Preventive Vigilance in Works

Nitish Kumar Sinha

Executive
05/09/2024
SAMPLE FOOTER TEXT
Engineer,CPWD
 WHAT IS
VIGILANCE ?
In Short Vigilance is being aware of the
situation and keeping careful watch for
possible danger or difficulties. The aim is not to
punish but to improve upon the existing
system.
WHY ?
The Organizations, systems and procedures of the
Government must not only be efficient but also ethical,
just & fair.

“Just" "Fair"
refers to an action refers to an action that
justified under the treats people as they
circumstances deserve to be treated
Challenge
The challenge before us is
to create an environment in
which the honest can work
fearlessly and the corrupt
are punished promptly.
Central Vigilance
Commission
Central Vigilance Commission (CVC) is an apex Indian governmental
body created in 1964 to address governmental corruptions.

Set up on the recommendations of Committee on the Prevention of

Corruption , headed by Sh. K. Santhanam.

CVC is not an Investigating Agency. It works through either CBI or

through the Departmental Chief Vigilance Officers.
 Central Vigilance Commission
The Only investigation carried out by CVC is that of examining Civil
Works of Government Which is done through Chief Technical
Examiners.
Ordinance of 1998 conferred statutory status to CVC and powers to
exercise superintendence over functioning of the Delhi Special Police
Establishment and to review progress of the investigations pertaining to
alleged offences under Prevention of Corruption Act.

CVC is only a advisory body.

What is Vigilance Angle?
(Para 1.4.1 of Vigilance Manual 2021)

Vigilance angle is obvious in the

following acts:
(a) Demanding and / or accepting gratification other
than legal remuneration in respect of an official act or
for using his influence with any other official.
 Obtaining valuable thing, without consideration or with
inadequate consideration from a person with whom he has or
(b) is likely to have official dealings or his subordinates have
official dealings or where he can exert influence

Obtaining for himself or for any other person any valuable

(c) thing or pecuniary advantage by corrupt or illegal means or by
abusing his position as a public servant.

What is Vigilance Angle?

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

(e) Cases of misappropriation, forgery or

cheating or other similar criminal offences.

What is Vigilance angle?

Definition of Vigilance Angle
(Para 1.4.2 of Vigilance Manual 2021)

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, where
no ostensible public interest is evident; failure to
keep the controlling authority / superiors informed of
required transactions and issues in time; cause of
undue loss or a concomitant gain to an individual or
a set of individuals / a party or parties; 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
Definition of Vigilance Angle
(Para 1.4.4 of Vigilance Manual 2021)

The purpose of 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 organisation, either in pecuniary
or non-pecuniary terms, need not
necessarily become the subject matter
of a vigilance inquiry.
Definition of Vigilance Angle
(Para 1.4.4 of Vigilance Manual 2021)…….contd.

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 bonafides 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.
Definition of Vigilance Angle
(Para 1.4.4 of Vigilance Manual 2021)

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.
Chief Vigilance Officer,CPWD

SE(V)-I SE(V)-II SE(V)-III SE(V)-IV

EE(V)/ EE(V)/ EE(V)/

EOD EE(V)
EOD EOD
 Functions of CVO

Surveillance
Preventive Punitive
and
Vigilance Vigilance
Detection
Preventive Vigilance
To study and modify procedures if required to
increase transparency and accountability.
To undertake review of regulatory functions to
avoid discretion in decision making.
To educate employees for creating awareness
about rule provisions and simplifying the
cumbersome procedures if required.
To identify gray areas which are prone to
corruptions and unplug them. Also, suggesting
ways for systemic improvement to avoid re-
occurrence.
Preventive Vigilance
To prepare list of Officers of Doubtful Integrity (ODI) (officers
who are found to be lacking in integrity during/ after inquiry).

To prepare agreed list in consultation with CBI and also to

ensure that the officers in ODI and agreed list are not posted
in sensitive posts also to ensure periodical rotation of staff.
To ensure preparation of User’s Manual on contracts/
purchases works etc.

To scrutinize the reports of Parliamentary Committee, Audit

reports etc.
Para 2.12.2 of CVC Vigilance Manual 2021 says :
“While ‘punitive action’ for commission of misconduct
and other malpractices is certainly important,
‘surveillance’ and ‘preventive measures’ to be taken by
the CVO are comparatively more important as these
are likely to reduce the occurrence of vigilance cases.
Thus, the role of CVO should be predominantly
preventive.”

