Vigilanc

â ¢••à æ

MESSAGE DISCLAIMER

The booklet is only indicative and is by no means
exhaustive nor it is intended to be a substitute for the rules,
procedures and existing instructions/guidelines on the subject.
The provisions herein do not in any way supersede the rules
contained in any of the railway codes and the circulars referred
to herein should be read out both individually and in conjunction
with other relevant policy circulars for proper appreciation of
the issues involved. In case of conflict, the later will prevail.
The booklet should also not be produced in any court of law
and wherever necessary, reference should always be made to
the original order on the subject.

There are seven things that will
destroy us:

Wealth without work;
Pleasure without conscience;
Knowledge without character;
Religion without sacrifice;
Politics without principle;
Science without humanity;
Business without ethics.

- Mahatma Gandhi

(56)

 Keep a good image before the public/staff by being honest, Â •SÌ æß Ù æ
impartial and just.

 Make sure while using a saloon that it is within the policy
guidelines laid down and avoid use of saloon on transfer duty.

 While occupying rest houses, ensure filling up the register and
also indication on duty/leave.

 While using staff cars, ensure personally that journey if performed
for private purposes, is indicated so in the 'remarks' column of
the register and ensure prompt payment

 Be conversant with the relevant clauses of the conduct rules and
ensure that these rules are not infringed.

Don'ts

 Do not delay files/papers put up to you

 Do not misuse duty passes for journey performed which are not
for official work or for persons not entitled to such travel

 Do not misuse staff cars/vehicles

 Do not misuse railway labour.

 Do not misuse railway material or catering

 Do not misuse the out-house of the railway bungalow occupied
by you

 Do not sit on the selection board before which any relative of
yours is appearing for selection.

 Do not take part in the Tender Committee meetings of any of
your relatives is one of the tenderers.

 Do not forget to put a date under your signature. Absence of date
may give rise to doubt your motives in certain situations.

 Avoid sanctioning a privilege to yourself even if it is within your
own competency. Let such sanction be approved by your superior.

(55)

DON'Ts

 Ticket checking staff should not issue EFT on platform by
collecting difference of fare + penalty and permit them to travel
in reserved coaches.

 Ticket checking staff not to desert the nominated coaches.

 EDR not to be prepared for unmanned coaches.

 Do not permit issue of more than 2 EFT books at a time.

 Do not collect filled-in Tatkal forms in advance from passengers
in Queue for issue Tatkal tickets.

 Do not issue tickets without Reservation form.

 Do not alter the details on the system generated ticket while
issuing to passengers.

 Do not reissue the tickets offered for cancellation.

 Do not issue mismatched tickets.

 Do not affect the delivery of the consignment before collection
of all due charges, including under charges, if any.

GENERAL

Dos

 Be conversant with the current rules and regulations before taking
any decision.

 Use your discretion properly to avoid any miscarriage of justice

 Be dispassionate while taking decision so that no undue favor
accrues to anyone.

 Pay full and prompt attention to the petty grievances and
complaints. If these are not dealt with sympathy and concern,
these petty complaints may take the form of serious complaints
as the complainant would then buttress his grievances with
extraneous material to capture attention.
(54)

TRAFFIC MESSAGE

DO's

 Ticket checking staff should check Travelling Authority along
with Journey ticket.

 Details on the EFT foils should be written legibly.
 Ticket checking staff should remit Railway Cash at the end of

beat/destination.
 Separate form for Tatkal reservation shall be used.
 UTS/PRS ticket rolls to be accounted in Ticket stock register

only after physical counting of rolls.
 Cancelled & Non-issued tickets should be sent on following day

to Traffic Accounts office.
 UTS tickets produced for cancellation should be cancelled

immediately in the system.
 Ensure availability of sufficient cash bags.
 Ensure proper H/O and T/O of cash in DTC register.
 Ensure correct weighment, rating, routing and scale while booking

the consignment.
 Ensure loading as per carrying capacity of SLRs, AGCs, & Parcel

Vans.
 Ensure entry in delivery books and obtain signature of consignee

without fail.
 Ensure recording of Loading/Unloading timings.
 Be prompt to write the movements in time in the rough journal

(Ticket checking)
 No of packages should be matched with the manifest before

dealing in lease Consignment
 Consignment of lease SLR/ABC should be weighed before

granting delivery

(53)

