Excellence in an Organisation is measured by the achievement of its Mission
Organisations exist for achievement of goals (long term aims) and objectives (short-term steps). Managements strive to maximise productivity with minimum utilisation of resources. Normally success of a business organisation is generally measured by generation of profits.
However, in respect of Public Sector this is different. They are the instruments of the Nation to accelerate socioeconomic development. Every PSU has a specific social objective to achieve through its economic activity. PSUs are commercial organisations and to survive in the market place they should be economically healthy and profitable.
Image of a PSU depends on the public perception of its utility to serve the Nation. Public also judge a P.S.U. by its ability to achieve the ‘social purpose’ for which it has been created. Public expectations have three components - Substantive, Psychological and Services Delivery Systems. Dishonesty among the employees results in wastage of resources; generation of public discontentment by preventing achievements of substantive results; and defective / improper services delivery.
What are the objectives of Vigilance efforts? Vigilance aims to prevent corruption from flourishing in an organisation and when located, eliminating it. Vigilance consists of Proactive Role or preventive vigilance, surveillance and detection. Reactive Role or punitive vigilance. Vigilance work should follow the principles of management, namely P-O-S-D-CO-R-B. This acronym stands for P- planning; O- organising; S -staffing; D - directing; C- co- coordination/ communication; R - review; and B- budgeting of resources.
What is corruption? It includes all known deviations from the standards of integrity and impartial exercise of discretion. It includes all forms of misconduct like defalcation, nepotism, misappropriation, favouritism and conduct unbecoming of a public servant.
All employees of PSUs are Public servants. The term 'Public Servant' has been defined in the Indian penal code and the Prevention of Corruption act 1988. The State has a right to regulate the conduct of public servants. Conduct rules cover three areas. Personal conduct in performing official duties; personal morality and rules governing integrity.
Conduct rules governing personal conduct in the performance of official duties are: maintenance of absolute integrity at all times; maintaining devotion to duty at all times; avoiding 'unbecoming conduct'; non-participation in demonstrations, connections with press and media, public and open criticism of the government and the PSU; unauthorised communication of official information.
Conduct rules relating to personal morality are : prohibition of acceptance of dowry; bigamy; consumption of drugs and intoxicating liquor; nepotism and small family norms.
Conduct rules relating to integrity are: integrity- which includes honesty of thought, word and deed and financial probity; non acceptance of gifts and free services; restrictions on investments, lending and borrowing; prohibition of private trade or employment; acquisition of movable and immovable property and insolvency and indebtedness.
Effective vigilance action adopts the strategies of Education; Counseling; Visibility, Apprehension and Punishment.
Eight steps of Preventive Vigilance
- First - realise that cumbersome procedures are the main source of corruption. More the blocks, greater the corruption. Identify these blocks in rules, regulations, procedures and systems to locate the avenues for corruption.
- Second - modify/eliminate these blocks and simplify procedures, codify them in manuals to remove discretionary decision - making.
- Third - identify green pastures in the organisation and drive out the fat cows grazing there for too long.
- Fourth - weed out parasites.
- Fifth - prepare an agreed list of personnel with reputation for lack of integrity; in cooperation with CBI/ACB; keep them under surveillance and pay greater attention to the scrutiny of their annual property returns.
- Sixth - Ensure that dishonest employees do not harass the Public by visiting 'pressure points' frequently.
- Seventh - insist on regular and surprise inspections by departmental heads and audit teams and study their inspection reports to locate instances of malfeasance and misfeasance.
- Eighth - carry out surprise vigilance inspections in association with supervisory technical staff.
Punitive Vigilance
- When lack of integrity on the part of any employee comes to notice, punitive vigilance machinery comes into action.
How do we get information about Corruption in an organisation?
The sources of information are petitions; complaints; inspection/ audit reports; CBI traps and reports and own vigilance efforts.
When a complaint/ petition/ information is received, a preliminary enquiry is conducted. It is an enquiry to find out the facts and not for fault finding. Basically it is to ascertain facts for the information of the Disc. Authority. No procedure has been prescribed for the preliminary enquiry. Principles of natural justice do not apply. The purpose of preliminary enquiry is to help the disciplinary authority in decision making.
On receipt of the preliminary enquiry report, the disciplinary authority has to determine whether to drop action, order either minor penalty proceedings or major penalty proceedings. Rule of the thumb is minor penalty proceedings for Misfeasance, Major penalty proceedings for Malfeasance.
Procedure followed in minor penalty proceedings
1. Memorandum of charge issued
2. Imputation of misconduct is mentioned in the memo
- Reply is received from the charged officer
- If the reply is satisfactory, action dropped.
- If the reply is not satisfactory, disc.authority takes a decision regarding quantum of punishment.
- D.A. Writes out a speaking order and communicates the decision regarding penalty to the erring employee.
- If the charged officer wishes to contest this decision, he goes on appeal.
Procedure followed in major penalty proceedings
Principles of natural justice are to be followed. These principles are: no person can be a judge in his own cause; no one can be punished without being heard or given an opportunity to defend himself; justice should not only be done but seem to be done; all are equal before law and law applies equally; to be judged only by procedure established by law; avoidance of double jeopardy and no operation of 'ex-post facto' law.