“Corruption cannot be eliminated or even significantly

reduced unless preventive measures are planned and
implemented in a sustained and effective manner.
Preventive action must include administrative, legal,
social, economic and educative measures”
(Santhanam Committee Report, 1964).
Who is required to
implement preventive
vigilance measures?
Preventive vigilance involves systemic improvements
which besides reducing corruption also lead to better
operational results.

It is a tool of management and good governance and

therefore, it is the duty of the management as a
whole, and not of the CVO alone.

Indeed, it can be said that it is the duty of every

employee.
 Punitive Vigilance

Scrutiny of complaints Vetting of charge sheet

To submit IR to DA for
To verify all complaints from vigilance angle while ensuring that the
RDA under minor/ major
received. and ordering for charges are in-line with
penalty.
investigation. IR.

Monitoring
appointment of IO and Examination/ Recommending any
To check timely issue
PO in RDA cases and Processing of IO’s work for intensive
of penalty order by DA.
to ensures adherence report. examination by CTEO.
of time schedule.
 Surveillance

TO UNDERTAKE CONDUCTING CONDUCTING CTE CONDUCTING

PERIODIC SURPRISE CHECK TYPE INVESTIGATION
INSPECTIONS/ OF ALL UNITS INSPECTIONS. ON PARAS OF I/E
WORK (INCLUDING REPORT
INSPECTIONS REMOTE REFERRED BY
REGULARLY. STATIONS). CTEO.
What include Preventive Vigilance for
YOU in Simple Way?
To undertake periodic inspections/ work inspections
regularly.

Conducting surprise check of all units (including remote

stations).

Conducting CTE Type inspections.

Conducting investigation on Paras of I/E report referred

by CTEO.
Contd… • Raise alarm if the problem is
found in the system
• Maintain integrity
• Make and improve system
• Be ready to take responsibility
• Be ready to change for the better
CASE
STUDIES
Case Study 1
Complaint – regarding wrong termination of
contract under clause 5 of GCC 2014

Main Allegations:
1)The date of start of work- 28.08.2018 with
completion period of 60days (SDOC-
27.10.2018).PG Submitted on 23.08.2018.
However, the Contract was terminated on
01.09.2018 without even waiting for the first
milestone, which indicates bad intention of EE.
2) EE forced to use equipment of certain make only.
Facts:
1) Work- Providing and installing of Open
Gym Equipments ( in the Constituency of
CM,Delhi)
2)Tender awarded on 18.08.2018. DOS-
28.08.2018,PG Submitted on 23.08.2018

3) 1st letter issued by EE to submit the

credentials of equipments -24.08.2018 and
reminder on 29.08.2018. Contractor replied to
letter dated 24.08.2018 on 31.08.2018.Then
Contract terminated on 01.09.2018.
4) Call of 2nd tender
 1) Can forfeiture of PG under clause 5 construe to
determination of contract

2) After how many days from SDOC, the action under

Questions clause 5 can be taken

before
3) Is notice required & reasonable time of notice?
Vigilance
Unit: 4) what was the urgency of terminating the earlier
contract within a span of 1 week after award when the
contractor had already given the BG showing his
earnestness
5) Substantial increase in cost in second call with respect
to 1st call
 Pros:
(i)the requisition of this work was received from the office of
Observation of Hon’ble Chief Minister of Delhi. However, from the
Vigilance Unit documents, it is observed that no correspondence from the
client has been made to execute the work on Priority.
regarding “what
was the (ii) In the 2nd call of tender of the said work, the number of days
from the date of issue of letter of Acceptance for reckoning
urgency of the date of start has been kept as 03 days in Schedule ‘F’ of
terminating the the agreement instead of 10 days as mentioned in the
agreement of 1st call, showing some urgency to complete the
earlier contract work at the earliest.
within a span of
(iii)The Executive Engineer, Delhi High Court Civil Division (M-
1 week after 431), PWD, GNCTD has specifically mentioned in their letter
award” dated 24.08.2022 that gym equipment has to be installed on
priority.
Observation of
Vigilance Unit
regarding “what (iv) The Complainant has not submitted the programme chart
was the within 3 days from date of start ,as per the provisions of the
agreement. Moreover, the complainant has not proposed for
urgency of procuring materials from the list of Approved Makes or from
terminating the any other equivalent makes till the termination of the
contract.
earlier contract
within a span of (v) The the contractor has installed 23 nos. of open gym
equipment against the tendered quantity of 24 nos within
1 week after one month of stipulated date of completion
award”
 Cons:
The work under Agreement No. 30/EE/DHC(M-431)/2018-19, which
Observation of
was awarded after recalling of the same tender, was also delayed by 110
Vigilance Unit
days. It is observed from the proforma of extension of time granted to the
regarding “what
contractor in recalled tender that out of 110 days, 71 days are due to
was the
non-availability of the site to the contractor.
urgency of
terminating the As evident from the EOT form, initially only 10 out of 24 sites were
earlier contract available to the contractor under Agreement
within a span of No. 30/EE/DHC(M-431)/2018-19. Therefore, it is certain that the same