ÕÙ •â Ì ·ü¤, Ú ã •¢ â Ì ·ü¤ concerned ledger account. After publication of final index by
RBI, if any differences are noticed, they should be settled
·•¤ß Ü à 敼 Ù ã è¢ ã ñâ Ì ·ü¤Ì æ immediately in the on-hand bill.
ã ñ¥ æ¿Ú ‡æ¥ õ Ó ÃØß ã æÚ -·é¤à æÜ Ì æâ Ì ·ü¤Ì æ
 Currency of the paper securities should be watched carefully and
Á »æÌ æâ ˆØçÙ cÆ § ü•æÙ ¼ æÚ è ·¤è à æç•Ì • necessary action should be taken for extension of currency, if
ç¼ •Ü æÌ è ·¤æØü••¢ â Ì Ì ÷â Ì ·ü¤ Ú ã Ù •ß ëç•æ•• required, in advance.
¥ éç¿Ì ·¤æØüÂ Ú Ò Ù Ó ·¤ã Ù •·¤è ÕæÉ ¸æÌ è  •ß ëçÌ •
 The reconciliation of Cheques & Bills and remittance into Bank
 •Ü ôÖ Ù â •¼ êÚ Ú ã Ù •·¤è ¥ æß ëç•æ•• should be made in time and corrective action should be taken
ÕÙ æÌ è ã ñ¥ Ü » ÃØç•Ì ˆß Ö èÇ ¸ â • immediately.
»õ Ú ß ¥ õ  •çÌ cÆæÕÉ ¸æÌ è ã ñÖ èÇ ¸ â •¢ •
Ü »Ù , ©ˆâ æã , ©•¢», çß ß •·¤ ß çß à ß æâ Á »æÌ è•  All indents for the same item should be consolidated and
Sß ‘ À Ö æÚ Ì , ŸUæ•cÆ Ö æÚ Ì ·•¤ ·¤æØü·¤ô  •çÚ Ì ·¤Ú æÌ è•• combined order should be placed for getting economical price.
¥ æ¥ ô, ·¤Ú •¢ â ¢·¤Ë  ⠼ ñß â Ì ·ü¤ Ú ã Ù •·¤æ•
¥ Â Ù æ° ¡§ â •¢˜ æ·¤ô çâ çf â •¼ •à æ·•¤ ©ˆÍ æÙ ·¤æ••  The cheques other than the electronic payments should be
dispatched promptly.

 There should not be any ambiguity in the penalty clauses.

Dont's

 Don't misinterpret the penalty clauses mentioned in the concerned
agreement to benefit the contractor.

 Don't forget to recover the penalties/LD/other charges, if any,
from the respective bill itself.

 Don't rely upon the documents enclosed with the Price Variation
Bill by the contractor to support his claim.

 The total demand of particular item should not be split deliberately
into indent wise for bringing it within the self check ambit of a
particular sanctioning authority.

 Don't keep pending the cheques prepared for payments without
dispatching to the concerned party (Bank/Institution/Govt.
Undertaking etc.)

Integrity has no need of rules

Albert Camus

(52)

 Do not recommend/accept the offered rate without rate CONTENTS
reasonability assessment, even if the offered rates are close to
indent rates. Page No.

ACCOUNTS 1. Vigilance and Vigilance Angle 1
2. Case Studies of NF Railway 3
Do's: 3. Suggestions for Systems Improvement 8
4. Checks in Mass Contact Areas 16
 During the verification of estimates, it should be ensured that the 5. Important Circulars Issued 21
quantities mentioned therein should be realistic and as per the 6. Thrust Areas 27
actual requirement. 7. Do's and Don'ts 30

 The quantities mentioned in the Estimate should match with the
quantities mentioned in the Tender document.

 While vetting the agreement, it should be ensured that all the
clauses stipulated in the tender document w.r.t. execution of work
are incorporated and all the blanks are filled in properly.

 While vetting the Briefing Note, it may be ensured to comment
on penalty clause and other clauses whether they are in accordance
with the rules or not.

 It should also be commented while vetting the Briefing Note on
the similar nature of work whether it is approved by the competent
authority or not.

 The concerned Agreement/WO/PO should be thoroughly
examined with emphasis on its special conditions, penalty clauses,
if any, before passing of Bills.

 While passing the bills of contractor/supplier, ensure that all the
recoveries have been made properly.

 All the required recoveries have to be made from the on hand
bill itself.

 At the time of passing of Price Variation Bills, the rates published
by the authorities concerned should be compared with that of
rates claimed in the PVC bill.

