption and also encourage a culture of honesty. The following instructions are issued for compliance:

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A. Creating a culture of honesty :

The junior employees and officers who join the organizations hopefully may not be corruption minded as those who have already been part of the corrupt system. In order to ensure that a culture of honesty is encouraged and the junior officers do not have the excuse that because their seniors are corrupt, that they have to also adopt the corrupt practices, therefore if any junior employees who initiate any proposal relating to vigilance matters which is likely to result in a reference to the CVC or any other higher ups can send a copy directly to the CVO by name. This copy will be kept in the office of the CVO and within a reasonable time of say three to six months, the CVO then can verify, with the concerned authorities in the department as to what happened to the vigilance case initiated by the junior employee. If there is an attempt to protect the corrupt or dilute the charges, this will also become visible. Above all the junior officers will not have the excuse that they have to fall in line with the corrupt seniors. Incidentally, the seniors also cannot treat the references made directly to the CVC as an act of indiscipline because the junior officers will be complying with the instructions issued under Section 8(1) (h) of the CVC Ordinance, 1998. However, if a junior officer makes a false or frivolous complaint it will be viewed adversely.

B. Greater transparency in administration :

One major source of corruption arises because of lack of transparency. There is a scope for patronage and corruption especially in matters relating to tenders, cases where exercise of discretion relating to out of turn conferment of facilities/privileges and so on. Each Units/SBUs may identify such items which provide scope for corruption and where greater transparency would be useful. There is a necessity to maintain secrecy even in matters where discretion has to be exercised. But once the discretion has been exercised or as in matters of tenders, once the tender has been finalized, there is no need for the secrecy. A practice, therefore, must be adopted with immediate effect by all Units/SBUs within the purview of the CVC that they will publish on the notice board and in the Units/SBUs regular publication the details of all such cases regarding tenders or out of turn allotments or discretion exercised in favor of an employee/party. The very process of publication of this information will provide an automatic check on corruption induced decisions or undue favours which go against the principles of healthy vigilance administration.

C. Speedy departmental inquiries :

i) One major source of corruption is that the guilty are not punished adequately and more important they are not punished promptly. This is because of the prolonged delays in the departmental inquiry procedures. One of the reasons for the departmental inquiry being delayed is that the inquiry officers have already got their regular burden of work and this inquiry is to be done in addition to their normal work. The same is true for the Presenting Officers also.

ii) Each, Units/SBUs therefore, may immediately review all the pending cases and the Disciplinary Authority may appoint Inquiry Officers for conducting the inquiries. The names of these officers may be got cleared by the CVO. It should be ensured that the departmental inquiries can be completed in time.

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7.9 CTE / CVC’s GUIDELINES FOR IMPROVEMENT IN THE PROCUREMENT SYSTEM :

1) Purchase Manual :

A codified purchase manual containing the detailed purchase procedures, guidelines and also proper delegation of powers, wherever required needs to be made by all the organizations so that there is systematic and uniform approach in the decision-making. Such an integrated approach is likely to put a cap on the corruption and would also ensure smoother and faster decision-making.

2) Filing System :

The procurement files are very important and sensitive documents and thus there is a need to have a single file system with proper page numbering.

3) Provisioning :

a. The provisioning of the stores needs to be done with utmost care taking into account the available stock, outstanding dues / supplies, the past consumption pattern, average life of the equipment / spares. The requirements also need to be properly clubbed so as to get the most competitive and best prices. The requirements should not be intentionally bifurcated / split so as to avoid approval from higher authorities.

b. One time purchase for projects or capital equipments / spares should be properly justified depending on the actual requirement usage, rate of return etc. Further, the obsolescence factor should also be taken into account i.e. the equipment to be purchased should conform to the latest specifications and technology available in the market.

4) Estimated Rates :

As the estimated rate is a vital element in establishing the reasonableness of prices, it is important that the same is worked out in a realistic and objective manner on the basis of prevailing market rates, last purchase prices, economic indices for the raw material / labour, other input costs, IEEMA formula, wherever applicable and assessment based on intrinsic value etc.

5) Notice Inviting Tender :

a) In order to give wide publicity, generate enough competition and to avoid favoritism, as far as possible, issue of Advertised / Global tender inquiries should be resorted to and published in ITJ and select National Newspapers. The copies of the tender notices should be sent to all the registered / past / likely suppliers by UPC and also to the Indian Missions / Embassies of major trading countries in case of imported stores.

b) With the widespread use of Information Technology, the tender notices should also be put on the website and e-mail address of the organization should be indicated in the tender notice.

c) It is imperative that the purchase on Single tender basis be made with the detailed justification in its support and with the approval of Competent Authority, including associated finance.

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6) Tender / Bid Document :

a) All the important clauses such as those relating to Earnest money, Delivery schedule, Payment terms, Performance / Warrantee Bank Guarantee, Pre-dispatch inspection, Arbitration, Liquidated Damages / Penalty for the delayed supplies etc. need to be incorporated in the bidding documents so as to fully safeguard the interest of the organization and, for evaluation of bids on equitable and fair basis and in a transparent manner.

b) The primary objective of submission of Earnest Money Deposit is to establish the earnestness of the bidder so that he does not withdraw, impair or modify the offer within the validity of the bid. It also helps in restricting if not eliminating 'speculative', 'frivolous' or 'wait and see' bids. Since any relaxation regarding submission of Earnest Money Deposit has financial implications besides giving encouragement to the bidders to submit frivolous bids, the terms & conditions should clearly stipulate that the offers without Earnest Money Deposit would be considered as unresponsive and rejected.

c) The Evaluation / Loading criteria with respect to the important terms, like Payment terms, Delivery period, Performance Bank Guarantee etc. having financial implications need to be specified in unambiguous terms in the bid documents so that the evaluation of bids after tender opening could be made in a transparent manner without any subjectivity.

d) The detailed generic technical specifications including performance parameters and the technical evaluation criteria, if any need to be specified in the bidding documents in unequivocal terms.

7) Receipt of Tenders :

A proper arrangement for receipt of tenders at scheduled date and time through tender box needs to be adopted, in case of conventional tendering.

8) Postponement of Tender Opening :

In order to give equal opportunity to all the bidders and to maintain sanctity of tendering system, it is of paramount importance that any change in the tender terms & conditions, specifications and tender opening date etc. be notified to all the bidders, sufficiently in advance of the revised tender opening date.

9) Opening of Tenders :

The opening of tenders in presence of trade representatives needs to be scrupulously followed. While, opening the tenders by the tender opening officer / committee, each tender should be numbered serially, initialed and dated on the first page. Each page of the tender should also be initialed with date and particularly, the prices, important terms & conditions etc. should be encircled and initialed in red ink by the tender opening officer / committee. Alterations in tenders, if any, made by the firms, should be initialed legibly to make it perfectly clear that such alterations were present on the tenders at the time of opening. Wherever any erasing or cutting is observed, the substituted words should be encircled and initialed and the fact that such erasing / cutting of the original entry was present on the tender at the time of opening be also recorded. The tender opening officer / committee should also prepare 'on the spot statement' giving

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details of the quotations received and other particulars like the prices, taxes, duties and EMD etc. as read out during the opening of the tenders.

10) Post Tender Negotiations :

As per CVC guidelines, negotiations with the select / all the vendors shall not be carried out. The instructions/guidelines circulated by CVC on post tender negotiations only with L-1 need to be strictly followed.

11) Technical Evaluation of Tenders :

Once it has been established that the offers meet the laid down specifications, the question of 'grading' as well as any 'pick and choose' should not arise. The contract needs to be awarded to the lowest bidder meeting the laid down specifications.

12) Advance Payment & Bank Guarantees :

The advance payments need to be generally discouraged except in specific cases. Wherever payment of advance is considered unavoidable, the same should be interest bearing as per CVC guidelines and be allowed after getting an acceptable Bank Guarantee for an equivalent amount with sufficient validity so as to fully protect the organization interest.

13) Performance Bank Guarantee :

In order to safeguard the organization interest, it would be appropriate to take reasonable amount of Performance Bank Guarantee valid upto warranty period for due performance of the contract. The validity of the Bank Guarantees needs to be carefully monitored and whenever extension in the delivery period is granted, the validity of Bank Guarantees should also be appropriately extended so as to protect the organization interest.

14) Stipulation of Delivery Period in the contract :

The specific delivery period for supply as per the terms of delivery such as FOR station of dispatch / destination and for completion of installation with the necessary provision for Liquidated damages / Penalty clause in the event of delay in supplies / installation needs to be incorporated in the contract.

15) Guarantee / Warranty Terms :

Detailed guarantee / warranty clause embodying all the safeguards be incorporated in the tender enquiry and the resultant contract. It also needs to be ensured that in installation / commissioning contracts, the guarantee / warranty should reckon only from the date of installation / commissioning.

7.10 CTE / CVC’s GUIDELINES FOR IMPROVEMENT IN THE CONTRACT SYSTEM :

1) Works Manual :

A codified ‘Works Manual’ containing the detailed tender / contract procedures, guidelines and standards for execution along with proper delegation of powers

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needs to be prepared by all the organizations so that there is a systematic and uniform approach in the organizations. Such an integrated approach is not only likely to put a cap on corruption but would also ensure smoother and faster decision-making.

2) Necessity and Justification of Work :

a) Before according administrative approval for any project, it is necessary to establish its techno-commercial viability in terms of rate of return and other benefits and also to evaluate the available alternatives to ensure an optimum utilization of public funds.

b) Gross over-designing cannot be justified on the basis of unpredictable long-term futuristic demands. This kind of over-designing, not only results in unjustified one time extra expenditure but also results in avoidable recurring expenditure in terms of maintenance costs and higher standing losses.

3) Estimates :

Preparation of estimates for contracts is an area, which needs special emphasis. A well-defined scope of work and a realistic market rate estimate can prove to be a vital input for successful execution of a contract with high standards of quality. The estimates should take into consideration all relevant factors based on the prevailing market price of various inputs such as labour, material, equipment, etc. at the concerned locations. The estimates inter-alia should include the basic price, fabrication charges, inspection fees, duties, packing, handling and transportation charges, sales tax on works (WCT), octroi or any other statutory levies and installation, erection, testing and commissioning charges, license fees, contingencies etc. as applicable at the time of conception of the project. For big projects and other turnkey contracts where financial assessment of the project is done well in advance, before the finalization of the contracts, the financial amount indicated in Techno-Economic clearance/Techno-Commercial feasibility reports should be duly analyzed and updated before converting the same into a workable estimate. Any deficiency or inadequacy of data (in terms of rates or quantity) found in such reports should be highlighted beforehand in order to prepare a realistic estimates for the tenders.

4) Notice Inviting Tender :

In order to generate wide publicity for better competition and to avoid cartel formation and favoritism to select firms, it is imperative that the advertised/global tender notice should be published in select ‘national’ and ‘local’ dailies with a large circulation. Tender notices may also be displayed on the notice boards of other organizations. In case of global tenders, copies of the tender notices should be sent to the Indian Missions / Embassies in major trading countries. In addition to the paper advertisements, the tender notices should also be put on the website indicating all the details of the tender. In case of limited tenders to ‘approved contractors’, due care should be taken to generate adequate competition and reasonableness of rates should be established. The ‘approved’ list should be periodically updated weeding out the non performers and including fresh entrants in the field.

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5) Pre - Qualification Criteria :

While framing the prequalification conditions, the end purpose of doing so should be kept in view. The purpose of any selection procedure is to attract the participation of reputed and capable firms with proven track-records. The PQ conditions should be exhaustive, yet specific. For bigger and new projects, as far as possible a preliminary survey may be conducted to collect relevant data from the market about the firms of repute in the field. The factors that may be kept in view while framing the PQ criteria are namely,

a) the nature of the work; b) the scope of work involved in the project; c) likelihood of availability / experience of firms for such works; d) volume/amount of the work; e) financial status.

In addition to above, the cut off dates for the period of work experience, the volume in terms of minimum capacity of equipments as well as in terms of monetary amount should be clearly indicated in the pre-qualification criteria so as to avoid any ambiguity at the time of evaluating the bids.

6) Receipt of Tenders :

A suitable arrangement for receipt of tenders at the scheduled date and time through conspicuously located tender boxes (in case of conventional tendering process) needs to be adopted. The tender notice should categorically contain the information regarding receipt of bids, viz. designation and address of officer to whom the tender should be addressed, the superscription / reference number to be indicated on the envelopes and most importantly, the due date of opening of tenders to be written on the envelope containing tenders.

7) Opening of Tenders :

a) The opening of tenders in presence of the bidders’ representatives needs to be scrupulously followed. While opening the tenders it needs to be ensured that each page of tender, particularly the price and important terms and conditions should be encircled and initialed with the date. Any cutting / overwriting should be encircled and initialed in red ink by the tender opening office/committee. The tender opening officer / committee should also prepare an ‘on the spot statement’ giving details of the quotations received and other particulars like the prices, taxes/duties, EMD, any rebates etc. as read out during the opening of tenders. A proper tender opening register in a printed format should be maintained containing information viz. date of opening including extensions, if any, names and signature of all the persons present to witness the tender opening which should include the bidders’ representatives also.

b) In order to make the system fool-proof in case of two bid system, after opening of the Technical bids, the price bids, which are to be opened subsequently shall not be kept as loose envelopes and it needs to be ensured that the tender opening officer/committee should sign on the envelopes containing the price

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bids and the date of opening of price bids should be clearly mentioned on the envelopes and should again be placed in the tender box.

8) Post Tender Negotiations :

As per CVC guidelines, negotiations with the select / all the vendors shall not be carried out. The instructions / guidelines circulated by CVC on Post Tender negotiation only with L-1need to be followed strictly.

9) Reasonableness of Prices / Market Rate Justification : Before acceptance of the offer, it is very important to establish the reasonableness of rates on the basis of estimated rates and the prevailing market rates. The AHR (Abnormally High Rate) and ALR (Abnormally Low Rate) items should be duly identified and the officials / agencies responsible for execution of work should be intimated to exercise appropriate control on such identified items.

10) Advance Payment & Bank Guarantees :

The advance payments need to be generally discouraged. Whenever the payment of advance is considered unavoidable, the same should be interest bearing as per CVC guidelines and should be allowed after getting an acceptable Bank Guarantee for an equivalent amount with sufficient validity. Timely action for revalidation/encashment of the bank guarantees also need to be taken so as to protect the organization interest.

11) Performance Bank Guarantee (BG) and Insurance :

a) In order to safeguard the organization interest, it would be appropriate to take reasonable amount as Performance Bank Guarantee valid up to Defect Liability period for due performance of the contract. The validity of the Bank Guarantee needs to be properly monitored and whenever the time extension for contract is granted, the validity of BG should also be appropriately extended. The date of submission for the BG should be clearly spelt out and adhered to at the time of the execution of the contract.

b) Comprehensive insurance cover for men and materials apart from being a statutory obligation has to be provided in the contract to safeguard the interest of the organization. Avoiding insurance cover may jeopardize the safety of men and materials and may result in serious legal complications in case of any mishap. Therefore, a comprehensive all risk insurance clause needs to be incorporated and implemented.

12) Defect Liability Period Clause :

Detailed Defect-Liability period clause embodying all the safeguards needs to be incorporated in the bid documents and in the resultant contract. In the contracts involving installation/commissioning of equipments, the defect-liability period should be reckoned only from the date of installation/commissioning. However, in case supply and installation have to be executed through separate contract due to some compelling reasons, both the contracts should be processed in such a manner that the time-gap between supply and commissioning is minimal.

7.11 WHISTLEBLOWER :

A Whistleblower is a person who raises a concern about alleged wrongdoing occurring in a government or governmental entity or a public corporation. Whistleblowers may make their allegations internally (for example, to other people

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within the accused organization) or externally (to regulators, law enforcement agencies, to the media or to groups concerned with the issues). Whistle blower risks his job and reputation when blowing the whistle on an organization. He also spends significant time and resources in their quest for justice. It is for this reason, the Honorable Supreme Court of India, recognizing the risk involved to the whistle blower, directed the Government of India to enact the Whistle Blowers Resolution.

Public Interest Disclosure Resolution :

The Central Government, through the public Interest Disclosure and Protection of Informers’ Resolution dated 21st April 2004 designated the Central Vigilance Commission as the agency to act on the complaints from “Whistle-Blowers”. According to the resolution, popularly known as the Whistle Blower Resolution, the Commission has been entrusted the responsibility of keeping the identity of the complainant lodging the complaint under PIDPI Resolution secret, to provide protection to whistle blowers from victimization and the power to take action against complainants making motivated or vexatious complaints. While the Central Vigilance Commission Act 2003 defines the jurisdiction of the Commission for direct supervision mainly to Group ‘A’ Officers and such level of officers as notified by the Central Government, there is no such restriction on the Commission in the Government of India ‘Public Interest Disclosure and Protection of Informers’ Resolution, 2004.

7.11.1 Important Features of the “Whistleblower” Resolution :

− The CVC shall, as the Designated Agency (herein after referred to as the Commission), receive written complaints or disclosure on any allegation of corruption or of misuse of office by any employee of the Central Government or of any corporation established under any Central Act, government companies, societies or local authorities owned or controlled by the Central Government.

− The Commission will ascertain the identity of the complainant; if the complaint is anonymous, it shall not take any action in the matter.

− The identity of the complainant will not be revealed unless the complainant himself has made either the details of the complaint public or disclosed his identity to any other office or authority.

− While calling for further report/investigation, the Commission shall not disclose the identity of the informant and shall also request the head of the organization concerned to keep the identity of the informant a secret, if for any reason the identity is revealed.

− The Commission shall be aggrieved by any action on the ground that he is being victimized due to the fact that he had filed a complaint or disclosure, he may file an application before the Commission seeking redressal in the matter, wherein the Commission may give suitable directions to the person or the authority concerned.

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− If the Commission is of the opinion that either the complainant or the witness needs protection, it shall issue appropriate directions to the government authorities concerned.

− In case the Commission finds the complaint to be motivated or vexatious, it shall be liberty to take appropriate steps.