While framing charges follow the principle of SAM - this stands for, S - specific; A - attributable; M - measurable (damage caused)
Memorandum of charge should contain four annexures, namely charge; imputation of misconduct; list of documents supporting the charge and list of witnesses who will support the charge. It should be remembered that copies of listed documents should be given along with the charge sheet. if bulky, opportunity should be given for inspection and taking copies.
The charged officer should submit his reply within the stipulated time.
When the reply is received, the disc authority considers it. If charges are admitted unequivocally, appropriate punishment orders are passed and served on the charged officer. If charges are not admitted or reply is unsatisfactory, disc. enquiry or oral inquiry is ordered.
Steps for disciplinary/ Oral enquiry
- disc. authority appoints inquiry officer and presenting officer
- inquiry officer receives appointment order with documents etc.
- checks documents
- fixes preliminary hearing date
- at the preliminary hearing, reads out charges
- if not admitted, directs charged officer to give
- name of defence assistant
- list of defence witnesses
- list of defence documents.
- fixes date of regular hearing
- directs presenting officer to produce witnesses and documents
How Disciplinary Enquiry is conducted.
The management/ prosecution is given a chance and presenting officer produces prosecution witnesses; examined in-chief by presenting officer; cross examination by defence assistant; re-examination if necessary by presenting officer; clarifications if necessary by the inquiry officer; all prosecution documents should be filed and marked by some witness and after this prosecution is completed.
The charged officer is now given a chance to defend himself. This consists of : examination of defence witnesses; examined in-chief by the defence assistant; cross examination by the presenting officer; re-examination by the defence assistant; questions from inquiry officer for clarifications; defence documents to be filed and marked by some defence witness; charged officer may offer himself as a witness in his own defence and inquiry officer should ask the mandatory questions prescribed in the rules.
With this the enquiry comes to a close.
Following steps are to be taken after the closure of inquiry by inquiry officer: Presenting officer should produce a brief and give a copy to the charged officer; Defence should give their brief within the stipulated time; both are to be considered by the enquiry officer; judicial impartial approach by the enquiry officer is necessary; his report is not a judicial judgement but should deal with each item of charge and evaluate the evidence produced both by the prosecution and defence.
Enquiry officer can offer three types of reports namely:
Not proved - if accepted by disc. authority, action is dropped. in case of procedural infirmities, disc. authority may remit it back to the inquiry officer for rectification; in extreme cases he can order fresh inquiry.
Proved / partially proved - in both these cases, the disc. authority may accept the findings in the report and he should give a copy of the report to the charged officer to make representation within two weeks. On receipt of reply the disc. authority should examine the report of the inquiry officer minutely and carefully.
Points to be kept in mind by the Disciplinary Authority
He should examine the inquiry officer's report to know
- has the laid down procedure being followed
- has the defence been given full opportunity
- has there been proper appreciation of evidence - item wise
- has there been any bias
Thereafter the disc. authority should give his findings based on the facts on record and come to a conclusion
- makes out a speaking order regarding punishment
- quantum of penalty must be commensurate with the charge.
- must take into account mitigating or extenuating circumstances
- service record of the charged officer should be taken into account
- importantly, the impact on the organisation should be assessed
Communication to charged officer
- the speaking order of the disciplinary authority with the proposed punishment should be served on the charged officer seeking reply within 15 days.
- on receipt of the reply, punishment is imposed.
Appeal
- lies with the appellate authority
- on receipt of appeal, it is sent to disc. authority for comments
- appellate authority should go through the records taking into consideration points urged by the charged officer in his favour, comments of the inquiry officer and give a reasonable and justifiable order disposing off the appeal.
In disciplinary enquiries, fairness is the watchword; impartiality should be demonstrated; due process should be adopted; vengeance should not be taken using enquiry as a tool and 'padding up' should never be resorted to. Remember the saying 'Falsus uno Falsus Omnibus'.
Vigilance is a battle of wits
A corrupt employee will generally be well up in procedures and will cover his tracks well. One can prevent his activities and bring him to book only, when he has superior command over facts and procedures.
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Three pronged strategy to deal with Corruption
Preventive vigilance
- simplification of rules and procedures
- reducing the area of discretion and patronage
- decontrol / deregulation to reduce the points of corruption and harassment to public
- transparency
- make full information available to public
- effective machinery to deal promptly with complaints
- systematic and surprise inspections
- monitoring disposal of matters in the organisation to detect delays induced by corrupt motives
- insulating staff from outside interference
Surveillance and Detection
- better surveillance of public contact points
- close watch over employees of doubtful integrity
- prompt verification of property returns
- detailed examination of financial decisions of questionable validity
- organising traps / raids with the help of CBI
Punitive Vigilance
- remember demonstration effect
- speedy disposal of vigilance cases and disciplinary inquiries
- close liaison with CVC / CBI / Courts to ensure quick disposal of cases in courts
- enforcing premature retirement plans against employees of doubtful integrity
Points to remember
- liberalisation is not a license for corruption
- inculcate among employees ethical behaviour
- stress on the facts that unethical means can not produce enduring results
- employee should realise good organisational image and ethics will help in competing with business rivals
(The copy right vests with the Authors and the article was taken from the book “Vigilance Library”) published by Association for Advancement of Police and Security Sciences(APSS), Hyderabad