 After passing the Price Variation Bill based on the provisional
index of RBI, a remark to this effect should be noted in the

(51)

WHAT IS VIGILANCE?  Do account free material if received under various schemes for
sales promotion etc.
"Vigilance" is defined as watchfulness/caution/circumspection. In the
context of administration, Vigilance signifies maintenance of probity  Do maintain close liaison with indenters and appraise the progress
and integrity in public life. It is essentially a management function aimed of supply against Local purchase at various stages.
at ensuring orderly conduct of affairs by the public servant. The focus
of vigilance is to protect the honest and punish the corrupt.  Do furnish last purchase particulars (purchase order number, date,
firm and rate) or the market survey rate (name, address, date of
WHAT IS VIGILANCE ANGLE? market survey and rate and if possible standard price list details)
with the requisition.
CVC tenders advice in cases which involve a Vigilance Angle. It has
defined vigilance angle as the following :-  Ensure that the Genuine OEM authorization certificates are
enclosed with the offer wherever applicable.
a) Demanding and/or accepting gratifications other than legal
remuneration in respect of an official act or for using his/her DON'Ts
influence with any other official.
 Do not issue a tender enquiry unless the existence of the firm has
b) Obtaining any valuable thing, without consideration or with been checked.
inadequate consideration, from person with whom he/she is likely
to have official dealings, or with whom his/her subordinates have  Do not turn-down the proposals for Local purchase without giving
official dealings or where he/she can exert influence. clear reasons.

c) Obtaining for himself/herself or for any other person any valuable  Do not split quantities or place frequent demands.
thing or pecuniary advantage by corrupt or illegal means or by
abusing his/her position as public servant.  Irrational/illogical choice of sources for the LT panel without
adequate justification should be avoided.
d) Possession of assets disproportionate to his/her known sources
of income.  Selection of different panels for the same item in LTs floated
around the same time should be avoided.
e) Cases of misappropriation, forgery or cheating or other similar
criminal offences.  Non-clubbing of requirement and floating different tenders around
the same time should be avoided.
There are, however, other irregularities where circumstances will have
to be weighed carefully to take a view whether the officer's integrity is  Do not opt for re-tending on flimsy grounds with intent to favoring
in doubt. Gross or willful negligence, recklessness in decision making, firm.
blatant violations of systems and procedures, exercise of discretion in
 Do not go for by-passing of lower offer on flimsy grounds/invalid
(1) reason/conditions extraneous to tender conditions.

 Do not accept L-1's offer without proper qualifying requirements
as stipulated in tender.

 Floating a tender for specific type/make, but accepting different
type/make other than the specified should be avoided.
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 Do not hide any favorable/unfavorable information in TC excess, where no ostensible/public interest is evident; failure to keep
discussions. the controlling authority/superiors informed in time-these are some of
the irregularities where the disciplinary authority with the help of the
 Do not change the tender committee members once constituted CVO should carefully study the case and weigh the circumstances to
without prior approval of competent authority. come to a conclusion whether there is reasonable ground to doubt
integrity of the officer concerned.
 Do not allow anomalies in evaluation of special conditions to
affect the acceptance of the offer recommended. Power doesn't corrupt people, people
corrupt power
 Do not entertain modification of tenders subsequent to the opening
of tenders. - William Gaddis

 Do not accept a single tender received in response to a call for If money help a man to do good to others,
limited tender unless the work is very urgent and approval from it is of some value; but if not, it is simply
competent authority has been obtained. a mass of evil, and the sooner it is got rid
of, the better
 Do not record the acceptance/otherwise of the tenders anywhere
else than the body of the tender committee minutes. - Swami Vivekananda

 Do not use noting on the tender file by the TC members as a We gain the strength of the temptation
substitute for the meeting. we resist

LOCAL PURCHASE - Ralph Waldo Emerson

DO'S (2)

 Some of the items have to be procured from RDSO/ICF/DLW/
CLW etc. approved sources as per Vendor Directory. Please ensure
that these items are procured from approved sources only. Please
ensure the list of approved sources for the tendered item in the
LP case file before floating the tender.

 Ensure the call attention of all the approved sources through
IMMIS. Ensure that such items procured from the approved
sources only duly following the inspection clause, as per the extent
provisions.

 Critically examine the reasonableness of rates and record the
reasons for accepting a rate. The lowest rate may not be reasonable
rate.

 Local purchase registers of sources to be maintained.