− In the event of the identity of the informant gets disclosed in spite of the Commission’s directions to the contrary, the Commission is authorized to initiate appropriate action in accordance with the extant regulations against the person or agency making such a disclosure.

− Keeping with the spirit of PIDPI Resolution, the Commission has laid down a detailed procedure for lodging complaints. In order to encourage public to come forward without fear and make complaints or disclosure on any allegation of corruption, the Commission has also given wide publicity to the PIDPI Resolution.

7.12 RTI ACT 2005: Implementation in BEL :

The Bharat Electronics has adopted RTI Act and details have been put on BEL Website. Salient features of RTI Act are given below for general information. The Right to Information Act 2005 (RTI) is an Act of the Parliament of India. It is the implementation of freedom of information legislation in India on a national level "to provide right to every citizens to secure access to information under the control of public authority ." The Act applies to all States and Union Territories of India, except the State of Jammu and Kashmir - which is covered under a State-level law. Under the provisions of the Act, any citizen may request information from a "public authority" (a body of Government or "instrumentality of State") which is required to reply expeditiously or within thirty days. The Act also requires every public authority to computerize their records for wide dissemination and to proactively publish certain categories of information so that the citizens need minimum recourse to request for information formally. This law was passed by Parliament on 15 June 2005 and came fully into force on 13 October 2005.

7.12.1 Scope : The Act covers the whole of India except Jammu and Kashmir, where

J&K Right to Information Act is applicable. It is applicable to all constitutional authorities, including the executive, legislature and judiciary; any institution or body established or constituted by an act of Parliament or a state legislature. It is also defined in the Act that bodies or authorities established or constituted by order or notification of appropriate government including bodies "owned, controlled or substantially financed" by government, or non-Government organizations "substantially financed, directly or indirectly by funds" provided by the government are also covered in it. Private bodies are not within the Act's ambit directly. The Act specifies that citizens have a right to:

• request any information (as defined). • take copies of documents. • inspect documents, works and records. • take certified samples of materials of work.

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• obtain information in form of printouts, diskettes, floppies, tapes, video cassettes 'or in any other electronic mode' or through printouts.

7.12.2 Process : Under the Act, all organization covered must appoint their Public

Information Officer (PIO). Any person may submit a request to the PIO for information in writing. It is the PIO's obligation to provide information to citizens of India who request information under the Act. If the request pertains to another public authority (in whole or part) it is the PIO's responsibility to transfer/forward the concerned portions of the request to a PIO of the other within 5 days. In addition, every public authority is required to designate Assistant Public Information Officers (APIOs) to receive RTI requests and appeals for forwarding to the PIOs of their public authority. The citizen making the request is not obliged to disclose any information except his name and contact particulars.

7.12.3 What is not open to disclosure? The following is exempt from disclosure:

a) information, disclosure of which would prejudicially affect the sovereignty

and integrity of India, the security, "strategic, scientific or economic" interests of the State, relation with foreign State or lead to incitement of an offence;

b) information which has been expressly forbidden to be published by any court of law or tribunal or the disclosure of which may constitute contempt of court;

c) information, the disclosure of which would cause a breach of privilege of Parliament or the State Legislature;

d) information including commercial confidence, trade secrets or intellectual property, the disclosure of which would harm the competitive position of a third party, unless the competent authority is satisfied that larger public interest warrants the disclosure of such information;

e) information available to a person in his fiduciary relationship, unless the competent authority is satisfied that the larger public interest warrants the disclosure of such information;

f) information received in confidence from foreign Government; g) information, the disclosure of which would endanger the life or physical

safety of any person or identify the source of information or assistance given in confidence for law enforcement or security purposes;

h) information which would impede the process of investigation or apprehension or prosecution of offenders;

i) cabinet papers including records of deliberations of the Council of Ministers, Secretaries and other officers;

j) information which relates to personal information the disclosure of which has no relationship to any public activity or interest, or which would cause unwarranted invasion of the privacy of the individual (but it is also provided that the information which cannot be denied to the Parliament or a State Legislature shall not be denied by this exemption);

k) Notwithstanding any of the exemptions listed above, a public authority may allow access to information, if public interest in disclosure outweighs the harm to the protected interests.

CHAPTER 8A

ANNEXURES

Truth is the greatest shield in life,none protects like it.

Vigilance Manual 55

CHAPTER – 8A

ANNEXURES

LIST OF ANNEXURES

Annexure No. Details Page No.

1 Review of Purchase Orders / Sub - Contracts: 57

2 Scrutiny of APRs 57

3 Vigilance Complaint Register 58

4 Format - Fact Verification Report 59

5 Format - Investigation Report 61

6 Register for tracking progress of the Investigations is to be maintained in the following format 63

7 Register for Disciplinary Proceedings is to be maintained in the following format

64

8 Monthly report on vigilance work by vigilance organization 64

9 Minutes of vigilance committee meeting held every month 67

10 Additional Format for List of Banned/Black listed Companies / Suppliers

71

11 Purchase Orders / Contracts with a value exceeding Rs. One Crore for the Month of …….

72

Enclosures to be sent along with Monthly Report

I (a) Status of Complaints 72

I (b) Status of pending Disciplinary Proceedings 73

II Surprise / Regular checks 73

III Review of Purchase Orders / Sub - Contract Orders 73

IV Job Rotation 75

V Scrutiny of APRs 75

VI Training on Vigilance Awareness Programme / Domestic Enquiry

75

VII Expenditure incurred by the Unit on festival gifts to Government Servants

76

VIII Details of publication of Award of Tenders / Contracts above Rs.10 Lakhs posted in the website 76

IX List of Firms / Contractors who are currently banned / black listed

76

X Details of Pending Investigation Cases in HR Department 77

XI Details of Pending Departmental Enquiries in HR Department: 77

56 Vigilance Manual

Annexure

No. Details Page No.

XII Details of publication of Works / Purchase / Consultancy Contracts awarded on nomination / single tender basis valuing Rs.5 Lakhs and above posted in the website

78

XIII Status of ECS/EFT payments to Contractors / Suppliers 78

XIV Details of Publication of information on Purchase / SC orders on BEL website for Production items of value of Rs. 1 crore and above

79

XV Integrity Pact Report 80

Quarterly Reports

12 Action Plan on Anti-corruption Measures for quarter ending…………………… (Part I to Part V)

81

13 Statement showing the quarterly progress of original works for quarter ending

i) Civil Works costing Rs. 1 crore and above

ii) Electrical / mechanical work costing Rs. 30 lakhs and above

iii) Sub-contracts / Horticulture Contracts Costing Rs. 2 lakhs and above

iv) Medical equipment Contracts Costing Rs. 1 crore and above

v) Consultancy Contracts - 2 largest value contracts

vi) Service Contracts - 2 largest value contracts

vii) Supplies of Medicines contracts - 4 largest value contracts

viii) Store / Purchase Contracts valuing Rs. 2 crores and above

88

14 Leveraging of Technology for Transparency (DETAILS OF TENDERS)

91

15 Leveraging of Technology for Transparency (DETAILS OF AWARDED POs / CONTRACTS) 92

Vigilance Manual 57

ANNEXURES

ANNEXURE 1 : Review of Purchase Orders / Sub – Contracts :

ANNEXURE 2 : Scrutiny of APRs :

Sd/- Sd/- (Vigilance Officer) (Chairman, Vigilance Committee)

PO No./ Sub -

Contract No. and

Date

PO No./ Sub -

Contract value

Name of Work/Item

Date of Review

By whom Reviewed

Lapses found

Action taken on lapses

Remarks

(1) (2) (3) (4) (5) (6) (7) (8)

Name / Designation of the Executive

Date of Scrutiny

Observations Action taken Remarks

(1) (2) (3) (4) (5)

58 Vigilance Manual

ANNEXURE 3 : Vigilance Complaint Register :

Vigilance Manual 59

ANNEXURE 4:

FORMAT

SOURCE INFORMATION - FACT VERIFICATION REPORT

(Whenever some information is given by some source or some verifiable facts are mentioned in the anonymous complaint, which need to be verified, this format should be used for fact verification report) 1.0 REFERENCE : Mention the reference by which the fact verification is taken up.

2.0 ALLEGATION :

2.1 This should specify in brief the allegation contained in the source information. 2.2 Specify against whom allegation is? 2.3 The allegations are to be serially numbered.

3.0 ADHERENCE TO SCHEDULE :

State date of receipt of source information for fact verification and date of sending the Fact Verification Report (maximum 2 months).

State whether allegations are substantiated partly / fully by the fact verification?

4.0 FACT VERIFICATION :

4.1 Examination and mention of the :

4.1.1 Rules 4.1.2 Procedures (Purchase/Sub contract/Works Contract) 4.1.3 Guidelines /Directions relevant to the event/transactions

(Enclose extract of relevant provisions)

4.2 Examination of Documents :

Examination of documents concerning allegations / transactions. Facts emerging from the examination. (Take authenticated copies in custody)

4.3 Violations of Procedures/Rules/Directions :

From examination of documents, what are violations vis-à-vis the procedures prescribed as approved by BEL, by different persons? If financial loss caused, then estimation of the correct financial loss.

60 Vigilance Manual

5.0 CONCLUSION :

5.1 If allegations are proved by fact verification, then mention what is proved, against which official / employee and also mention financial loss to the Company or gain to individual or vendors if any.

5.2 If allegations not proved, mention accordingly.

6.0 RECOMMENDATION :

Whether detailed investigation is recommended or if any other action proposed.

7.0 ANNEXURES :

7.1 Copies of relevant documents. 7.2 Extracts of relevant guidelines and procedures.

NOTE: The Language of the report should satisfy four basic requirements,

a) Brevity b) Clarity c) Accuracy d) Readability

Vigilance Manual 61

ANNEXURE 5: FORMAT

INVESTIGATION REPORT

[(i) When there is a written complaint received and Investigation Report is asked, then this

format should be used or

(ii) When there is a prima-facie case made out from the fact verification report conducted

on a source information on verifiable facts of anonymous complaint and detail

investigation has to be done on the prima-facie case established, then this format

should be used for detailed investigation.]

1.0 REFERENCE :

1.1 This should specify the source of Complaint / Name & Designation of the

complainant.

1.2 Mention on whose order the Investigation is taken up. (SBU/Unit, Vigilance

Committee, Corporate Vigilance, direction of higher authority).

2.0 ALLEGATION :

2.1 This should specify in brief the allegation contained in the Complaint.

2.2 Specify against whom allegation is?

2.3 The allegations are to be serially numbered.

3.0 ADHERENCE TO SCHEDULE :

State date of receipt of complaint for investigation and Date of sending the

Investigation Report (3 months maximum)

3.1 Whether Allegation Substantiated :

State whether allegations are substantiated partly / fully by the Investigation. 4.0 INVESTIGATION :

4.1 Examination and mention of the :

4.1.1 Rules 4.1.2 Procedures (Purchase/Sub contract/Works Contract) 4.1.3 Guidelines /Directions relevant to the event/transactions

(Enclose extract of relevant provisions)

62 Vigilance Manual

4.2 Examination of Documents :

Examination of documents concerning allegations / transactions. Facts emerging from the examination. (Take original records/files and / or authenticated copies in custody)

4.3 Violations of Procedures/Rules/Directions :

From examination of documents, what are violations vis-à-vis the rules / procedures prescribed in BEL, by different persons? If financial loss caused, then estimation of the correct financial loss caused to the company by each individual and / or gain caused to an individual / vendors / parties.

4.4 Statements of persons involved.

4.4.1 Statement of witnesses who corroborate & support charges. 4.4.2 Interrogation / Written statement of the concerned delinquent Executives

/ Employees regarding the violations whether with or without financial loss to the Company. (If oral statements taken, then signature of person making the statement to be taken. Also Investigating Officer should sign after writing "statement recorded by me")

5.0 ASSESSMENT OF EVIDENCE :

After investigation, the documentary /oral evidence should be assessed on the facts, which have emerged from examination of documents & explanations of the concerned parties to arrive at conclusion as to what is proved against whom, allegation wise. Assessment of evidence will focus on the following points:

5.1 The allegations taken up.

5.2 The allegations prime facie "Not Substantiated" or "Substantiated", including the financial loss / gain.

5.3 State the evidences leading to the proof of the allegation (both oral and documentary).

5.4 Suspected Officer's / Employees version of the case.

5.5 Discussion of both versions.

5.6 Conclusion of the Investigation Officer on each of the allegations whether proved or not proved.

6.0 CONCLUSION :

6.1 If allegations are proved then, points, which are proved against each

delinquent official / employee, enumerated serially. Mention also the relevant misconduct as mentioned in BEL CDA Rules. Also mention financial loss to the company or gain to individual or vendor.

6.2 If allegations not proved, mention accordingly.

Vigilance Manual 63

7.0 RECOMMENDATION : Recommendation proposed against each delinquent official / employee whether minor penalty / major penalty / criminal prosecution etc.

8.0 ANNEXURES : 8.1 Copies of relevant documents. 8.2 Extracts of relevant guidelines and procedures. 8.3 Copies of written statements/interrogation. 8.4 Articles of charge proved. 8.5 Imputations of misconduct. 8.6 List of oral and documentary evidence to prove against delinquent official /

employee allegation wise.

NOTE: The Language of the report should satisfy four basic requirements,

a) Brevity b) Clarity c) Accuracy d) Readability

ANNEXURE 6: Register for tracking progress of the Investigations is to be maintained in the following format:

Aga

inst

who

m th

e co

mpl

aint

Sl. N

o

Sour

ce o

f Com

plai

nt

Nam

e &

add

ress

of C

ompl

aina

nt

Dat

e of

rec

eivi

ng C

ompl

aint

Gis

t of C

ompl

aint

Name Desig- nation

Unit/ SBU

Dat

e of

Com

men

cem

ent o

f In

vest

igat

ion

Nam

e of

Inve

stig

ator

Dat

e of

Sub

mis

sion

of

Inve

stig

atio

n Re

port

Cha

rge

whe

ther

pro

ved

or n

ot, i

f pr

oved

, gis

t of c

harg

es p

rove

d

Act

ion

take

n on

Inve

stig

atio

n Re

port

(File

d /

Sent

to D

A)

Dat

e of

act

ion

on In

vest

igat

ion

Repo

rt

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13)

64 Vigilance Manual

ANNEXURE 7: Register for Disciplinary Proceedings is to be maintained in the following format:

Sl. N

o.

Nam

e of

the

part

y /

exec

utiv

e ch

arge

d

Gis

t of c

harg

es

Whe

ther

maj

or o

r

min

or p

enal

ty

Dat

e of

dec

isio

n of

m

inor

/ m

ajor

pen

alty

pr

ocee

ding

s

Dat

e of

issu

e of

C

harg

e sh

eet

Dat

e of

par

ty's

repl

y

Dat

e of

app

oint

men

t of

inqu

iring

offi

cer

Nam

e of

the

Enqu

iry

Offi

cer

Nam

e of

th

e Pr

esen

ting

Offi

cer

Dat

e of

sub

mis

sion

of

Inqu

iry R

epor

t

Dat

e of

fina

l

orde

r of

DA

Puni

shm

ent A

war

ded

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13)

ANNEXURE 8:

MONTHLY REPORT ON VIGILANCE WORK BY VIGILANCE ORGANISATION

(Proforma for Vigilance Organisations in Central Government Ministries, Departments, Public Sector Undertakings and Public Sector Organisations of Central Govt.)

Report for the month of ………… Name of the PSU: Bharat Electronics Limited

Unit / SBU: ………………..

Date: ………………. I. COMPLAINTS 1. Pending at the beginning of the month - 2. Received during the month -

Signed Complaints

Complaints from other

sources

Detected through Audit & Inspections

Detected by Vigilance Agency through

intelligence/ surprise checks

Total

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

3. Disposal of complaints

Sent to CBI Taken up for investigation by Dept. Vigilance

Disposed of otherwise Total

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

Vigilance Manual 65

II. Investigation by Departmental Agency and Investigation reports received by Dept. 1.

Pending at the beginning of the month

Received for investigation during the

month

Disposals During the month

Total

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

Details of important cases investigated into/ disposed of during the month are at Annexure ‘A’

ANNEXURE - ‘A’ 1. Details of important cases investigated into / disposed of during the month (Para II. 1) Sl. No.

No. Case

Accused / Charged Officer

Allegation Date / Month of Complaint

Remarks

1. 2. 2. Nature of disposals

Prose-cution

Major penalty Action

Minor penalty action

Administrative Action

Closure

(a) (b) (c) (d) (e) Cases No. of GOs No. of NGOs No. of Pvt. Persons

3. Details of contractors / private persons blacklisted with reasons –

III. Disciplinary Enquiries

i) Inquiries pending with inquiry officers in major penalty cases

Pending at the beginning of the

month

Received during the Month

Disposals During the

month Balance Pending

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

ii) Inquiry pending with inquiry officers in minor penalty cases

Pending at the

beginning of the month

Received during the Month

Disposals During the

month Balance Pending

66 Vigilance Manual

iii) Disposals in Departmental Enquiries

No. of cases

Disposed of

No. of persons on whom major penalty imposed

No. of persons on whom minor penalty imposed

No. of persons exonerated

Cases GO NGO Cases GO NGO Cases GO NGO

iv) Details of important cases disposed of in departmental enquiries are furnished in the

following Proforma

Case No.

Accused / Charged Officer

Allegation Dt. of disposal

Nature of disposal & nature of punishment

IV. GENERAL a. Report on general vigilance activities:

Inspections conducted during the month Vigilance cases instituted as a result of inspections

Regular Check - Surprise Check -

b. Details of Tenders / NITs:

Sl. No.

Type of Tender Total No. of

Tenders issued in the month

No. of Tenders not put on the

website

Reasons for not putting the tenders on website

1 Open 2 Limited 3 Restricted c. Important vigilance activities -

d. Procedural Improvements and preventive -

vigilance measures introduced / vigilance courses organised etc

e. General comments on the vigilance activity - f. Any other -

VIGILANCE OFFICER

Vigilance Manual 67

ANNEXURE 9:

MINUTES OF VIGILANCE COMMITTEE MEETING HELD ON……………………..