1 week after number of sites were available for the contractor M/s Deen Dayal

award” under Agreement No. 27/EE/DHC(M-431)/2018-19. Hence, there is also

an issue of availability of site at the time of determination of the contract
under Agreement No. 27/EE/DHC(M-431)/2018-19.
 (i) The justified rate in 1st call was 1% above the estimated cost of Rs
94,65,600/- and the tendered amount by Lowest bidder was Rs
62,17,953/- ie. 34.31 % below the estimated cost.
Observation of
(ii) In the 2nd Call, the justified rate was also 1% above the estimated
Vigilance Unit
cost of Rs 94,65,600/- and the tendered amount by Lowest bidder
regarding “the
was Rs76,48,205/- ie. 19.20 % below the estimated cost.
substantial
increase in cost (iii) The number of bidders participated in 1st call was six while the
in second call number of bidders participated in 2nd call was two. The Lowest
with respect to bidder in 2nd call had not participated in 1st call. It is observed from
1st call award” the documents that proper publicity has been done in both the call
and sufficient time (12 days in both the bid) has been provided to
bidders for participating in both the call. Hence, there was
competitive bidding in both the bids.
 (i) One bidder had participated in both the bid and the
quoted rates by him was 10.76 % above the rates

Observation of quoted by him in 1st call.

Vigilance Unit
(ii) The number of bidders participated in 1st call was six
regarding “the
substantial while the number of bidders participated in 2nd call was
increase in cost two. The Lowest bidder in 2nd call had not participated
in second call in 1st call. It is observed from the documents that proper
with respect to publicity has been done in both the call and sufficient
1st call award” time (12 days in both the bid) has been provided to
bidders for participating in both the call. Hence, there
was competitive bidding in both the bids.
 (i) The samples have to be approved from SE Project
Circle, PWD and the role of Executive Engineer is to
only verify the samples as per the specifications of the
agreement and send his remarks to SE Project Circle,
Some other
important PWD for the approval of the sample
Observation of
(ii) The Complainant in their letter mentioned that “….. a
Vigilance Unit
regarding final rate quotation, stock position, delivery time
from the Grandslam Company only be demanded
from the company to your office for finalizing the
order as per your instructions so that work can be
started at an earliest”.
 CASE STUDY-II
A complaint was received in the
Vigilance Unit about a fencing work in
which the complainant had alleged that
infructuous items had been executed which
were not required as per the agreement
provisions, the measurements of some
items had been recorded in excess of the
actual work carried out. During the
investigation of the complaint regarding
irregularities in the fencing work, it has
been observed that:
Items of angle posts were to be provided with split
and bent bottoms but instead lugs were welded to
the bottom resulted in infructuous payment
because of welding and bottom lugs.
 Overpayment has been observed because of
inaccurate measurements of welding, since
Executive Engineer did not issue the
drawing/sketch for the proper executions of the
work.
Turn buckles were included in the item of barbed
wire fencing but not provided and for which cost
implication on this account was not recovered.
Material as per list of approved make for the
structural steel sections of TATA, SAIL, RINL were
not used in the work, instead structural steel
sections of local make were used.