UNIT / SBU: …………… 1. No. of Monthly meetings held during the year including this: 2. Persons identified under:

Total No. during the

year

Whether transferred

Persons repeating misconduct

a) Agreed List

b) Doubtful Integrity

c) Internal Agreed list / Doubtful Integrity

(details to be enclosed) If not done target date for identifying: 3. Corruption prone Areas:

Plan to rotate

Areas Identified

No. of persons

working >3 years

No. Target

Status on rotation

1.

2.

3.

4. Streamlining of Procedures:

Procedure proposed Target date Status

1.

2.

5. Surprise / Regular Checks done:

Cases detected

During the

Month

Cum. for the year during the

month during the year

Surprise Checks

Regular Checks

68 Vigilance Manual

6. Review of Purchase Orders / Contracts (April to March):

No. of Orders Placed during

the

No. of Orders Reviewed

during the

No. of orders having Lapses

during the

Action taken

on Lapses

Sl. No.

Details

Month Year Month Year Month Year

1. Orders >100 lakhs

2. Orders >50L <100L

3. Orders >25L <50L 4. Other orders

7. a) Status of Property Returns due on 15th Jan 200.....

Total No. of Executives as on 1st

January …..

No. of Executives Submitted

% Submitted

Action taken/ Target date for 100%

b) Status of Scrutiny of Annual Property Returns 20% of total in each year for the block period 2003 - 2007

Scrutiny done Target date for this year During the

month % Cumulative for year

% Cumulative for block

period %

8. Review of Status of Complaints / Cases detected:

i) B/F from previous month

ii) Detected / Complaints received during month

iii) Total Cases [(i) + (ii)]

iv) Cases disposed of during month

v) Total cases pending [(iii - (iv)]

<1 m

1-3 m

3-6 m

>6 m

Total

* Under Investigation * Under D.A. * Under Enquiry

Total

Vigilance Manual 69

9. Greater Transparency in Administration:

Ref: (Para 2.2 & 2.4 of CVC Memo No. 8 (1)(n)/98 dated 18.11.98 forwarded vide our Letter No. 17556/VIG/HOA dtd. 1.12.98)

a) Whether any discretion is exercised while awarding Tenders/Contracts : YES / NO b) Whether out of turn allotment of facilities/Privileges or discretion

exercised in favour of employees/Party : YES / NO c) If (a) & (b) above are ‘Yes’ whether the details of all such cases Published on the notice Board/Publication : YES / NO d) If ‘Yes’ Details given below:

Sl. No. Details of discretion exercised

e) Whether any Post Tender negotiations held with parties other than L1: YES/No (Low Tender) If yes:

Details of Contract / tender

Circumstances under which such negotiations were held or justification thereto if any

10. Training Programme on Vigilance:

a) General awareness Programme

Total No. Trained during the

Total No. as on 1st April

….

Total No. Planned

during the year

Target Date

Month Year

Total No. so

far trained

Executives

Non-executives

b) Principles of Natural Justice & Domestic Enquiry (for Dy. Mgrs. & above)

No. of Executives Covered during the Total No. of DMs & above as on 1st April ……

Target date Month Cumulative % till now

70 Vigilance Manual

11.

STATUS OF REPORTS SUBMITTED TO CO DT. OF SUBMISSION

MONTHLY Monthly Report on Vigilance Work by Vigilance Organisation

Monthly Minutes of Vigilance Committee Monthly Report on PO’s / Contracts with value exceeding Rs. 1 crore and above

QUARTERLY Action Plan on Anti Corruption Measures Statement showing the quarterly progress of original works for quarter ending…………… a) Civil Works Rs. 1 Crore & above

b) Electrical / Mechanical Works

Rs. 30 Lakhs & above

c) Store Purchase Rs. 2 Crores & above

d) Horticulture Rs. 2 Lakhs & above

e) Medical equipment Rs. 1 Crore & above

f) Consultancy 2 largest value contracts

g) Service contracts 2 largest value contracts

h) Supplies of medicines 4 largest value contracts

Leveraging of Technology for improving Vigilance Administration (2 formats)

VIGILANCE OFFICER

Thro’ CHAIRMAN, VIGILANCE COMMITTEE

CHIEF VIGILANCE OFFICER Enclosure to Sl. No. 2 of Minutes of Vigilance Committee Meeting:

List of Employees in the "Agreed List", "Doubtful Integrity List", "Internal Agreed List" & "Internal Doubtful Integrity List" in the format given below:

Sl. N

o.

Nam

e

Staf

f No.

Des

igna

tion

Dat

e of

Issu

e of

C

harg

e Sh

eet

Dat

e of

Fin

al O

rder

Puni

shm

ent

Aw

arde

d

Dat

e of

brin

ging

on

AL

/ D

IL /

IAL

/ ID

I Li

st

Aut

horit

y A

ppro

ving

N

ame

in A

L /

DIL

/

IAL

/ ID

I Lis

t

Reas

ons

for

keep

ing

in A

L /

DIL

/ IA

L /

IDI

List

Rem

arks

Vigilance Manual 71

ANNEXURE 10 :

Additional format for List of Banned/Blacklisted Companies / Suppliers

PROFORMA - I

LIST OF BANNED COMPANIES/SUPPLIERS/VENDORS

Sl. No.

Name of the firm/contractor

banned

Name of the Ministry/ Deptt. Who banned the

firms (copy to be endorsed)

Date MOD’s

reference, if any

Remarks

PROFORMA - II

LIST OF BANNED COMPANIES/SUPPLIERS/VENDORS AGAINST WHOM COMPLAINT RECEIVED AND INVESTIGATION IS GOING ON

Sl. No.

Name of the firm/contractor

banned

Name of the Ministry/ Deptt. Who banned the

firms (copy to be endorsed)

Date MOD’s

reference, if any

Remarks

72 Vigilance Manual

ANNEXURE 11 :

Purchase Orders / Contracts with a value exceeding Rs. One Crore

for the Month of ………………..

UNIT / SBU: …………. DATE: ………………...

SIGNATURE

(Shri…………..………)

VIGILANCE OFFICER

LIST OF ENCLOSURE TO MONTHLY REPORT

Annexure I (a) : Status of Complaints for the month :

Aga

inst

who

m th

e co

mpl

aint

Sl. N

o

Sour

ce o

f Com

plai

nt

Nam

e &

add

ress

of C

ompl

aina

nt

Dat

e of

rec

eivi

ng C

ompl

aint

Gis

t of C

ompl

aint

Nam

e

Des

igna

tion

Uni

t /

SBU

Act

ion

take

n on

Com

plai

nt

(File

d w

ithou

t inv

estig

atio

n, S

ent t

o C

BI,

take

n up

for

inve

stig

atio

n)

If ta

ken

up fo

r in

vest

igat

ion,

dat

e of

C

omm

ence

men

t of I

nves

tigat

ion

Nam

e of

Inve

stig

ator

Dat

e of

Sub

mis

sion

of

Inve

stig

atio

n Re

port

Cha

rge

whe

ther

pro

ved

or n

ot,

if pr

oved

, gis

t of c

harg

es p

rove

d

Act

ion

take

n on

Inve

stig

atio

n Re

port

(F

iled

/ Se

nt to

DA

)

Dat

e of

act

ion

on In

vest

igat

ion

Repo

rt

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14)

Sl. No.

Purchase Order /

Contracts

No. Date

Value in Rs.

Currency Country Vendor Part Nos.

Qty. in

Nos. Description

1 2 3 4 5 6 7 8 9

Vigilance Manual 73

Annexure I (b) : Status of pending Disciplinary Proceedings for the month :

Sl. N

o.

Nam

e of

the

part

y /

exec

utiv

e ch

arge

d

Gis

t of c

harg

es

Whe

ther

maj

or o

r

min

or p

enal

ty

Dat

e of

dec

isio

n of

m

inor

/ m

ajor

pen

alty

pr

ocee

ding

s

Dat

e of

issu

e of

C

harg

e sh

eet

Dat

e of

par

ty's

repl

y

Dat

e of

app

oint

men

t of

Inqu

iry O

ffice

r

Nam

e of

the

Enqu

iry

Offi

cer

Nam

e of

the

Pr

esen

ting

Offi

cer

Dat

e of

sub

mis

sion

of

Inqu

iry R

epor

t

Dat

e of

fina

l ord

er o

f D

A

Puni

shm

ent A

war

ded

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13)

Annexure II :

Surprise / Regular checks for the month :

Name of the Area / Sub-

area

Item / aspects checked

Date of checking

Checked by whom

Results of checking / Lapses noticed

Action taken

Annexure III : Unit / SBU:………….. Review of Purchase Orders / Sub - Contract Orders for the month of:………… Reviewed by:…………………. (Separate sheet for each PO / SCO) A. Purchase Order / Sub Contract Order Particulars : 1 PO / SCO No. & Date

2 Value of PO / SCO

3 Firm’s Name and Address

4 Description of the Item and Qty.

5 Cost per Unit

6 Required for project B. Previous Purchase Order / Sub Contract Order Details : 1 Repeated Order / Regular Order

2 Previous Supplier

3 Previous PO / SCO No. & Date

4 Previous PO / SCO Price and Qty.

74 Vigilance Manual

C. Whether Purchase Procedure / Sub Contract Procedure is followed? If So :

1 Purchase Requisition No. / Sub Contract Requisition No. & Date

2 Note Sheet Ref. & Date

3 Type of Tender (ST / OT / LT)

4 (a) No. of Firms contacted (b) Whether the firms are from AVD

?

5 No. of Firms as per PP / SCP Manual

6 No. of Quotes received

7 Comparative Statement prepared?

8 Management Approval reference & Date

D. Findings / Observations / Lapses in the procedures noticed:

E. Action taken on Findings / Observations / Lapses:

Date: Sign. of Vigilance Officer

Vigilance Manual 75

Annexure IV :

Job Rotation for the month:

No. of persons posted in

sensitive areas for more than 3 years as on 1st

April………

No. of persons rotated upto last

month

Rotated during the month

Remaining for rotation

Reasons for not rotating if any

Execu-tives

Non Exe.

Execu- tives

Non Exe.

Execu-tives

Non Exe.

Execu-tives

Non Exe.

Execu-tives

Non Exe.

Annexure V: Scrutiny of APRs for the month:

Total No. of Executives / TC

personnel in Unit / SBU as

on 1st January…..

No. of scrutiny of APRs to be

done in the year (20% of Col. 1)

No. of scrutiny done upto last

month

No. of scrutiny done during the month

No. of scrutiny pending

Reasons for

pending

(1) (2) (3) (4) (5) (6)

Annexure VI: Training on Vigilance Awareness Programme / Domestic Enquiry for the month:

No. of persons trained in Vigilance

Awareness Programme upto

last month Out of Col. (1) & (2)

No. of persons trained during the month Out of Col. (1) & (2)

No. of persons remaining for training Out of Col.(1) & (2)

No. of Executives who have not done

Vigilance Awareness Programme

during last 10 years as on 1st

April…….

No. of Non Executives posted in

sensitive area and not done any Vigilance

Awareness Programme Exe. Non

Exe. Exe. Non

Exe. Exe. Non

Exe.

(1) (2) (3) (4) (5)

76 Vigilance Manual

Annexure VII: Expenditure incurred by the Unit on festival gifts to Government Servants during the Month: Annexure VIII:

Details of publication of Award of Tenders / Contracts above Rs.10 Lakhs posted in the website:

Tend

er N

o.

Item

/ N

atur

e of

wor

k

Mod

e of

Ten

der

Enqu

iry

Dat

e of

Pub

licat

ion

of N

IT

Type

of B

iddi

ng (S

ingl

e /

Two

Bid

Syst

em)

Last

dat

e of

rec

eipt

of T

ende

r

Nos

. of T

ende

rs R

ecei

ved

Nos

. and

Nam

es o

f Par

ties

qu

alifi

ed a

fter

Tech

nica

l ev

alua

tion

Nos

. & N

ames

of P

artie

s N

ot

qual

ified

afte

r Te

chni

cal

eval

uatio

n

Whe

ther

con

trac

ts a

war

ded

to

low

est t

ende

rer

/ Ev

alua

ted

L1

Con

trac

t No.

& D

ate

Nam

e of

Con

trac

tor

Valu

e of

Con

trac

t (Rs

.)

Sche

dule

d da

te o

f com

plet

ion

of

supp

lies

Annexure IX: List of Firms / Contractors who are currently banned / black listed:

Sl.No

Name & Address of the firm / contractor banned / blacklisted

Items / works for

which blacklisting

Date of blacklisting

Period of blacklisting

Reasons for blacklisting

Authority and Order / Ref. No.

and date of blacklisting

Remarks

1 2 3 4 5 6 7 8

Vigilance Manual 77

Annexure X: Details of Pending Investigation Cases in HR Department:

Aga

inst

who

m th

e co

mpl

aint

Sl. N

o.

Sour

ce o

f Com

plai

nt (N

ame

& a

ddre

ss o

f C

ompl

aina

nt)

Dat

e of

rec

eivi

ng C

ompl

aint

Gis

t of C

ompl

aint

Nam

e

Staf

f No.

Des

igna

tion

Act

ion

take

n on

Com

plai

nt (F

iled

with

out

inve

stig

atio

n. S

ent t

o C

BI, t

aken

up

for

inve

stig

atio

n)

If ta

ken

up fo

r in

vest

i-ga

tion,

dat

e of

C

omm

ence

men

t of I

nves

tigat

ion

Nam

e of

Inve

stig

ator

Dat

e of

Sub

mis

sion

of I

nves

tigat

ion

Repo

rt

Cha

rge

whe

ther

pro

ved

or n

ot, i

f pro

ved,

gis

t of

char

ges

prov

ed

Act

ion

take

n on

Inve

stig

atio

n Re

port

(F

iled

/ Se

nt to

DA

)

Rem

arks

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14)

Annexure XI: Details of Pending Departmental Enquiries in HR Department:

Sl. N

o.

Nam

e of

the

Empl

oyee

/

Exec

utiv

e ch

arge

d

Gis

t of c

harg

es

Whe

ther

maj

or o

r m

inor

pen

alty

Dat

e of

dec

isio

n of

min

or /

m

ajor

pen

alty

pro

ceed

ings

Dat

e of

issu

e of

Cha

rge

Shee

t

Dat

e of

par

ty's

repl

y

Dat

e of

app

oint

men

t of

Inqu

iry O

ffice

r

Nam

e of

the

Inqu

iry O

ffice

r

Nam

e o

f the

Pre

sent

ing

Offi

cer

Dat

e of

sub

mis

sion

of I

nqui

ry

Repo

rt

Dat

e of

fina

l ord

er o

f DA

Rem

arks

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13)

78 Vigilance Manual

Annexure XII: Details of publication of Works / Purchase / Consultancy Contracts awarded on nomination / single tender basis valuing Rs.5 Lakhs and above posted in the website:

Sl. No.

Tender No.

Item / Nature of

work

Contract No. & Date

Name of Contractor

Value of Contract

(Rs.)

Scheduled date of

completion of supplies

Remarks

Annexure XIII:

STATUS OF ECS/EFT PAYMENTS TO CONTRACTORS/SUPPLIERS

FOR THE MONTH OF ____________ FOR SBU / UNIT____________

Sl. No.

Particulars Status of

ECS / EFT

1. Total No. of Contractors / Suppliers etc., dealt with (cumulative)

2. Total No. of Contractors / Suppliers etc. whose Bank A/c. details including MICR have been received (cumulative)

3. Percentage of number of contractors / suppliers etc. covered through e-payments (Sl. No. 2 divided by Sl. No. 1 x 100)

4. Total payments made to all Contractors / Suppliers etc., during the month of ______________ (Rupees in lakhs)

5. Total payments made to Contractors / Suppliers etc., through e-payments during the month of ______________ (Rupees in lakhs)

6. % of value of payments made to Contractors / Suppliers etc., through e-payments (Sl. No. 5 divided by Sl. No. 4 x 100) during the month of _______

7. Reasons if 100% is not achieved for Sl. No. 3

Note: Please note Sl. No. 1 & 2 are cumulative figures.

VIGILANCE OFFICER

Date:

Vigilance Manual 79

Annexure XIV: Details of Publication of information on Purchase / SC orders on BEL website for Production items of value of Rs. 1 crore and above

Tend

er N

o.

Item

/ N

atur

e of

wor

k

Mod

e of

Ten

der

Enqu

iry

Dat

e of

Pub

licat

ion

of N

IT

Type

of B

iddi

ng (S

ingl

e/

Two

Bid

Syst

em)

Last

dat

e o

f rec

eipt

of

Tend

er

Nos

. of T

ende

rs R

ecei

ved

Nos

. and

Nam

es o

f Par

ties

qu

alifi

ed a

fter

Tech

nica

l ev

alua

tion

Nos

. & N

ames

of P

artie

s N

ot q

ualif

ied

afte

r Te

chni

cal e

valu

atio

n W

heth

er c

ontr

acts

aw

arde

d to

low

est

tend

erer

/ E

valu

ated

L1

Con

trac

t No.

& D

ate

Nam

e of

Con

trac

tor

Valu

e of

Con

trac

t (Rs

)

Sche

dule

d da

te o

f co

mpl

etio

n of

sup

plie

s

80 Vigilance Manual

Annexure XV:

UNIT / SBU:__________________

INTEGRITY PACT (IP) FORMAT

INTEGRITY PACT REPORT FOR THE MONTH OF ______________YEAR__________ A. For the Orders / Contracts Under

finalisation: B. For the Orders / Contracts issued:

Sl. N

o.

Enq.

/ R

FQ N

o. &

D

ate

Estim

ated

Val

ue o

f PO

/ c

ontr

act

Nam

es o

f Ven

dors

to

who

m e

nqui

ry

is s

ent

Nam

e of

IEM

Sl. N

o.

PO /

Con

trac

t No.

&

Dat

e

Valu

e of

PO

/

Con

trac

t

Nam

e of

Sup

plie

r /

Vend

or /

Con

trac

tor

Brie

f Des

crip

tion

of

the

Con

trac

t

Dat

e of

sig

ning

IP

Rem

arks

, if a

ny

Signature:_____________

VIGILANCE OFFICER Date:_____________

Note : i) Integrity Pact is applicable for all Purchase / Sub-Contract / Works Contract of value of Rs.

20 Crores & above. ii) Integrity Pact is to be sent along with the enquiry. iii) Supplier / Vendor / Contractor to submit signed copy of the Integrity Pact along with the

quotation.

Vigilance Manual 81

QUARTERLY REPORTS ANNEXURE 12:

UNIT / SBU:………………….. DATE:

ACTION PLAN ON ANTI-CORRUPTION MEASURES

FOR QUARTER ENDING…………… (PART- I is for CO-Vigilance)

PART-I MINISTRY OF DEFENCE NAME OF THE PSU: BEL

A. FOR MINISTRIES/DEPARTMENTS

Sl. No. Subject Action Required

1st Qtr.

2nd Qtr

3rd Qtr.

4th Qtr. Remarks

A. PREVENTIVE

(i) Studies for streamlining the existing rules procedures etc.

Each Ministry to identify atleast two areas for systems improvement such as streamlining rules/ procedures or staffing pattern

Please Refer Part II. 1 (i)

(ii) Strengthening of Vigilance Machinery

Filling up all vacant posts of CVOs

Please Refer Part II. 2

Annual Review of Property (iii) Return filed by Group ‘A’ &

‘B’ Service Officers

Review to be completed

Please Refer Part II. 1 (iii)

B. SURVEILLANCE AND DETECTION

(i) Agreed List Preparation of Agreed List

Please Refer Part III. 1

(ii)

No. of cases pending investigation with the CVOs and pending action after investigation, as on ................

Please Refer Part III. 2

(iii) Comments awaited by CVC on the CBI’s Report

Cases pending on…………

C. DETERRENT PUNITIVE ACTION

(i) Cases pending decision for more than 6 months after CVC’s first stage advice

Cases pending on ............

(ii) Appointment of CDIs nominated by CVC

Cases pending on ............

(iii) Oral Inquiries against GOs. Cases pending on ............

(iv) Oral Inquiries against NGOs.

Cases pending on ............

82 Vigilance Manual

Sl. No.

Subject Action Required 1st Qtr.

2nd Qtr.

3rd Qtr.

4th Qtr.

Remarks

(v) Cases pending for more than 6 months after CVC’s 2nd stage advice

Cases pending on ............

(vi) CBI cases pending for want of sanction for prosecution

Cases pending on ............

(vii) Premature retirement of Govt. servants under FR 56 (i)

Review to be done according to the following schedule

Quarter in which review is to be made

Cases of employees who will be attaining the age of 50/55 years completing 30 years of service qualify for pension as the case the quarter indicated

1. January to March July to September of the same year

2. April to June October to December of the same year

3. July to September January to March of the same year

4. October to December April to June of the same year

D. MONITORING OF VIGILANCE WORK To be done monthly

1.

Monthly review of pending investigations, inquiries and other vigilance matter to be done by the CVOs

2. Quarterly review by Head of Dept. / Secretary concerned

3. Quarterly report to be sent to Department of Personnel and Training.

Report to be sent to Dept. of Personnel & Training for the previous Quarter along with review report of Head of the Dept. / Secretary by 15th of the month following the quarter

Vigilance Manual 83

PART – II to PART- V (To be filled up by VOs)

PART-II PREVENTIVE VIGILANCE:

Simplification of Rules and Procedures

Whether study completed

Details of implementation Remarks

Areas selected

1. (i)

2.

No. of inspections conducted during the Quarter

Number of cases detected Action taken Remarks

a) Regular inspections: (ii)

b) Surprise inspections:

Annual Review of Property Returns filed by Officers as on ……………

No. of Officers

filed Total

Officers

Group ‘A’ (iii)

Group ‘B’

Whether a plan for rotation of staff in sensitive areas has been drawn up

a) No. of staff working on same post / in the same division for more than three years (at the beginning of the Quarter)

b) No. of staff transferred during the Quarter, out of Col. (a), in pursuance of plan drawn up for rotation of staff

1.

(iv)

c) Reasons for non-implementation of plan for rotation of staff

Strengthening of vigilance machinery

(i) No. of vacant posts of CVOs as on

(ii) No. of posts filled-up 2.

(iii) Details of Vacant posts

84 Vigilance Manual

PART – III

SURVEILLANCE AND DETECTION:

I.

a)

No. of names included in the Agreed List (to be indicated in the return for the 1st Quarter. In case of the Agreed List is not finalised in the 1st Quarter, the No. should be indicated in the Quarter for which it is finalised)

b) The details of the surveillance (to be indicated from the 2nd Quarter onwards) with respect to Agreed List

Over

1 Year

Between 6 to 12

months

Between 3 to 6

months

II. Cases pending Investigation with CVOs / VOs (Preliminary Investigation) :

a) No. pending at the beginning of the Quarter

b) No. of cases added during the Quarter

c) No. in which investigation has been completed

d) No. carried forward

The cases referred above does not pertain to any corruption (With reference to Section Officer (B&C) Ltr. No. 3 (5)/2008/D (B&C) dt. 02.04.09)

Cases pending for communication of comments of Department/PSU on CBI’s investigation report to CVC:

a) No. pending in the beginning of the Quarter

b) No. in which comments have been sent in the Quarter

c) No. of cases added during the Quarter

III.

d) No. carried forward

Vigilance Manual 85

GOVERNMENT SERVANTS

EMPLOYEES OF PSUs

Gazetted Non-gazetted

Jr. Mgmt level & above (Executives)

Others

1 2 3 4

Cases under Investigation Departmentally: a) less than 3 months

b) 3 to 6 months

c) more than 6 months

By the CBI: a) less than 3 months

b) 3 to 6 months

c) more than 6 months

IV.

Total

Action on Investigation Reports (cases pending issue of charge sheet)

a) less than 3 months V.

b) more than 3 months

PART-IV

DETERRENT PUNITIVE ACTION:

Over 1 Year Between 6 to 12 months

Between 3 to 6

months

Cases pending decision for more than 6 months after CVC’s first stage advice

a) No. pending in the beginning of the Quarter

b) No. disposed of

c) No. of cases added during the Quarter

I.

d) No. carried forward

Cases in which appointment of CDI (Commissioners for Departmental Inquiries) nominated by CVC are pending for more than 3 months

a) No. of cases pending at the beginning of the Quarter

b) No. in which CDI has been appointed

c) No. of CCS (Central Civil Service) cases added during the year

II.

d) No. carried forward.

86 Vigilance Manual

Over 1Year Between 6 to 12 months

Between 3 to 6

months

Oral Inquiries (Departmental enquiries) against Gazetted Officers (Executives)

a) No. pending at the beginning of the Quarter

b) No. of cases added during the Quarter

c) No. disposed off

III.

d) No. carried forward. Oral Inquiries (Departmental enquiries) pending against Non-gazetted Officers (Non-Executives)

a) No. pending at the beginning of the Quarter

b) No. of cases added during the Quarter

c) No. disposed off

IV.

d) No. carried forward.

Cases pending for more than 6 months after CVC’s Second stage advice:

a) No. pending at the beginning of the Quarter

b) No. of cases added during the Quarter

c) No. disposed off

V.

d) No. carried forward

Cases pending for want of sanction for prosecuting in CBI cases

a) No. pending at the beginning of the Quarter

b) No. decided

c) No. of cases added during the Quarter

VI.

d) No. carried forward and reasons for delay in taking a decision in these cases

Review under FR 56(i) [Central Civil Service Fundamental Rule 56 (i)] : weeding out incompetent, corrupt, medically unfit and those of doubtful integrity - Executive above 50 years:

a) No. of Officers due for review

b) No. reviewed

c) No. weeded out/decided to be weeded out

VII.

d) No. yet to be reviewed with reasons for delay

VIII Please indicate whether the return has been reviewed at Secretary’s level

Note: Department-wise break-up of the cases pending (if any) under each para above to be attached

Vigilance Manual 87

PART-V

EMPLOYEES OF PSUS

Jr. Mgmt level &

above (Executives)

Others

Suspension

a) Under suspensions

b) Under suspension for less than 6 months

c) No. under suspension for over 6 months

I.

d) Whether over 3 months cases have been reviewed

Pending minor penalty proceedings

a) Less than 6 months

b) Between 6 months & 1 year II.

c) More than 1 year

Pending Major penalty proceedings

a) Less than 6 months

b) Between 6 months & 1 year

c) More than 1 year

III.

d) No. pending with E.O. for more than 6 months

VIGILANCE OFFICER CHIEF VIGILANCE OFFICER

88 Vigilance Manual

ANNEXURE 13: STATEMENT SHOWING THE QUARTERLY PROGRESS OF ORIGINAL WORKS FOR QUARTER ENDING……………… i) CIVIL WORKS COSTING Rs. 1 CRORE AND ABOVE:

Sl. N

o.

Nam

e of

wor

k &

Lo

catio

n

Estim

ated

Cos

t (in

Rs.

)

Tend

ered

Cos

t (in

Rs.

)

%A

bove

/ Be

low

sc

hedu

le r

ates

ap

plic

able

Agr

eem

ent N

o. &

D

ate

Age

ncy

Dat

e of

C

omm

ence

men

t

Tim

e of

C

ompl

etio

n

Phys

ical

Pro

gres

s of

w

ork

Nam

e of

the

Engi

neer

in-c

harg

e

Rem

arks

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.

ii) ELECTRICAL / MECHANICAL WORK COSTING Rs. 30 LAKHS AND ABOVE

Sl. N

o.

Nam

e of

wor

k &

Lo

catio

n

Estim

ated

Cos

t (in

Rs.

)

Tend

ered

Cos

t (in

Rs.

)

%A

bove

/ Be

low

sc

hedu

le r

ates

ap

plic

able

Agr

eem

ent N

o. &

D

ate

Age

ncy

Dat

e of

C

omm

ence

men

t

Tim

e of

C

ompl

etio

n

Phys

ical

Pro

gres

s of

w

ork

Nam

e of

the

Engi

neer

in-c

harg

e

Rem

arks

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.

iii) SUB-CONTRACTS / HORTICULTURE CONTRACTS COSTING Rs. 2 LAKHS AND ABOVE

Sl. N

o.

Nam

e of

wor

k &

Lo

catio

n

Estim

ated

Cos

t (in

Rs.

)

Tend

ered

Cos

t (in

Rs.

)

%A

bove

/ Be

low

sc

hedu

le r

ates

ap

plic

able

Agr

eem

ent N

o. &

D

ate

Age

ncy

Dat

e of

C

omm

ence

men

t

Tim

e of

C

ompl

etio

n

Phys

ical

Pro

gres

s of

w

ork

Nam

e of

the

Engi

neer

in-c

harg

e

Rem

arks

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.

Vigilance Manual 89

iv) MEDICAL EQUIPMENT CONTRACTS COSTING Rs. 1 CRORE AND ABOVE

Sl. N

o.

Nam

e of

wor

k &

Lo

catio

n

Estim

ated

Cos

t (in

Rs.

)

Tend

ered

Cos

t (in

Rs.

)

%A

bove

/ Be

low

sc

hedu

le r

ates

ap

plic

able

Agr

eem

ent N

o. &

D

ate

Age

ncy

Dat

e of

C

omm

ence

men

t

Tim

e of

C

ompl

etio

n

Phys

ical

Pro

gres

s of

w

ork

Nam

e of

the

Engi

neer

in-c

harg

e

Rem

arks

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.

v) CONSULTANCY CONTRACTS - 2 LARGEST VALUE CONTRACTS

Sl. N

o.

Nam

e of

wor

k &

Lo

catio

n

Estim

ated

Cos

t (in

Rs.

)

Tend

ered

Cos

t (in

Rs.

)

%A

bove

/ Be

low

sc

hedu

le r

ates

ap

plic

able

Agr

eem

ent N

o. &

D

ate

Age

ncy

Dat

e of

C

omm

ence

men

t

Tim

e of

C

ompl

etio

n

Phys

ical

Pro

gres

s of

w

ork

Nam

e of

the

Engi

neer

in-c

harg

e

Rem

arks

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.

vi) SERVICE CONTRACTS - 2 LARGEST VALUE CONTRACTS

Sl. N

o.

Nam

e of

wor

k &

Lo

catio

n

Estim

ated

Cos

t (in

Rs.

)

Tend

ered

Cos

t (in

Rs.

)

%A

bove

/ Be

low

sc

hedu

le r

ates

ap

plic

able

Agr

eem

ent N

o. &

D

ate

Age

ncy

Dat

e of

C

omm

ence

men

t

Tim

e of

C

ompl

etio

n

Phys

ical

Pro

gres

s of

w

ork

Nam

e of

the

Engi

neer

in-c

harg

e

Rem

arks

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.

90 Vigilance Manual

vii) SUPPLIES OF MEDICINES CONTRACTS - 4 LARGEST VALUE CONTRACTS:

Sl. N

o.

Nam

e of

wor

k &

Lo

catio

n

Estim

ated

Cos

t (in

Rs.

)

Tend

ered

Cos

t (in

Rs.

)

%A

bove

/ Be

low

sc

hedu

le r

ates

ap

plic

able

Agr

eem

ent N

o. &

D

ate

Age

ncy

Dat

e of

C

omm

ence

men

t

Tim

e of

C

ompl

etio

n

Phys

ical

Pro

gres

s of

w

ork

Nam

e of

the

Engi

neer

in-c

harg

e

Rem

arks

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.

viii) STORE / PURCHASE CONTRACTS VALUING RS. 2 CRORES AND ABOVE:

Sl. N

o.

Nam

e of

wor

k &

N

ame

of th

e Su

pplie

r w

ith L

ocat

ion

Con

trac

t No.

&

Dat

e

Brie

f det

ails

of t

he

mat

eria

ls p

rocu

red

Cur

renc

y /

Valu

e of

the

cont

ract

Mod

e of

tend

erin

g (O

pen/

Lim

ited/

Sin

gle

tend

er)

Sche

dule

d de

liver

y pe

riod

Pres

ent S

tatu

s

Rem

arks

1. 2. 3. 4. 5. 6. 7. 8. 9.

“CERTIFIED THAT ALL THE WORKS / PURCHASES / CONSULTANCY AND OTHER CONTRACTS IN PROGRESS, AS PER THE PRESCRIBED MONITORY LIMIT HAVE BEEN REPORTED IN THIS QPR”.

SIGNATURE

(Shri…………..………) VIGILANCE OFFICER

………..……..Unit / SBU

Vigilance Manual 91

ANNEXURE 14:

Leveraging of Technology for Transparency (DETAILS OF TENDERS)

SBU / UNIT…………….. For the Quarter ending…………………

(1) (2) (3) (4) (5) (6) *

No. of Tenders i. r. o. POs /

Contracts Issued

No. out of (1) issued through

ST Balance [(1) - (2)]

No. out of (3) issued through e-tendering /

e-procurement

Balance [(3) - (4)]

Reasons for not following e-tendering / e-procurment

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s

Wor

ks C

ontr

acts

incl

udin

g Se

rvic

e /

Su

b C

ontr

acts

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s

Wor

ks C

ontr

acts

incl

udin

g Se

rvic

e /

Su

b C

ontr

acts

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s

Wor

ks C

ontr

acts

incl

udin

g Se

rvic

e /

Su

b C

ontr

acts

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s

Wor

ks C

ontr

acts

incl

udin

g Se

rvic

e /

Su

b C

ontr

acts

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s W

orks

Con

trac

ts in

clud

ing

Serv

ice

/

Sub

Con

trac

ts

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s W

orks

Con

trac

ts in

clud

ing

Serv

ice

/

Sub

Con

trac

ts

* (i) Reasons for not following e-tendering / e-procurement should be furnished for each category i.e.,

Production Items, Non Production Items, Capital Items, Works Contracts including Service / Sub Contracts.

(ii) Break up of No. of Cases for each reason should also be furnished

92 Vigilance Manual

ANNEXURE 15:

Leveraging of Technology for Transparency

(DETAILS OF AWARDED POs / CONTRACTS) SBU / UNIT………… For the Quarter ending……………

(1) (2) (3) (4) *

No. of POs / Contracts Issued

No. out of (1) for which details of awarded POs

/ Contracts put on website

Balance [(1) - (2)] Reasons for not putting on the website

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s

Wor

ks C

ontr

acts

incl

udin

g Se

rvic

e /

Sub

Con

trac

ts

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s

Wor

ks C

ontr

acts

incl

udin

g Se

rvic

e /

Sub

Con

trac

ts

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s

Wor

ks C

ontr

acts

incl

udin

g Se

rvic

e /

Sub

Con

trac

ts

Prod

uctio

n Ite

ms

Non

Pro

duct

ion

Item

s

Cap

ital I

tem

s

Wor

ks C

ontr

acts

incl

udin

g Se

rvic

e /

Sub

Con

trac

ts

* (i) Reasons for not putting on the website should be furnished for each category i.e., Production Items, Non

Production Items, Capital Items, Works Contracts including Service / Sub Contracts.

(ii) Break up of No. of Cases for each reason should also be furnished.

CHAPTER 8B

APPENDIXES

If you have integrity,nothing else matters,

If you don't have integrity,nothing else matters.

Vigilance Manual 93

CHAPTER – 8B

APPENDIXES

LIST OF APPENDIXES

Appendix No.

Details Page No.

1A A list of Executives against whom vigilance cases are pending / penalties have been awarded as on date

95

1B Officers against whom vigilance cases are pending or contemplated

95

2 Foreign Visits by BEL employees on private account for the Calendar Year…………

96

3 Format for Intensive Examination Report (Format for both Works Contract & Purchase Contract)

96

4 Letter Format with Annexure-I to Annexure-III for obtaining details from concerned Unit / SBU before going for Inspection for Works Contract

102

5 Letter Format with Annexure-I to Annexure-II for obtaining details from concerned Unit / SBU before going for Inspection for Purchase Contract

106

6 Check list for review of Purchase Orders & Contracts 109

7 System Study for improvement of procedures format 112

8 Format for finalization of Agreed List with CBI 113

9 Format for finalization of Internal Agreed list and Doubtful Integrity list

114

94 Vigilance Manual

Vigilance Manual 95

APPENDIX - 1A A list of Executives against whom vigilance cases are pending / penalties have been awarded as on date:

SL. N

O.