Engineer-in-Charge did not approve the sample of

materials and sample work for ensuring the quality
of work. The execution of work has been carried
out without considering the approved list of make
given in the agreement.
The defective/deficiencies in the work were not
identified but completion certificate had been
recorded and final bill had been paid without cost
adjustment.
 During investigation, it has been noticed that field
staff were not aware of the agreement provisions
and work was allowed to be executed without any
supervision of field staff. The role of Engineer-in-
Charge was also found to be negligent. Due to this,
the quality of work had been compromised and
also resulted in infractions expenditure in the work.
The defective/deficiencies in the work were not
identified but completion certificate had been
recorded and final bill had been paid without cost
adjustment.
 During investigation, it has been noticed that field
staff were not aware of the agreement provisions
and work was allowed to be executed without any
supervision of field staff. The role of Engineer-in-
Charge was also found to be negligent. Due to this,
the quality of work had been compromised and
also resulted in infractions expenditure in the work.
Lessons to Learnt
The agreement provisions are required to
be properly studied and complied with
and any deviations from agreement
provisions should be got approved from
the competent authority and with suitable
cost adjustments.
Expenditure over the A/A & E/S without approval of client
In budgetary works of MoHUA excess up to 10 % of A/A and E/S allowed
Evaluation of technical bid not the same for all the bidders
Recording wrong measurements
Use of materials other than list of approved makes
Approval of materials for the existing project also
Use of materials below specifications

Common Lapses
Execution of Work through spot quotation in the cases also where tender can
be done or calling NIQ through web publicity
Reimbursement of ESI & EPF Contribution not on actual basis
Non withholding of amount due to non achievement of milestone
Testing of materials from non approved outside laboratories
Review of Hindrance Register, Site order book, Cement Register etc. not as
per the provisions of CPWD Works Manual
Delay in Finalisation of Bill

Common Lapses
 The authorities preparing, examining and sanctioning extra/substituted items
should ensure proper preparation of nomenclature of items and record specific
reasons to execute them. Casual remarks/reasons like “Required as per site
conditions” or “Required at site” etc should not be recorded(5.11.1(3)) Execution
as per Architectural drawings and structural drawings
Items claimed by the contractor which in the wisdom of the Engineer in Charge
are not admissible for payment, measurements should be recorded without
prejudice for record purposes only under heading “Inadmissible items claimed but
not included in the payment” so that in case it is subsequently decided to admit
the contractor’s claims in DRC/Arbitartion/Court proceedings, there should be no
difficulty in determining the quantities of such work done(5.12.3)

Common Lapses
Following to be
done…..
Aware about the Manual and procedure laid
down
Go through the Agreement so that you can be
aware about the TOR stipulated in the
agreement
Read the items or specifications stipulated in the
agreement
Allow the items only after checking
specifications stipulated in description of
item/agreement
Analyze before taking decision
Following to be
done…..
Keep yourself update with the latest
development
Keep regular monitoring & supervision of work
you are getting executed
Read about the testing procedure of various
items
Systematic inspections by all concerned officers
are essential particularly of those services and
components which are prone to higher wear and
tear and nearing to outlive/outlived their life.
Some Inspiring Quotes

 Knowledge without integrity is

dangerous and dreadful. – Samuel
Johnson

Even when there is no law there is

conscience. –Anonymous

AATMA KI AWAAZ SUNO

Q &A Session
Thank you
 What is Misconduct?
Commission of undesirable acts or omission of
desirable acts.

Deviant behaviour against morals/ accepted norms of

society.

Doing what is not expected to be done or not doing

what is expected.
 What is Ethics?

A set of moral Principles/ values which governs the

conduct of an individual or an organization.

What are Morals?

Morals are the values based on one’s experiences/
impressions/ opinion/ conclusion/ belief and conviction
etc.
What is Ethics?
Contd…
Ethics is nothing but doing the right things. In a situation of
dilemma or conflict of interest to be able to choose the right path at
all costs.

Lawful conduct may not always be an ethical conduct.

Example : In a cricket match between India Vs. Sri Lanka,

Randeev Singh delivered a No Ball to avoid century of Sehwag
which was legally right but unethical.
 Why Ethics?
• It is essential:

o For improved accountability.

o For better governance.

o For sustained economical growth of an organization.

o To enhance Integrity.

o To minimize corruption
Ethical Practices

Don’t do anything, un-becoming of yourself as an

employee.
Be updated with relevant rules, regulations & procedures.
Don’t be biased.
Don’t misuse official position for self gain.
Don’t be indecisive.
Be fair and transparent in dealings.
 What is Integrity?

Integrity is the quality of having a sense

of honesty and truthfulness in one’s
actions.

Example:
‘Do what you say’ and ‘say what you
do’.
 Organizational Integrity

Integrity of an organization is recognized from the

integrity of the employees.

Integrity improves transparency and fair practices.

It enables in building the image of an organization.

Every member of an organization should maintain

absolute integrity.