NA

ME

&

DES

IGN

ATI

ON

(A

S O

N T

HE

DA

TE

OF

ALL

EGA

TIO

N)

UN

IT /

SB

U

CH

ARG

ES /

A

LLEG

ATI

ON

DA

TE /

MO

NTH

OF

CH

ARG

E SH

EET

DA

TE /

MO

NTH

OF

FIN

AL

ORD

ER

PUN

ISH

MEN

T

LIST

ED U

ND

ER

STA

TUS

APPENDIX - 1B Officers against whom vigilance cases are pending or contemplated: FOR THE HALF YEAR ENDING : JUNE ………….. / DEC ….………… NAME OF THE PSU : BHARAT ELECTRONICS LIMITED PART – A: Board level Officers:

Sl. No

Name of Executive Nature of Case & since when pending

Status at the end of half year

PART – B: Below Board level executives in the zone of consideration for Board level

appointment:

Sl. No

Name of Executive Nature of Case & since when pending

Status at the end of half year

Certified that other than the persons above, no vigilance case is pending or contemplated against any other executive in the categories stipulated in Part-A & B above.

CHIEF VIGILANCE OFFICER

96 Vigilance Manual

APPENDIX – 2 Foreign Visits by BEL employees on private account for the Calendar Year…………

Sl. No.

Unit / SBU

Name & Staff No. of

the Employee

Designation of the Employee

Name of the Country Visited

From To Source of funding

Remarks

APPENDIX - 3

Format for Intensive Examination Report

(Format for both Works Contract & Purchase Contract)

Name of the Unit :

Name of the Work :

Location :

Estimated Cost :

Tendered Cost :

Period of Inspection :

1. Particulars of Work:

1.1 Name of work

Agreement No.:

Name of the contractor:

Estimated cost:

Tendered cost:

Date of start of work:

Stipulated date of completion of work as per agreement:

Present Progress:

1.2 Departmental authorities

General Manager / SBU Head

Head of Contracts

Finance Head

Security Head

Vigilance Manual 97

1.3 Official in charge of the work

AGM / Sr. DGM / DGM

Manager / Dy. Manager

Sr. Engineer / Dy. Engineer

Supervisor

Divisional Accountant / Finance Officer

Planning Officer

Purchase Head

Purchase Cell Officer

Purchase Finance Officer

2. Scope of Work:

2.1 Detailed scope of work.

3. Administrative Approval & Expenditure Sanction:

3.1 Facts in brief:

a) Whether Administrative approval is obtained from appropriate authority

a) Preliminary estimates

b) Preliminary Drawings

3.2 Observation

3.2.1 Observation 1 3.2.2 Observation 2

4. Consultancy: 4.1 Appointment

4.1.1 Facts in brief 4.1.2 Observation

4.1.2.1 4.1.2.2

4.2 Contact Document

4.2.1 Facts in brief 4.2.2 Observation

4.2.2.1 4.2.2.2

98 Vigilance Manual

4.3 Payment

4.3.1 Facts in brief 4.3.2 Observation

4.3.2.1 4.3.2.2

5. Detailed Estimate & Technical Sanction:

5.1 Facts in brief

a) Detailed estimate prepared based on

b) Updation to market rates

c) Analysis of rates

5.2 Observation

5.2.1 5.2.2

6. Design & Drawing:

6.1 Architectural

6.1.1 Facts in brief a) Drawing are approved by appropriate authority

6.1.2 Observation

6.1.2.1 6.1.2.2

6.2 Structural

6.2.1 Facts in brief a) Based on designs b) Basis for designs

6.2.2 Observation 6.2.2.1 6.2.2.2

6.3 Services

6.3.1 Facts in brief 6.3.2 Observation

6.3.2.1 6.3.2.2

Vigilance Manual 99

7. Tender Documents:

7.1 Facts in brief

a) GCC b) SCC c) Scope of work 7.2 Observation

7.2.1 7.2.2 8. Prequalification:

8.1 Facts in brief

a) Criteria as per guidelines

b) Publicity

8.2 Observation

8.2.1 8.2.2 9. Inviting and Opening of tenders:

9.1 Facts in brief

a) Time given for quoting

b) Publicity

c) Committee for opening

d) Attendance of tenderers

9.2 Observation

9.2.1 9.2.2 10. Tender Scrutiny & Award of Work:

10.1 Facts in brief

a) Scrutiny verified/vetted

b) AHR/ALR statement

c) Basis for award

d) Negotiations

e) Financial sanction

100 Vigilance Manual

10.2 Observation

10.2.1 10.2.2 11. Contract Document:

11.1 Facts in brief

a) Clear and comprehensive

b) Scope of work

c) Site conditions

d) Execution of agreement

e) Payment terms

11.2 Observation

11.2.1 11.2.2 12. Payment to Contractors:

12.1 Facts in brief

a) Basis b) Terms c) Bank guarantee d) Deduction of Taxes e) Recovery of advances 12.2 Observation:

12.2.1 12.2.2

13. Records:

13.1 General Records

13.1.1 Facts 13.1.2 Observation

13.1.2.1 13.1.2.2

13.2 Site records

13.2.1 Facts 13.2.2 Observation

13.2.2.1 13.2.2.2

Vigilance Manual 101

14. Site Inspection:

14.1 Facts in brief

a) House keeping

b) Safety aspects

c) Storage of materials

d) Accessibility to Drawings/records

14.2 Observation

14.2.1 14.2.2 14.2.3 15. Sample Collection: 15.1 Facts in brief

15.2 Observation

15.2.1 15.2.2

16. Arbitration Cases:

16.1 Facts in brief

16.2 Observation

17. Miscellaneous:

17.1 Facts in brief

a) General observations

b) Learning

17.2 Observation

Sd/- Sd/- Sd/-

Member Secretary Member Member

Sd/-

Chairman

102 Vigilance Manual

APPENDIX – 4 Confidential

To Unit / Division Head Bharat Electronics Limited Address Place. Sub: Intensive Examination of Works Contract Ref: Corporate Vigilance letter No………………………. dated………….. 1. It has been decided to carry out intensive examination of the following works at BEL SBU / Unit as

detailed below:

Sl. No. Name of Work &

Location Contract No.

Name of Contractor / Agency

2. To enable the inspection to be carried out properly, you are requested to please arrange to collect

and make the following documents available to the undersigned as explained below:

2.1 PROFORMA FOR “GENERAL INFORMATION” IN ANNEXURE – I: Item under Paras 1 to 3.4 may be filled in and the Proforma returned immediately duly signed. In case the administrative set up is different from that indicated in Paras 1.2 and 1.3, the information may be furnished as per the set up available in your organisation.

2.2 PROFORMA FOR “TECHNICAL INFORMATION” IN ANNEXURE – II: This may please be filled in, signed and forwarded immediately along with copies against item

Nos. 2,7,8,9 and 17. 2.3 DOCUMENTS FOR INSPECTION AT SITE OFFICE ANNEXURE – III:

Please arrange to send photocopies of each of the documents listed in Annexure – III and all the original documents will be examined at site office / deptt. Office and may please be kept ready after inspection programme is intimated.

3. After intimation of inspection programme, arrangements may please be made for the inspection of

work along with required tools and documents. You may please see that all the parts / items covered under above contract may be made available for inspection.

4. The information in Proforma at Annexure I and II is to be furnished on factual basis as per records already available. As such it may please be ensured that requisite information in these Proforma is forwarded immediately so as to reach this office within 15 days after issue of this letter. If one or two teams are not already available, submission of entire Proforma should not be delayed on that account. The remaining information may follow shortly thereafter.

5. Kindly acknowledge receipt of this communication. Sd/-

( ) Chairman

Intensive Examination Team Encl: Annexure I, II, III

Letter Format for obtaining details from concernedUnit / SBU before going for Inspection for WorksContract

Vigilance Manual 103

Annexure - I PROFORMA FOR “GENERAL INFORMATION”

1.0 Particulars of Work: 1.1 NAME OF WORK

Agreement No.

Name of Contractor

Estimated Cost

Tendered Cost

Date of Start of Work

Due Date of Completion of Work

Present Progress of Work

1.2 DEPARTMENTAL AUTHORITIES

UNIT / SBU HEAD

HEAD OF CONTRACTS

FINANCE HEAD

SECURITY HEAD

1.3 OFFICIALS IN CHARGE OF WORK

DIVISIONAL HEAD

DEPARTMENTAL HEAD

ENGINEER-IN-CHARGE

NAME & DESIGNATION OF

SUPERVISORY STAFF

Name & Signature of Departmental Head

104 Vigilance Manual

Annexure - II

PROFORMA FOR “TECHNICAL INFORMATION”

1. Name of Work

2. Agreement No. (Please supply Copy of Agreement)

3. Name of Contractor

4. Estimated Cost

5. Tendered Cost

6. a. Date of Commencement

7. b. Stipulated date of completion

8. c. % Progress

9. Ref Memo and Date of Sanction of project (Please supply Copy of memo)

10. Ref and date of technical sanction (Please supply Copy of Sanction)

11. Date of approval of NIT (Please supply Copy of Letter of Approval)

12. Date of publication of NIT in press

13. Date of receipt of tenders

14. No. of tenders sold

15. No. of tenders received

16. Whether work awarded to lowest tenderer

17. Whether market rate justification available on record

18. Works manual adopted

19. Sl. No. and date of last running bill paid (Please supply copy of bill with enclosures)

20. Whether AHR / ALR items identified

21. No. of Statements Extra item Substituted item Deduction item

a) Sanctioned

b) Proposed

22. Test check carried out up to last RA bill Prescribed Actual

% test check by AE / Dy. Mgr. / Asstt. Mgr.:

% test check by Dy Mgr / Mgr., Sr. Mgr.

% test check by DGM/ Sr. DGM

Name & Signature of

Departmental Head

Vigilance Manual 105

Annexure - III

DOCUMENTS FOR INSPECTION AT SITE OFFICE

1 a) Press cuttings, including extended dates, if any.

i) For pre-qualification of architects / consultants. ii) For pre-qualification of contractors. iii) Call of tenders.

b) Register of sale of tenders.

c) Register of Opening of tenders.

2. File giving reference to Financial sanction and approval of competent administrative authority –

preliminary estimate.

3. Copy of detailed estimate and its technical sanction by competent technical authority.

4. Approval of NIT (Notice Inviting Tenders) in original.

5. Rejected tenders and comparative statements for:

a) Selection of architects / consultants.

b) Short listing of pre-qualification of tenders.

c) Other tenders.

6. Justification statement and corresponding notings in support of tenders / offers accepted.

7. Details of negotiations, if any, made before acceptance of tenders.

8. Original contract with consultant / contractor.

9. Guarantee bond etc., towards security for work, machinery / mobilization advance etc. including

extension of validity.

10. Insurance policies for work, materials, equipment, men etc. etc. including extension of validity.

11. Guarantee for water tightness, termite proofing etc.

12. Standard specifications.

13. Standard schedule of rates.

14. Drawings – Architectural, structural and services.

15. All connected measurement book, level books, field books and lead charts.

16. All running account bills with all connected statements / vouchers.

17. Materials at site accounts / cement, steel, bitumen, paints, water proofing compound, pig lead,

anti termite chemical etc.

18. Site order book / test records/ log books.

19. Details of extra / substituted items and of deviated quantities being executed / considered for

execution in the work along with analysis of rates.

20. Hindrance registers.

21. Office, correspondence files and inspection notes, if any, issued by inspecting officer.

22. Complaint record, if any.

23. Any other documents relevant to the works.

106 Vigilance Manual

APPENDIX – 5

Confidential To Unit / Division Head Bharat Electronics Limited Address Place. Sub: Intensive Examination of Stores / Purchase Contracts more than 2 crores Ref: Corporate Vigilance letter No…………………………………. dated………………… 1. It has been decided to carry out intensive examination of the “Stores / Purchase Contracts more

than 2 crores” at BEL SBU / Unit as detailed below:

Sl. No. Purchase Order No. &

Date Brief Description of

Items Name of Supplier

2. To enable the inspection to be carried out properly, you are requested to please arrange to collect

and make the following documents available to the under signed:

2.1 PROFORMA FOR “GENERAL INFORMATION” AT ANNEXURE – I:

The details may please be filled in and the Proforma may be returned immediately duly signed along with the following documents: a. Photocopy of the note sheet portion of the complete purchase file comprising of all details

beginning from initiation of procurement till placement of contract including comparative / ranking statement of bids, briefs and minutes of various TPC and negotiation meetings.

b. Photocopy of note sheets of post contract portion of purchase file. c. One attested true copy of each contract/agreement and the suppliers quotation. d. Photocopies of the bills paid till date.

2.2 DOCUMENTS FOR INSPECTION AT SITE OFFICE AT ANNEXURE – II:

Please arrange to send photocopies of each of the documents listed in Annexure – II and all the original documents will be examined at site office / deptt. Office and may please be kept ready after inspection programme is intimated.

3. After the intimation of inspection programme, arrangements may please be kept at warehouse/ godown for the inspection of inventory. You may kindly ensure that all the documents like receipt and issue of stores register are made available for inspection.

4. The documents and information as per para 2.1 & 2.2 above may please be forwarded immediately so as to reach this office within 15 days after the issue of this letter.

5. Kindly acknowledge receipt of this communication. Sd/-

( ) Chairman

Intensive Examination Team Encl: Annexure I, II, III

Letter Format for obtaining details from concernedUnit / SBU before going for Inspection for PurchaseContract

Vigilance Manual 107

Annexure – I PROFORMA FOR “GENERAL INFORMATION”

A. Departmental Authorities: 1. SBU

2. DIVISION

3. DEPARTMENT

4. PURCHASE HEAD

B. Contract / Tender Information:

Contract Details: 1. Contract No / PR No.

2. Description of Item / Items Purchased

3. Name of supplier / agency

4. Estimated cost

5. Value of contract

6. Delivery period stipulated in contract

7. Inspection authority

8. Present position of supply

9. Present position of payments

C. Tender Details:

1. Mode of tender enquiry

2. Date of issue of N.I.T. / Tender enquiry

3. Date of publication of N.I.T.

4. Whether the tender documents were approved

5. Date of receipt of tenders

6. No. of tenders sold.

7. No. of tenders received

8. Whether contract awarded to lowest tenderer

9. Whether negotiations conducted.

108 Vigilance Manual

Annexure – II

DOCUMENTS FOR INSPECTION AT SITE OFFICE

1. File giving reference to Financial Sanction and approval of competent administrative authority for

provisioning of stores.

2. Details of calculating the estimated value.

3. Press cutting of NIT including extended dates, if any.

a) For pre-qualification of bidder

b) Call of regular tenders

4. Register of sale of tenders

5. Register of receipt of tenders

6. Approval of tender document

7. Rejected tenders and comparative statement for:

a) Shortlisting of pre-qualification of bidders

b) Regular tenders.

8. Original file with complete noting and correspondence portion from initiation of procurement till

placement of contract and completion of supplies.

9. Original contract with supplier

10. Guarantee Bond etc. towards security deposit / performance security.

11. Insurance policy, if applicable.

12. Letter of credit in original

13. Inspection notes issued by the inspecting officer and their file.

14. Bills paid in “original” with complete enclosures.

15. Stock / Issue register of stores.

16. Complaint records, if any.

17. Details of payment.

Vigilance Manual 109

APPENDIX - 6

CHECK LIST FOR REVIEW OF PURCHASE ORDERS & CONTRACTS OPEN TENDER (Value of order exceeding Rs. 50 Lakhs) 1. Whether the work or quantity has been split to avoid open tender?

2. If the value of the order exceeds Rs. 50 Lakhs, whether limited tender resorted to?

3. Whether the reasons for not following open tender have been recorded and justification

for deviating the procedure recorded while obtaining approval?

LIMITED TENDER 4. If the item is not of proprietary nature, whether quotes have been obtained to generate

adequate competition?

5. Whether quotes have been received in sealed envelopes and opened by a Committee?

6. Whether the secrecy of the price ensured, in case of quotes received by fax/e-mail or other modes, other than sealed envelopes?

7. If there are more than one PRs for the same item, whether the quantities have been

combined to obtain quantity related benefits, like discounts, lower order processing costs, better logistics management etc.?

8. Whether the requirement has been broken into smaller quantities or smaller values with

a view to circumvent to the delegated powers?

9. Whether enquiries have been sent to all the approved vendors?

10. Whether the approved vendor directory has been up-dated to include new entrants to the market?

11. If the item has been procured earlier,

(a) Whether enquiries have been sent to all the Manufacturers / Authorized dealer of the

previous enquiry? (b) Whether the reasons for the non-inclusion of any previous suppliers justified and

approval obtained?

12. If the item has been purchased in the past, whether the earlier procurement prices have been compared?

13. In case of capital items, items of technical complexity or items capable of resulting in multiple choices, brands, etc.

(a) Whether technical and price bids have been separately obtained?

(b) Whether technical clarifications, if any have been obtained and discussions held with

all suppliers in order to obtain prices that are technically comparable? (c) Whether price bids (original or revised) of only technically acceptable quotes are

opened for comparison?

110 Vigilance Manual

14. Whether the bid has been opened in the presence of the bidders or their representatives?

15. Whether the price bid of any supplier has been rejected on technical grounds after the

same are opened?

16. Whether any changes have been effected in the technical parameters of the item/supply conditions/payment terms after the price bid is opened?

17. Whether any changes in the item/supply parameters have been effected after deciding

the lowest price (L1)?

18. If so, whether all the contenders to the tender have been given adequate and equal opportunity to revise their technical and price bids?

19. Whether the landing cost of the items has been considered in all cases for arriving at L1

status?

20. Whether the supply and payment terms are same for all the suppliers? If not, whether the prices have been suitably loaded to make the prices comparable?

21. Whether Purchase Order has been released on the L1 only?

22. Where the L1 supplier has been identified based on overall price but prices for different

items vary compared to others. Whether negotiations have been held to bring down the prices of items quoted at higher prices on par with the lower prices quoted by other bidders?

23. Whether the negotiation has been held without Finance Representative?

SINGLE TENDER 24. Whether a technically equivalent product or a product with comparable performance

exists?

25. Whether item procured is proprietary by choice and not by design?

26. Whether ST has been resorted due to urgency?

27. Whether procurement under ST has been adequately justified while obtaining approval?

28. In case the item is of proprietary nature, whether the prices of similar or technically comparable items obtained and compared?

Vigilance Manual 111

GENERAL 29. Whether any deviations have been allowed in supply date & time, resulting in any undue

favour to the supplier?

30. Whether LD clause has not been stipulated?

31. Whether LD has not been levied even though supply has been delayed?

32. Whether a time overrun / cost overrun report has been prepared and reasons thereof analysed?

33. Whether LD has been waived off even though time overrun is attributable to supplier? NOTE 1. The review of P.O/Contracts should be done by (i) a committee consisting of members

who are not involved in routine purchase / contracting activity or (ii) those working in other SBUs/Units.

2. If answers to points other than 1 to 3, 8, 13, 15 to 17, 23, 24, 29, 31 is 'YES', then the report should be submitted to Chairman, Vigilance Committee & a copy to CVO.

112 Vigilance Manual

APPENDIX – 7:

SYSTEM STUDY FOR IMPROVEMENT OF PROCEDURES FORMAT

REPORT FOR THE YEAR ………………..

1st Phase (April to Sept.) / 2nd Phase (Oct. to March)

SBU / Unit:________

Ref. No. Date: 1.0 Area selected for System Study.

2.0 Introduction / Back ground: (To give details of reasons for undertaking the study and brief description about the objective of the study)

3.0 The existing System: (Discussions on existing policies / guidelines and practices and procedures)

4.0 Policy Circular on the subject (if any):

5.0 Grey area / Lapses identified during system study:

6.0 Projected loss due to Lapses identified:

7.0 Measures suggested for system improvement and relative advantages over the existing system:

8.0 Recommendations:

9.0 Action Plan and schedule for implementation:

10.0 Present Status: Vigilance Officer Unit / SBU

Vigilance Manual 113

APPENDIX – 8:

Format for finalization of Agreed List with CBI

PROFORMA FOR AGREED LIST (TO BE FILLED IN QUADRUPLICATE)

BHARAT ELECTRONICS LIMITED / _____________________UNIT

LIST "A" : REVIEW OF THE EXISTING AGREED LIST OF OFFICERS

FOR THE YEAR____________

Sl. No. Name of the

Officer Shri / Smt.

Designation and place of

posting

Deletion / Retension

Reasons for Deletion / Retention

NAME: SUPDT. OF POLICE / CBI BHARAT ELECTRONICS LTD., PLACE : PLACE: DATE : DATE : SEAL

LIST - 'B' (ADDITIONS FOR THE YEAR____________)

Sl. No. Name of the Officer Shri / Smt.

Designation and place of posting

Reasons for Inclusion

NAME: SUPDT. OF POLICE / CBI BHARAT ELECTRONICS LTD., PLACE : PLACE: DATE : DATE : SEAL

LIST - 'C': Names of Officers suggested for Retention / Deletion / Inclusion by SP / CBI on which no agreement could be reached:

Sl. No. Name of the

Officer Shri / Smt.

Designation and place of posting

SP / CBI's Comments

CVO's Comments

NAME: SUPDT. OF POLICE / CBI BHARAT ELECTRONICS LTD., PLACE : PLACE: DATE : DATE : SEAL

114 Vigilance Manual

APPENDIX - 9:

Format for finalization of Internal Agreed list and Doubtful Integrity list

List of Executives in the "Agreed List" for the year ……….…..

Sl. N

o.

Nam

e

Staf

f No.

Des

igna

tion

Nat

ure

and

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CHAPTER 9

IMPORTANT CIRCULARS

Corruption is a crime,let Vigilance be prime.

Vigilance Manual 115

CHAPTER – 9

IMPORTANT CIRCULARS

LIST OF CIRCULARS

Circular No. Description Page No.

1 Vigilance clearance for Executives and Non-executives in the Company

117

2 Delegation for payment of interest free advance in supply / sub-contract / AMC Contracts

120

3 Improving Vigilance Administration, increasing transparency in procurement / sale etc. 129

4 Intensive Examination of Works by CTE organization -Submission of Quarterly Progress Report (QPR)

130

5 Intensive Examination of Works by CTE organization -Submission of Quarterly Progress Report (QPR) 131

6 Examination of Public Procurement (Works/Purchase/Services) Contracts – reg.

132

7 Guidelines to be followed by the authorities competent to accord sanction for prosecution u/s. 19 of the PC Act

133

8 Prosecution sanction - evidence of sanctioning / signing / authenticating authority 134

9 Timely completion of Departmental Inquiries - Improving Vigilance Administration

136

10 Directives reg. excess payment - Delay in initiating Disciplinary Proceedings

137

11 Protection against victimization of officials of the Vigilance Units of various Ministries / Departments / Organisations

139

12 Vigilance Administration - Role of CVO - regarding 141

13 Vigilance Administration - Role of CVO - regarding 143

14 Vigilance Administration - Role of CVO - regarding 144

15 Selection of Sub-Contractors 145

16 Tendering process - negotiations with L-1 146

17 Tendering Process – Negotiations with L1, L2, L3 etc. and Negotiations with H1, H2, H3 etc. 148

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Circular No. Description Page No.

18 Investigation of complaints by the CVOs - seizure of records reg.

149

19 Transparency in Works / Purchase / Consultancy Contracts awarded on nomination basis 150

20 Need for self-contained speaking and reasoned order to be issued by the authorities exercising disciplinary powers

151

21 Time bound processing of procurement 152

22 Measures to curb the menace of counterfeit and refurbished IT products reg. 153

23 Implementation of e-tendering solutions 154

24 Implementation of e-tendering solutions 155

25 Implementation of e-tendering solutions - check list 156

26 Vigilance angle cases handled by HR Dept. 157

27 Vigilance angle cases handled by HR Dept. 158

28 Details of Investigation Cases and Departmental Enquiries pending in SBUs / Units, Inclusion Monthly Report-Regarding

159

29 Investigation of Vigilance angle cases 160

30 Access of complaints to the CVOs - Instructions regarding 161

31 Instructions for seeking CVO’s advice in Vigilance case 162

Vigilance Manual 117

Circular No. 1 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/21/06-07/CO-VIG Date : 29th January, 2007

Sub.: Vigilance clearance for Executives and Non-executives in the Company Ref.: Corporate Vigilance Memo No. 17556 / VIG / HOA dt. 18th May, 2000

To further standardize the procedure for issuing Vigilance clearance to Company employees (both Executives and Non-executives) for various purposes, the procedure as enumerated below should be followed : 2.0 Cases, where vigilance clearance is required :

A. Vigilance Clearance should be obtained in respect of the following cases

before management approval is accorded :

i. Extension/Re-employment / Commercial employment after retirement. ii. Promotion iii. Confirmation of appointment / promotion iv. Compulsory retirement / Normal retirement / Voluntary retirement /

Resignation v. Deputation within the country and foreign assignments including

business trips and official trips abroad. vi. Training abroad including Seminars / Conferences abroad. vii. Awards including National and International Awards viii. No Objection Certificate for issue of Passport. ix. Posting to sensitive areas including transfers to and from sensitive areas /

Departments such as Bills Payable, Pay Rolls, Purchase & Stores, Recruitment and Promotion, Security, Vigilance, Civil Engineering, Plant Maintenance (Mechanical & Electrical), Canteen, Sub Contract cell etc.,

x. Premature Retirement through review xi. Forwarding of applications through proper channel to other PSUs /

Government Departments (both Central and State Governments) xii. Recruitment (Regular / Deputation / Contract / Assignment basis) to posts

in all Disciplines of the Company joining from other PSU’s / Government Departments (both Central and State Governments).

xiii. Re-employment after retirement from Defence services, PSU’s and Government Departments (both Central and State Governments)

B. Vigilance clearance, in respect of Executives and Non-executives of the

company for the cases covered from (a) to (k) of para A above, shall be obtained from the vigilance department as per the norms given below :

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Sl.

No. Details of the employees Vigilance clearance by

1. All Non-executives and Executives (including TCs) upto E-VI A (Sr. DGMs) of BG Cx, Pune, Namu, MC, HYD, CHN Units and CRLs

Unit / SBU Vigilance Officer in consultation with Sr. DGM (Vigilance) / SU / BG Cx and Corporate Vigilance (through telephone / FAX / e-mail)

2. All Non-executives and Executives (including TCs) upto E-VI A (Sr. DGMs) of GAD, PK and KOT Units

Unit / SBU Vigilance Officer in consultation with Sr. DGM (Vigilance) / NU / GAD and Corporate Vigilance (through telephone / FAX / e-mail)

3. All Non-executives and Executives (including TCs) upto E-VI A (Sr. DGMs) of CO and Systems / ROs / Marketing Centres / other offices coming under the administrative control of CO

Vigilance Officer / CO in consultation with DGM (AC&V) / CO / AGM (Vig) / CO

4. All Executives from AGM and above

CVO through DGM (AC&V) / CO / AGM (Vig) / CO

C. Vigilance clearance in respect of the cases covered by (l) and (m) of para A

above, shall be obtained from the Vigilance Department of the PSU / Government department through their personnel department, from where the employee is being recruited or re-employed after retirement.

3.0 Vigilance Clearance should be given by the Vigilance Department on the note sheet moved by the concerned authority seeking Vigilance Clearance. Normally the Vigilance Clearance should be given for a period of 3 years preceding the date of Vigilance Clearance mentioning the following details :

a) A gist of complaint / allegation pending investigation (Not fact verification), if any, against the employee for last 3 years.

b) Cases investigated & charges proved against the employee and report sent to Disciplinary Authority along with gist of the charges / punishment awarded, if any, for last 3 years.

c) If the employee’s name is appearing in agreed list / doubtful integrity list, any time during the last 3 years.

d) If the information in-respect of (a), (b) and (c) is “Nil”, then the vigilance department should give clearance stating that “there is no vigilance case against the employee for the last 3 years.”

e) However, if Vigilance Clearance is asked for any specific period, the particulars as mentioned in (a), (b), (c) and (d) above may please be mentioned for the same period.

f) A photo copy of the noting sheet along with the Vigilance Clearance given, shall be kept in Vigilance Department for record and reference.

Vigilance Manual 119

4.0 The above guidelines will come into force with immediate effect.

Sd/-

DGM (Anti-Corruption & Vigilance) / CO ALL VOs Sr DGM (Vig) / SU / Bg Cx Sr DGM (Vig) / NU / GAD ALL UNIT / SBU PERSONNEL HEADS ALL UNIT / SBU HEADS ALL GMs CC : All Directors CMD For kind information.

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Circular No. 2

Vigilance Manual 121

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Vigilance Manual 125

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Vigilance Manual 127

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Vigilance Manual 129

Circular No. 3 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/31(3)/05-06/CO - VIG Dt. 6th June 2005

Sub: Improving Vigilance Administration, increasing transparency in procurement /

sale etc. use of website for tenders containing classified/ secret documentation

Please find herewith letter No. 09/02/05 dtd. 28th February 2005 regarding the subject mentioned above.

2.0 Classified / secret documents may include:

2.1 Overall layouts of strategic installation like nuclear/atomic energy installations, refineries, paper plants, research and defence installations etc.

2.2 Process schemes or process flow diagram, which require prior approval of process licensor before they are provided to the individual bidder.

2.3 Technology / design details which may be proprietary to a particular firm and require specific approval of technology provider prior to making them available to the bidders.

3.0 In such cases CVC recommends to go in for pre-qualification of bidders in the first stage, after obtaining approval of Competent Authority. Once the bidders are pre-qualified, the complete tenders, including the classified / secret documents which form a part of the tender may be made available to pre-qualified bidders for submitting their techno commercial and price bids. A password access system be resorted for limiting access to such documents to pre-qualified agencies. 4.0 Such procedure is followed only for tenders which contain classified / secret documentation, after obtaining the approval of competent authority for this purpose. Adequate opportunity and time should be given to pre-qualified bidders to bid for the work. Once the bidders have been pre-qualified, no further rejection to take place on the grounds of not meeting the pre-qualification criteria in the later stages of contract.

5.0 Organizations should have well defined tendering process including pre-qualification of agencies for tenders containing classified documents in consultation with CVO.

AGM / Dy. CVO ED (Torque) All SBU / Unit Heads / GMs All ACVOs All VOs Encl.: a/a CC: D (F) D (R&D) D (BC) D (OU) D (P) D (C & MS)

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Circular No. 4

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(4)/05-06/CO-VIG

Dt. 13th June 2005

Sub: Intensive Examination of Works by CTE organization - Submission of Quarterly Progress Report (QPR)

All the Units / SBUs submit their Quarterly Progress Report (QPR) to the Corporate

Vigilance in the prescribed format in respect of Civil Works costing more than Rs.1 crore, Electrical / Mechanical & other allied Works costing more than Rs.30 lakhs, Stores / Purchase Contracts more than Rs.2 crores, Horticulture Works costing more than Rs.2 lakhs.

2.0 Now, in addition to the above, CTE organisation of CVC, vide their O. M. No.98/VGL/25 dtd. 16.05.05 enclosed herewith, directs us to include Consultancy Contracts, Sub - Contracts, all Service Contracts such as hiring / leasing of cycle stands etc, security services, transportation contracts, catering, equipment & supplies of medicines to hospitals etc. are also to be included in the respective QPR. 3.0 All Units / SBUs are therefore requested to indicate Contracts having contracted / tendered cost more than the following values mentioned against them in every QPR.

1. Store Purchase Rs. 2 Crore 2. Civil Works Rs. 1 Crore 3. Electrical / Mechanical and other allied Works Rs. 30 Lakhs 4. Consultancy Contracts Rs. 10 Lakhs 5. Sub - Contracts Rs. 2 Lakhs

6. Horticulture and all service contracts like security, transportation, catering, equipment and supplies of medicines to hospital, courier and travel services etc.

Rs. 2 Lakhs

For details, the format is enclosed.

4.0 Where the value of Contracts is less than the limits prescribed above, Units / SBUs may report two largest works in progress in each discipline. It is also directed that all the Vigilance Officers should certify on the QPR ”All the Works / Purchases / Consultancy and other Contracts in the progress as per the prescribed limits, have been certified in this QPR”. 5.0 The above instructions are for strict compliance from the QPR ending June 2005.

AGM / Dy. CVO All ACVOs / VOs Encls.: a/a Cc: All Unit / SBU Heads D (BC) & D (OU)

For kind info please

Vigilance Manual 131

Circular No. 5 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326 / 31 (7)/05-06/CO-VIG Dt. 20th December 2005

Sub : Intensive Examination of Works by CTE organization – Submission of Quarterly

Progress Report (QPR)

Please refer to this office even letter dt. 13th June 2005, on the subject cited, wherein the Units / SBUs were requested to indicate the details of various contracts above prescribed financial limits in the quarterly progress reports. Further, all the VOs were also directed to send a Certificate along with the QPR to the effect that all the Contracts / Purchases / Consultancy and other Contracts in the progress as per the prescribed limits have been certified in the QPR.

2.0 Now, CTE organisation of CVC, New Delhi vide their letter No.98-VGL-25 dt.

11th December 2005 (Copy enclosed) directs that the QPRs should contain all the ongoing Contracts above prescribed financial limits separately for the below mentioned categories:

1. Civil Works Rs. 1 Crore & above 2. Electrical/Mechanical Works Rs. 30 Lacs & above 3. Store Purchase Rs. 2 Crores & above 4. Horticulture Rs. 2 Lacs & above 5. Medical equipment Rs. 1 Crore & above 6. Consultancy 2 largest value contracts 7. Service contracts 2 largest value contracts 8. Supplies of medicines 4 largest value contracts

3.0 Further the Vigilance Officers need to certify on the QPR that “All the Works/ Purchases / Consultancy and other Contracts in progress, as per the prescribed monitory limit have been reported in this QPR”. The format of QPR is enclosed. 4.0 In case the value of the works is less than the limits prescribed above, 2 largest works in progress may be reported in the QPR. 5.0 As directed by CVO, the above instructions regarding the details of Contracts in progress and Certificate of reporting are for strict compliance with immediate effect i.e., from the QPR for the quarter ending 31st December 2005, to reach by 2nd of the month succeeding every quarter.

DGM (Anti Corruption & Vigilance) All VOs Sr. DGM (NU) Sr. DGM (SU) AGM (VIG) / CO Encl. : a/a CC: All Unit / SBU Heads D (BC) & D (OU) For kind information please

132 Vigilance Manual

Circular No. 6

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(12)/05-06/CO-VIG Dt. 11th May 2006

Sub: Examination of Public Procurement (Works/Purchase/Services) Contracts – reg.

A copy of the CVC letter No. F.No.006/VGL/29 dt. 1st May 2006 forwarding their Circular No.21/05/06 on the above subject is enclosed for information and strict compliance. On the basis of the lapses noticed by the Chief Technical Examiner’s Organization over the years a checklist has been prepared by CVC for examination of procurement (Works/Purchases/Services) contracts in respect of pre-award stage and post-award stage and enclosed as Annexure-1 to the above CVC Circular for strict compliance. 2.0 In addition to the points mentioned in the checklist, following points also may please be kept in view while examining the public procurement (Works/Purchases/Services) Contracts:

i) Proper market survey has been conducted to identify alternate sources. ii) Specific approval of Competent Authority is obtained with proper

justification for acceptance of late tenders. iii) Extension of date for acceptance of tenders, if any, is informed to all the

participants of the tender. iv) Price negotiations are conducted jointly by Officers of the Purchase, Finance

and Indentor Department and the composition of the negotiating committee is decided by competent authority.

v) Every effort is made to identify OEM and their authorized agencies. vi) Wherever DGS & D rate contract is applicable, the prices of DGS & D rate

contract are availed. vii) In two-part bids, the price bids of only those firms are opened who have

been cleared in technical bids.

AGM (Vigilance) / CO

All VOs Sr. DGM (Vigilance) / SU / Bg. Cx. Sr. DGM (Vigilance) / NU / GAD I/C of MM Dept. of all SBU / Units Chairmen of Intensive Examination Teams GMs / SBUs / Unit Heads

Vigilance Manual 133

Circular No. 7 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/31(5)/05-06/CO - VIG Dt. 6th July 2005

Sub.: Guidelines to be followed by the authorities competent to accord sanction for

prosecution u/s. 19 of the PC Act Ref.: CVC's O. O. No. 31/5/05 dtd. 12th May 2005 Please find enclosed herewith CVC Office Order No. 31/5/05 dtd. 12th May 2005, regarding guidelines to be followed by the authorities competent to accord sanction for prosecution U/S. 19 of the PC Act and U/S 197 of Cr. PC. Briefly, the directions contained in the above CVC O. O. are as follows:

i) Normally, the prosecution sanction should be accorded by the Competent Authority within 3 months from the date of receipt for sanction.

ii) The Sanctioning Authority should take the decision on the basis of facts put before

it. There is no provision for giving fresh opportunity to public servant at this stage. iii) The Sanctioning Authority cannot order fresh enquiry to judge the truth of

allegation on the base of representation filed by the accused at this stage. iv) During investigation by the CBI, the case is supervised by the Sr. Officer and

scrutinized by the Law Dept. As such there is hardly any case where Sanctioning Authority can disagree request for sanction.

v) If on the basis of representation by the accused person, Sanctioning Authority has

any doubt regarding the case, it may seek clarification from the investigating agency only for the purpose of clearing the doubt and not for considering the representation.

2.0 The above guidelines are being sent for strict compliance by all concerned. AGM / Dy. CVO

ED All GMs All ACVOs / VOs Encl.: a/a CC: CMD All Functional Directors

For kind info please

134 Vigilance Manual

Circular No. 8

Vigilance Manual 135

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Circular No. 9

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(52)/09-10/CO-VIG

Date: 15th March 2010

Sub.: Timely completion of Departmental Inquiries - Improving Vigilance Administration Please find enclosed a copy of the CVC’s Office Order No. 13/03/10 issued in their letter No. 009/VGL/067 dt. 09.03.2010 on the subject cited.

2.0 Natural Justice demands that disciplinary proceedings are finalized in an expeditious manner. The delay in completion of proceedings works against the institutional incentive built to fight corruption, which may either cause undue harassment and demoralization of innocent employees or enable the guilty officers to evade punitive action for longer periods of time. The delay in handling disciplinary cases has been viewed adversely by the courts also. It is important that the formal proceedings, once instituted are completed within the time frame, so that timely action can be taken against the delinquent employees. Further, an Inquiry Officer (IO) appointed by the Disciplinary Authority to conduct departmental inquiry in a particular case cannot start the inquiry unless related documents are furnished to the IO.

3.0 The Central Vigilance Commission while reiterating its earlier guidelines /

instructions for eliminating avoidable delays like appointment of IO / PO immediately on denial of charges by CO, making legible certified photocopies of documents in cases where the originals are seized by CBI / filed in Courts, providing custody of all listed documents along with appointment orders to Presenting Officers etc. emphasized that all pending cases of Departmental Inquiries need to be reviewed at regular intervals by the CVO and the Disciplinary Authority concerned in each Ministry / Department / Organisation to ensure that the proceedings are completed / finalized expeditiously. 4.0 As directed by CVO, the Commission’s instructions may please be complied with strictly to avoid delay in timely finalization of Inquiries.

Sr. DGM (Anti Corruption & Vigilance) / CO All Unit / SBU Heads & Chairmen Vigilance Committees CC: Sr. DGM (Vigilance) / SU / Bg. Cx. Sr. DGM (Vigilance) / NU & VO (GAD) All Directors CMD Encl.: a/a

for kind information please

to ensure that the CVC’s instructions arecomplied with, in the Units / SBUs

Vigilance Manual 137

Circular No. 10 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/31(57)/10-11/CO-VIG Dt. 24th June 2010

Sub.: Directives reg. excess payment - Delay in initiating Disciplinary Proceedings

Please find enclosed a copy of the CVC’s Circular No.21/05/10 circulated in their letter No. 010/VGL/039 dt. 02.06.2010 on the subject cited wherein during the Intensive Examination of Contracts / Complaints by CTEO / CVC or CVOs of various organisations, excess payments to the contractors have been observed which may be either due to ambiguity in the contract or misinterpretation of various clauses of the contract and in some of the cases, variations in the contract clauses or specifications are allowed without financial adjustments, thus, giving undue benefit to the contractors.

2.0 In such cases, CVC normally recommends a two-fold action as given below:

(i) for identifying the officials responsible for making excess payments

involving vigilance angle.

(ii) to recover such excess payments from the contractors.

In number of cases, contractors invoke arbitration to avoid such recoveries and in addition submit huge claims to deter the authorities from making recoveries. CVOs in such cases delay the process of identifying the officials citing reference to arbitration as an excuse and the organisation also fails to affect the recoveries citing reference to arbitration by the contractor.

3.0 In view of the above, the Commission has issued the following directions:

(a) Whenever, any excess payment is detected, it should be recovered from the contractor from the available amount at the first opportunity following due procedure prescribed in the contract, unless any stay has been granted by any Court.

(b) Reference to arbitration should not be linked with Investigation and for identifying the officials responsible for lapses / excess payment involving mala-fide intentions / vigilance angle. CVOs should immediately investigate the case to identify the officials for lapses attributable to them and should approach the Commission for first stage advice without any delay.

138 Vigilance Manual

4.0 Hence, as directed by CVO, you are requested for strict compliance of the

CTE/CVC’s guidelines / instructions enumerated in the CVC’s Circular cited.

DGM (Anti Corruption & Vigilance) / CO

All VOs / IOs All Sr. DGMs (Vigilance) All Chairmen of In-house Intensive Examination Teams CC: All SBU / Unit Heads / GMs All EDs All Directors CMD Encl.: a/a

- for information please

Vigilance Manual 139

Circular No. 11

140 Vigilance Manual

Vigilance Manual 141

Circular No. 12 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No.21326/31(19a)/06-07/CO-VIG Dt.: 12th October 2006

Sub.: Vigilance Administration - Role of CVO - regarding The Commission has issued a number of instructions on different aspects of vigilance administration and the CVO’s role in the same. During the Annual Zonal Meetings and interactive sessions with the CVOs, a number of issues were raised on most subjects, on which, though already instructions exist, the Commission has felt the need to reiterate / clarify and focus on some of the select issues raised in these meetings. Accordingly, the following guidelines are issued in CVC Circular No.25/7/06 (vide Ltr. No.006/VGL/065) dtd. 6th July 2006 on the subject cited i.r.o. Complaints and Reports:

1) Complaints:

a) It is seen that in many a case, the complainant is not able to clearly articulate his allegations. In such cases, the CVO should contract the complainant for such additional information / clarification that the complainant could provide so that investigation, if need be, could be undertaken on serious allegations, in a focused manner. Further, whenever the complainant is addressed either for verification or for additional information, in order to avoid delay, the CVO should simultaneously call for the records of the case, scrutinize the same in the light of the allegations made, and take necessary action.

b) The Commission’s prior approval is necessary to take up any anonymous/ pseudonymous complaint for investigation. Even though such complaints apparently contain verifiable information, the CVO is expected to conduct a preliminary enquiry and if it is considered that a detailed investigation is called for, then the Commission should be approached for seeking its approval.

c) On receipt of any complaint containing allegations against any tender in process, the tender process need not be stopped. However, the allegations should be brought to the notice of the Competent Authority, including the purchase committee, tender committee, negotiation committee etc., and the complaint should be taken up for investigation independently.

d) It should be borne in mind that if a CVO fails to notice a serious irregularity or to take necessary follow up action and if such an irregularity is unearthed on investigation of a complaint received by the Commission, it would reflect poorly on the performance of the CVO, and he would need to explain in this regard.

142 Vigilance Manual

2) Monthly / Quarterly / Annual Reports of the CVOs:

a) The CVOs should take utmost care in sending the Monthly Report, which enables

the Commission to assess their performance. They can attach additional sheets if they want to bring any special vigilance related issue to the notice of the Commission. A statement should also be enclosed along with the Monthly Report giving details of complaints / vigilance cases relating to officials falling under the Commission’s jurisdiction, which are pending for more than a year, giving reasons for delay.

The above guidelines of CVC are circulated for strict compliance by all VOs / IOs.

DGM (Anti Corruption & Vigilance) / CO All VOs All IOs All Sr. DGMs (Vigilance)

Vigilance Manual 143

Circular No. 13 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No.21326/31(19b)/06-07/CO-VIG Dt.: 12th October 2006

Sub.: Vigilance Administration - Role of CVO - regarding The Commission has issued a number of instructions on different aspects of vigilance administration and the CVO’s role in the same. During the Annual Zonal Meetings and interactive sessions with the CVOs, a number of issues were raised on most subjects, on which, though already instructions exist, the Commission has felt the need to reiterate / clarify and focus on some of the select issues raised in these meetings. Accordingly, the following guidelines are issued in CVC Circular No.25/7/06 (vide Ltr. No.006/VGL/065) dtd. 6th July 2006 on the subject cited i.r.o. Consultation with CVOs: Consultation with CVOs: While CVOs may be consulted by the Management in formulating a policy to provide for necessary checks and balances as a preventive vigilance measure, they should not get involved in decisions in individual cases like works / procurement etc., having financial implications. The above guidelines of CVC are circulated for strict compliance by all the concerned.

DGM (Anti Corruption & Vigilance) / CO All VOs All Sr. DGMs (Vigilance) CC: All Unit / SBU Heads All Functional Directors CMD

For kind information

144 Vigilance Manual

Circular No. 14

BHARAT ELECTRONICS CORPORATE VIGILANCE

No.21326/31(19c)/06-07/CO-VIG

Dt.: 12th October 2006

Sub.: Vigilance Administration - Role of CVO – regarding

The Commission has issued a number of instructions on different aspects of vigilance administration and the CVO’s role in the same. During the Annual Zonal Meetings and interactive sessions with the CVOs, a number of issues were raised on most subjects, on which, though already instructions exist, the Commission has felt the need to reiterate / clarify and focus on some of the select issues raised in these meetings. Accordingly, the following guidelines are issued in CVC Circular No.25/7/06 (vide Ltr. No.006/VGL/065) dtd. 6th July 2006 on the subject cited i.r.o. Consultation with CVOs and Disciplinary Cases: 1) Consultation with CVOs:

The CVO has an important role in effective vigilance administration and functions as an extension of the Commission. While the Commission’s jurisdiction is confined to Group ’A’ Officers and other officials of and above the level notified and the Commission’s advice is only to the Disciplinary Authority, there is no such restriction on the CVOs. They are required to be consulted by the Disciplinary Authority / Appellate Authority, irrespective of the level of officers involved. Wherever the Appellate Authority has disagreed with the Commission’s advice, which was accepted by the Disciplinary Authority, the CVOs would scrutinize the matter carefully to take up the matter with the reviewing authority and also report such cases to the Commission. In respect of officials not under the jurisdiction of the Commission, where the Disciplinary Authority has disagreed with the CVO’s advice, such cases should be specifically brought to the Notice of the Board.

Hence, you are requested to inform all the Unit / SBU Personnel Heads and Disciplinary Authorities accordingly.

2) Disciplinary Cases:

The CVOs should ensure that charge sheets are carefully drafted covering all lapses. It is seen that in some CBI cases, there is delay in obtaining the documents. It should be ensured that the listed documents are obtained from the CBI before issuing the charge sheet and where parallel proceedings are to be initiated, a set of listed documents duly certified, is obtained from the CBI.

Hence, you are requested to issue necessary instructions to all the concerned to get vetted / cleared by CVO all the charge sheets drafted in respect of vigilance cases.

DGM (Anti Corruption & Vigilance) / CO

Thro’ CVO D (P)

Vigilance Manual 145

Circular No. 15 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326 /31 (9)/05-06/CO-VIG Dt. 9th January 2006

Sub : Selection of Sub-Contractors

CVC vide their letter No.2EE-1-CTE-3 (part) dt. 24.05.2005 (copy enclosed) has given

following guidelines on selection of Sub-Contractors.

(1) In order to make the process of selection of sub vendors more transparent, the condition of seeking prior approval from the Principal, for selection of sub vendors should be dispensed with.

(2) To ensure that the work is sub contracted to genuine and reliable firm, the Principal

may specify a suitable criteria and may even suggest an approved list of sub vendors to the main contractors.

(3) If a PSU is a main contractor, selection of sub contractor may be done by calling

open tenders or by limited tenders from approved list of firms including the list supplied by the Principal, meeting qualification criteria.

AGM (VIG) / CO

All the VOs DGM (AC&V) Sr. DGM (SU) Sr. DGM (NU) All MM / P & S Heads of Units/SBUs All Unit / SBU Heads GM (ES) / Bg. Cx. GM (F) / Bg. Cx. CC: D (F) D (BC) D(OU) for kind information please CMD

146 Vigilance Manual

Circular No. 16

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(24)/06-07/CO-VIG

Dt. 29th March 2007

Sub.: Tendering process - negotiations with L-1 Please find enclosed a copy of the CVC letter No. 005/CRD/12 dt. 3rd March 2007 (Circular No. 4/3/07) on the above subject, wherein the following consolidated instructions are issued with immediate effect:

i) There would be no negotiation other than with L1. However, even in case of L1 there should be no post tender negotiations with L1 except in certain exceptional situations, which include procurement of proprietary items, items with limited sources of supply and items where there is suspicion of a cartel formation. The justification and details of such negotiations should be duly recorded and documented without any loss of time, and approval of competent authority is taken before negotiation.

ii) In cases where a decision is taken to go for re-tendering due to the unreasonableness

of the quoted rates, but the requirements are urgent, negotiations would be permitted with L1 bidder (s) for the supply of a bare minimum quantity and the balance quantity should be procured expeditiously through re-tender, following the normal tendering process.

iii) Negotiations should not be allowed to be misused as a tool for bargaining with L1 and

convincing reasons must be recorded by the authority recommending negotiations. Competent authority should exercise due diligence while accepting a tender or ordering negotiations or calling for a re-tender and a definite time frame should be indicated so that the time taken for approvals for the entire process of award of tenders does not exceed one month from the date of submission of recommendations. In cases where the proposal is to be approved at higher levels, a maximum of 15 days should be assigned for clearance at each level and in no case should the overall time frame exceed the validity period of the tender.

iv) As regards the splitting of quantities, where pre-disclosing the distribution of quantity is

not feasible because capacity of bidders is not known, then it is stated that if, after due processing, it is discovered that the quantity to be ordered is far more than what L1 alone is capable of supplying and there was no prior decision to split the quantities, then the quantity being finally ordered should be distributed among the other bidders in a manner that is fair, transparent and equitable. Where the organisations decide in advance to have more than one source of supply (due to critical or vital nature of the item), it is essential that the ratio of splitting the supply should be pre-disclosed in the tender itself, which must be followed scrupulously. A detailed procedure for splitting of orders will be issued shortly.

…2 Contd.

Vigilance Manual 147

: 2 :

v) Counter offers to L1, in order to arrive at an acceptable price, shall amount to negotiations. However, any counter offer thereafter to L2, L3 etc. (at the rates accepted by L1) in case of splitting of quantities, as pre-disclosed in the tender, shall not be deemed to be a negotiation.

vi) It is re-iterated that in case L1 backs-out, there should be a re-tender.

2.0 The instructions of CVC may please be noted for immediate and strict

compliance.

DGM (Anti Corruption & Vigilance) / CO

All VOs Sr. DGM (Vigilance) / SU / Bg. Cx. Sr. DGM (Vigilance) / NU & VO / GAD AGM (CMS) / Bg. Cx. AGM (QA) / Bg. Cx. All SBU / Unit Heads / GMs CC: CMD D (F) D (R&D) D (P) D (OU) D (BC) Encl.: a/a

148 Vigilance Manual

Circular No. 17

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(50)/09-10/CO-VIG

Date: 27th January 2010

Sub.: Tendering Process – Negotiations with L1, L2, L3 etc. and Negotiations with H1, H2, H3 etc.

Central Vigilance Commission has issued Circular No. 01/01/10 vide letter No. 005/CRD/012 dated 20th January 2010 on the subject of negotiations. 2.0 Commission has clarified that there should be normally no post tender negotiations. If at all negotiations are warranted, then it can be with L1 only. If the tender is for sale of material by the government or the government company, post tender negotiations are to be held with H1 (highest tenderer) only. 3.0 Copies of Circular Nos. 01/01/10 and 4/3/07 are enclosed for information and compliance.

AGM (Vigilance) / CO All VOs Sr. DGM (Vigilance) / SU / Bg. Cx. Sr. DGM (Vigilance) / NU & VO/GAD All Unit / SBU / CRL Heads All GMs / EDs CC: All Directors CMD Encl.: a/a

for kind information

Vigilance Manual 149

Circular No. 18 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/31(25)/06-07/CO-VIG Dt. 29th March 2007

Sub.: Investigation of complaints by the CVOs - seizure of records reg. Please find enclosed a copy of CVC letter No. 007/VGL/013 dt. 23rd February 2007 (Circular No. 3/2/07) on the subject cited, wherein the Commission re-iterated the guidelines to ensure that all relevant records / documents / files etc. are taken into personal custody by the Investigating Officer immediately on receipt of the reference / compliance for processing the allegations as stated in Para 4.4 (a) of Vigilance Manual, 6th Edition (i.e., “if the allegations contain information which can be verified from any document or file or any other departmental records, the Investigating / Vigilance Officer should, without loss of time, secure such records, etc., for personal inspection. If any of the papers examined is found to contain evidence supporting the allegations, such papers should be taken over by him for retention in his personal custody to guard against the possibility of available evidence being tampered with”.) and finalizing the Investigation within the stipulated three months time limit prescribed by the Commission 2.0 In cases of direct enquiry ordered by CVC, the relevant records pertaining to the case should be seized immediately as soon as a direct enquiry is ordered by the Commission, and produce them before the Direct Inquiry Officers without any delay. 3.0 The above instructions of the Commission may please be noted for immediate and strict compliance.

DGM (Anti Corruption & Vigilance) / CO

All VOs Sr. DGM (Vigilance) / SU / Bg. Cx. Sr. DGM (Vigilance) / NU & VO / GAD All SBU / Unit Heads CC: CMD D (F) D (R&D) D (P) D (OU) D (BC) Encl. a/a

150 Vigilance Manual

Circular No. 19

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(55)/10-11/CO-VIG

Dt. 28th May 2010

Sub.: Transparency in Works / Purchase / Consultancy Contracts awarded on nomination basis

Please find enclosed a copy of the CVC’s Office Order No.19/05/10 forwarded in

their letter No. 005/CRD/19 (part) dt. 19.05.10 on the subject cited. CVC in their Circular No. 15/05/06 dt. 09.05.2006 (copy enclosed) has prescribed certain measures to be followed on Works / Purchase / Consultancy Contracts awarded on nomination basis by PSUs. These instructions have since been reviewed by the Commission and the Commission is of the view that the Board of the PSU is not required to scrutinize or post facto vet the actions of the operational managers and their decisions to award work on nomination basis.

3.0 Therefore, CVC has made the following amendment in sub-para (i) of Para 2 of

the Commission’s Circular dt. 09.05.06 as given below: “All works awarded on nomination basis should be brought to the notice of the Board

of the respective PSUs for information”

4.0 As directed by CVO, copies of CVC’s Office Order / Circular are forwarded herewith for kind information and strict compliance of the CVC’s guidelines on the subject cited.

Sr. DGM (Anti Corruption & Vigilance) / CO

All Unit / SBU Heads / GMs / EDs

CC:

Company Secretary - for information and necessary action All Directors CMD Encl.: a/a

- for kind information

Vigilance Manual 151

Circular No. 20

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(39)/08-09/CO-VIG

Date: 27th January 2009

Sub.: Need for self-contained speaking and reasoned order to be issued by the authorities exercising disciplinary powers

Please find enclosed a copy of the CVC Circular No. 02/01/09 issued in their letter No. 003/DSP/3/31364 dt. 15.01.2009 on the subject cited. 2.0 The Central Vigilance Commission has reiterated that the CVC’s views / advices in disciplinary cases are advisory in nature and it is for Disciplinary Authorities (DA) concerned to take a reasoned decision by applying its own mind. The DA while passing the final order, has to state that the Commission has been consulted and after due application of mind, the final orders have been passed. Further, in the speaking order of DA, the Commission’s advice should not be quoted verbatim. 3.0 Further, copies of CVC Circular No. 99/VGL/66 dt. 28.09.2000, Office Order No. 51/9/03 dt. 15.09.2003 and Office Order No. 14/02/04 dt. 26.02.2004 are also enclosed for information in this regard. 4.0 As directed by CVO, you are requested to strictly follow the CVC’s guidelines / procedures mentioned in the Circulars / Office Orders of CVC mentioned above while processing the disciplinary cases.

Sr. DGM (Anti Corruption & Vigilance) / CO

All Unit / SBU / CRL Heads All GMs / EDs All Unit HR Heads

CC: All Directors CMD Encl.: a/a

- for kind information

152 Vigilance Manual

Circular No. 21

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(35)/08-09/CO-VIG

Date: 14th November 2008

Sub.: Time bound processing of procurement Please find enclosed a copy of the CVC Circular No.31/11/08 forwarded in CVC Ltr. No.008/VGL/083 dtd. 06.11.08 on “Time bound processing of procurement“. CVC has observed that at times the processing of tenders is inordinately delayed, which may result in “Time and Cost Overruns” and also invite criticism from the Trade Sector. Hence, the Commission emphasized on essentiality of tenders being finalized and contracts being awarded in a time bound manner within original validity of the tender, without seeking further extension of validity. 2.0 Further, CVC has advised the Organisations concerned to fix a reasonable time for the bids to remain valid while issuing tender enquiries, keeping in view the complexity of the tender, time required for processing the tender and seeking the approval of the Competent Authority etc., and to ensure the finalization of tender within the stipulated original validity. Any delay, which is not due to unforeseen circumstances, should be viewed seriously and prompt action should be initiated against those found responsible for non-performance. Cases requiring extension of validity should be rare and in the exceptional situations where the validity period is sought to be extended, it should be imperative to bring on record in real time, valid and logical grounds, justifying extension of the said validity.

3.0 As directed by CVO, the instructions issued by CVC in the Circular enclosed may please be noted for immediate and strict compliance.

Sr. DGM (Anti Corruption & Vigilance) / CO

All Unit / SBU Heads All GMs

CC:

All VOs Sr. DGM (Vigilance) / SU / Bg. Cx. Sr. DGM (Vigilance) / NU & VO / GAD All Directors CMD Encl. a/a

For kind information please

For ensuring implementation of CVC guidelines

Vigilance Manual 153

Circular No. 22 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/31(31)/07-08/CO-VIG Date: 22nd February 2008

Sub.: Measures to curb the menace of counterfeit and refurbished IT products - reg. Please find enclosed a copy of the CVC Circular No.07/02/08 forwarded in CVC Ltr. No.007/VGL/008 dtd. 15.02.08 on “Measures to curb the menace of counterfeit and refurbished IT products“, which is intended to help / ensure and enable due diligence as well as curbing the menace of counterfeit and refurbished IT products disguised as new. 2.0 As per the guidelines issued by CVC in the Circular, there is a need for insisting on a signed undertaking (sample format enclosed to the Circular) from some authority not lower than the Company Secretary of the System OEM that would certify that all the components / parts / assembly / software used in the Desktops and Servers like Hard Disk, Monitors, Memory etc. were original / new components / parts / assembly / software, and that no refurbished / duplicate / second hand components / parts / assembly/ software were being used or would be used, so that the buying organizations are not cheated and get the original equipments as ordered by them. Also one could ask for ‘Factory Sealed Boxes’ with System OEM seal to ensure that the contents have not been changed en route.

3.0 Further, certain check points have been enumerated in the Circular to identify the fraudulent practices and guard against spurious and refurbished / duplicate / second hand components / parts / assembly / software in respect of procurement of CPU, Hard Disk, Monitors, Operating System, Mechanical Keyboards, Memory Module, SMPS and Consumables. 4.0 As directed by CVO, the guidelines / check points issued by CVC Circular cited may please be followed to ensure the procurement of genuine IT products. It may also please be ensured that the Undertaking of Authenticity of IT products be obtained from the Authority not lower than the Company Secretary of the System OEM in the format enclosed to the Circular. 5.0 The guidelines of the CVC are circulated for strict compliance by all Units / SBUs to ensure the procurement of “Genuine IT Products”.

DGM (Anti Corruption & Vigilance) / CO

All SBU / Unit Heads All EDs / GMs

GM (IS) - for kind information with a request to circulate the guidelines with specific

instructions to obtain the Undertaking and follow the check points advised by CVC in procurement of IT products by all Units / SBUs.

CC: All Functional Directors & CMD Encl.: a/a

For kind information

154 Vigilance Manual

Circular No. 23

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(38)/08-09/CO-VIG

Date: 27th January 2009

Sub.: Implementation of e-tendering solutions Please find enclosed a copy of the CVC Circular No. 01/01/09 issued in their letter No. 009/VGL/002 dt. 13.01.2009 on the subject cited. 2.0 The Central Vigilance Commission has emphasized that all organizations should invariably follow a fair, transparent and open tendering procedure to select the application service provider for implementing e-tendering solutions and the standard guidelines on tendering procedure should hold good for the procurement of these services as well. 3.0 As directed by CVO, the Commission’s guidelines may please be kept in view for strict compliance for selection of application service providers for implementing e-tendering solutions in the company.

Sr. DGM (Anti Corruption & Vigilance) / CO

GM (IS-CO) All Unit / SBU / CRL Heads

CC:

All Directors CMD

Encl.: a/a

- for kind information

Vigilance Manual 155

Circular No. 24 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/31(47)/09-10/CO-VIG Date: 29th September 2009

Sub.: Implementation of e-tendering solutions

Please find enclosed a copy of the CVC Circular No. 29/9/09 issued in their letter No. 009/VGL/002 dt. 17.09.2009 on the subject cited.

2.0 The Central Vigilance Commission has earlier issued guidelines in their O.M. No. 009/VGL/002 (Circular No. 01/01/09) dtd. 13.01.2009 (forwarded in Corporate Vigilance Letter No. 21326/31(38)/08-09/CO-VIG dtd. 27.01.2009) advising organizations to follow a fair, transparent and open tendering procedure to select the application service provider for implementing e-tendering solutions. 3.0 The Central Vigilance Commission has now further clarified that while ensuring fair play, transparency and open tendering procedure for e-tendering solutions, the organizations must take due care to see that effective security provisions are made in the system to prevent any misuse. In this regard, the guidelines issue by CVC on security related issues in e-tendering systems are enclosed. 4.0 As directed by CVO, the Commission’s guidelines may please be followed while implementing e-tendering solutions to contain the security related loop holes and suitable instructions may please be issued to all concerned for strict compliance of CVC guidelines in this regard.

Sr. DGM (Anti Corruption & Vigilance) / CO

GM (IS) / CO All Unit / SBU / CRL Heads CC: All Directors CMD Encl.: a/a

- for kind information

156 Vigilance Manual

Circular No. 25

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(53)/10-11/CO-VIG

Date: 4th May 2010

Sub.: Implementation of e-tendering solutions - check list Please find enclosed a copy of the CVC Circular No. 18/04/2010 issued in their O.M. No. 009/VGL/002 dated 26.04.2010 on the subject cited.

2.0 The Central Vigilance Commission has prescribed certain guidelines in their O.M. No. 009/VGL/002 (Circular No. 29/9/09) dated 17.09.2009 advising organizations to take due care to see that effective security provisions are made in the system to prevent any misuse (A copy of the circular has already been circulated in Corporate Vigilance letter No. 21326/31(47)/09-10/CO-VIG dated 29.09.2009). During security audit carried by CTE Organization, it has been observed that e-procurement solutions being used by some of the organisations lack security considerations and some of the shortcomings / deficiencies are of repetitive nature.

3.0 Hence, a check list to achieve security considerations in e-procurement solutions

has been circulated by CVC to follow the same while implementing e-tendering solutions to address the security related concerns. 4.0 As directed by CVO, the CVC’s check list may please be followed strictly while implementing e-tendering / e-procurement solutions to address the security related concerns.

Sr. DGM (Anti Corruption & Vigilance) / CO

AGM (IS) / CO All Unit / SBU / CRL Heads CC: All Directors CMD Encl.: a/a

- for kind information

Vigilance Manual 157

Circular No. 26 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/31(40)/09-10/CO-VIG Date: 8th April 2009

Sub.: Vigilance angle cases handled by HR Dept.

Please refer to our earlier Letter No.21326/31(40)/08-09/CO-VIG dtd.30.01.09 on the subject cited, wherein it was requested to send a report showing the details of vigilance angle cases pending with HR Department of the Unit or the SBU as on date (i.e., 30.01.2009) to Corporate Vigilance Department. But till date, we have not received the report from your end.

2.0 Hence, as directed by CVO, a report showing the details of vigilance angle cases pending with HR Department as on 30.01.2009 (in case of no vigilance angle cases pending, a ‘NIL’ report) may please be sent to Corporate Vigilance Department by 15th April 2009 positively and subsequently, a Monthly Report on pending cases (having vigilance angle) with the Unit / SBU may please be furnished to Unit / SBU’s VO by last working day of every month for onward submission to Corporate Vigilance along with their Monthly Reports.

Sr. DGM (Anti Corruption & Vigilance) / CO

Unit / SBU HR Heads of: NS / Bg. Cx. MCE / Bg. Cx. EW & A / Bg. Cx. ES / Bg. Cx. CRL / Bg. Cx. SYS) / CO Pune KOT

158 Vigilance Manual

Circular No. 27

BHARAT ELECTRONICS CORPORATE VIGILANCE

No. 21326/31(40)/08-09/CO-VIG

Date: 30th January 2009

Sub.: Vigilance angle cases handled by HR Dept.

Please refer to Corporate Vigilance Letter No.21326/19/06-07/CO-VIG dtd.13.09.06, wherein it has been requested to furnish in Monthly Report, the details of Investigation Cases and Departmental Enquiries pending in SBU / Unit HR Departments in respect of cases involving vigilance angle (misappropriation, theft, fraud and dishonesty in case of Company business or property, misuse / abuse of facilities given by the Company like HRA, LTC, Interest Subsidy, Loan etc.). 2.0 Of late, it has been observed that some Unit HR Departments have investigated/ conducted enquiry in the cases involving vigilance angle (acceptance of bribe from the contractors), but never informed either Unit Vigilance Department or Corporate Vigilance Department in this regard. 3.0 Hence, as directed by CVO, it is requested to issue necessary instructions to all the concerned that, all cases involving vigilance angle shall invariably be informed to either Unit Vigilance Department or Corporate Vigilance Department for record and reference. Cases of indiscipline nature (absenteeism, gambling, sleeping while on duty, proxy punching, insubordination, disobedience, habitual late attendance etc.) need not be informed to Corporate Vigilance Department. 4.0 Also a report showing the details of vigilance angle cases pending with HR Department of the Unit or the SBU as on date may please be sent to Corporate Vigilance Department by 16th February 2009 positively and subsequently, a Monthly Report on pending cases (having vigilance angle) with the Unit / SBU may please be furnished to Unit / SBU Vigilance Department by last working day of every month.

Sr. DGM (Anti Corruption & Vigilance) / CO

All Unit / SBU Heads All GMs / EDs All Unit / SBU HR Heads CC: All VOs - Please refer to Corporate Vigilance Letter No.21326/19/06-07/CO-VIG dtd.13.09.06 and submit the required report in Annexure X and XI of the report every month along with the Monthly Report without fail. All Sr. DGMs (Vigilance) - for co-ordination and follow up action D (HR) CMD

for kind information

Vigilance Manual 159

Circular No. 28 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/19/06-07/CO-VIG Dt.: 13th September 2006

Sub: Details of Investigation Cases and Departmental Enquiries pending in SBUs / Units, Inclusion in the Monthly Report - Regarding

It is found that sometimes, parallel investigation and enquiries are conducted by personnel department in respect of allegations of misconduct where vigilance angle is involved. This amounts to duplication of work leading to confusion and discrepancy in reports and affects the proper investigation. Besides sometimes vigilance department is not aware of such investigation by personnel department.

2.0 To know the exact status of investigations of allegations involving vigilance angle,

details of investigation cases and departmental enquiries pending in SBU/Unit personnel departments may please be furnished to Corporate Vigilance every month along with monthly report in the format enclosed. Details should include pending cases and departmental enquiries covering the cases of misappropriation, theft, fraud and dishonesty in case of Company business or property, misuse / abuse of facilities given by the Company (like HRA,LTC, Interest Subsidy, Loan etc.), any illegal gratification, false statements made in application for appointment, forgery, falsification of records and other cases involving vigilance angle. 3.0 However, investigation cases and departmental enquiries pending in respect of indiscipline cases, absenteeism, gambling, sleeping while on duty, proxy punching, insubordination, disobedience, habitual late attendance which are purely of indiscipline cases not involving vigilance angle may not be covered in the above report. 4.0 As directed by CVO, the details may please be obtained from personnel departments and submitted in the format along with monthly report from the month of September 2006 onwards.

DGM(Anti Corruption & Vigilance) / CO All VOs CC: Sr.DGM(VIG) /SU/Bg.Cx. Sr.DGM(VIG)/NU/GAD All SBU/Unit Personnel Heads AGM(P&A)/CO All SBUs/Units Heads

160 Vigilance Manual

Circular No. 29

BHARAT ELECTRONICS CORPORATE VIGILANCE

No.21326/19/06-07/CO-VIG Date: 14th September, 2006

Sub: Investigation of Vigilance Angle Cases

It is observed that sometimes parallel investigation enquiries are conducted by personnel department in respect of allegations of misconduct where vigilance angle like misappropriation, cheating, fraud, misuse / abuse of company facilities, illegal gratification, false declaration of facts for appointments, loan etc., fabrication of records, forgery, gross and willful violation of systems and procedures, etc. is involved (A copy of CVC guidelines on vigilance angle is enclosed). This amounts to duplication of work leading to confusion and discrepancy in reports and affects the proper investigation. To avoid duplication of work and to ensure proper investigation, you are requested to kindly issue instructions to all Unit/SBU Personnel Departments Heads not to take up investigation of vigilance angle cases and send the cases of vigilance angle in respect of non-executives to the concerned vigilance officer of the Unit/SBU and in respect of executives to Corporate Vigilance.

DGM (Anti Corruption & Vigilance) / CO

Through CVO D(P)

Vigilance Manual 161

Circular No. 30 BHARAT ELECTRONICS

CORPORATE VIGILANCE

No. 21326/31(45)/09-10/CO-VIG Dt. 30th July 2009

Sub.: Access of complaints to the CVOs - Instructions regarding

Please find enclosed a copy of the CVC Circular No. 15/07/09 (Ltr. No. 009/VGL/035) dtd. 01.07.09 on the subject cited.

2.0 As directed by CVC, instructions may please be issued to all the concerned to

ensure that a copy of any complaint / grievance received in the Unit / SBU by any functionary, should necessarily be sent to the Vigilance dept. of the Unit / SBU for record.

3.0 However, complaints containing any element of alleged corruption, malpractices

or mis-conducts etc. involving Vigilance Angle should be referred to the Vigilance Officer of the Unit / SBU for scrutiny and action.

4.0 Copy of the instructions issued in this regard may please be sent to Corporate

Vigilance for record and reference.

C. V. O.

All Unit / SBU Heads Copy to: Sr. DGM (Vig.) / SU / Bg. Cx. Sr. DGM (Vig.) / NU & VO (GAD) All VOs All Directors CMD Encl.: a/a

Copies of all the complaints received by the VOsshould be scrutinized to identify Vigilance Angle, ifany. In case of the complaints having VigilanceAngle, they shall be attended to as per theexisting provisions in the Duties & Responsibilities

For kind information

162 Vigilance Manual

Circular No. 31