(49)

CASE STUDIES OF NF RAILWAY  Even when the level of the Tender Committee is decided based
on the lowest acceptable offer as per technical note, it would be
1. IRREGULARITIES IN INCURRING UNDUE EXEPENDITURE incumbent on the tender committee to examine individually all
IN ADVERTISEMENTS the offers lower than the lowest technically acceptable offer and
make appropriate recommendation in each case for consideration
Huge expenditure incurred against advertisements in construction of the accepting authority.
organization with figures of Rs. 32Cr, 39Cr, 23Cr and 62 Cr for
the year 2014-15, 15-16, 16-17 and 17-18 respectively.  Ensure that in case, descriptions or specifications undergo
Advertisements/NITs were issued indiscriminately to lesser known significant changes after invitation of tenders, equal opportunity
regional and vernacular newspapers, published far from the is given to all the suppliers by re-tender.
jurisdiction of work, without considering their circulation and
reach. 'Release order' for publication of NITs were issued to  Ensure that security deposit and earnest money deposits are
newspapers other than those in the approved list, unduly favoring collected from registered/unregistered suppliers as per extant rules
some unknown newspapers leading to unnecessary increase in and when exempted, proper reasons are recorded and competent
number of newspapers and thereby causing additional expenditure. authority's sanction taken for the same.
Also, advertisements were published with increased size, more
than that defined in the work order, flouting prevalent instructions  In case of purchase from RDSO approved sources, ensure to check
and guidelines on size of tender advertisement, causing additional the current status of RDSO approved list at the time of TC meeting
expenditure. Deviation in advertisement size was mostly noted in and current list should be available on record.
unknown and irrelevant newspapers.
 Ensure that the recommendations of all the members are included
Bills were repeatedly raised against publication of same NIT in same in TC minutes and there should not be any separate dissent note.
newspaper which were processed unchecked and subsequently
payment released resulting to payment made more than once against  Ensure as Tender Accepting Authority that detailed reasons are
same publication. In several occasions, more than one bill with same recorded if there is disagreement with tender committee.
bill number processed which was accepted and payment released
without detecting the duplicate bill numbers. Relevant registers were  Ensure that the tender committee minutes contain the relevant
deliberately not maintained or updated to make way for acceptance information as the date, venue of the meeting and dated signatures
and payment of duplicate bills which otherwise would have detected of the members.
any duplicity of bills. Major penalty DAR action is proposed against
the officials found responsible in this case.  Maintain complete records in the file and ensure secrecy of the
tender.
2. IRREGULARITIES IN NON-STOCK PROCUREMENT
Don'ts
Preliminary investigation into a complaint case regarding forging
of officer's signatures in NS stock indents, huge irregularities were  Do not reject the tender of new bidder(s) on flimsy or unrealistic
unearthed as it was not just few NS requisitions that were alleged grounds in order to favor the bidder(s) who are previous suppliers.

(3)  Do not accept an unsolicited offer and award the contract without
proper justification and without approval of the competent
authority.

(48)

 Do not extend the temporary power supply to outsiders/ to be forged but hundreds of requisitions were apparently found
contractors without proper authority. forged. Technical remarks in store tender files were counterfeited
and purchase orders issued there against. Further, payments were
 Do not prepare the estimate for releasing electric connection to made against issued POs by counterfeiting and forging the
contractor/private parties without actual survey at site. signatures in bills. In 2017 alone, about 160nos of NS requisitions
were apparently found forged, out of which, purchase orders were
 Do not indent electric items, which do not confirm to IS issued against 150nos and payments made against such purchase
specification or don't bear ISI marks. orders amounting to 1.06Cr (approx). The said NS requisitions
were pertaining to one single item i.e. printer cartridges/toners
 Don't interchange the LT services of wayside stations which are and indented from single consignee.
different categories.
Vital registers/files/records such as NS requisition register, Bill
 Don't deviate the location without approval of sanctioning passing register, Liability register and Store Ledger etc. were either
authority of the work. not available or deliberately not maintained to make way for such
fraud. It was apparent that there was clear cut role of ministerial
STORES official of indenting department in indulging such acts by having
GENERAL direct or indirect nexus in conspiracy of forging signatures. Also,
the role of concerned store and account officials cannot be
Do's overruled in view of issuing such huge number of POs and further
remitting payments against one such single item in 2017. The
 Ensure that approval of competent authority has been taken for case is under detailed investigation.
quantity and for mode of tender.
3. MIS-UTILIZATION OF PRIVILEGE PASS
 Ensure that tender notice has been given wide publicity.
Instances of privilege passes being fraudulently used multiple times
 Finalize the tender within the period to guard against the have been detected. Reservation staff did not make any entries/
possibility of increase in prices and consequently incurrence of endorsement on the pass while generating PNRs against used pass,
extra expenditure by the Govt. thereby facilitating pass being used again and again. Had there
been any provision in the software that can detect a pass being
 Do properly assess and evaluate bids particularly special reused with the same number, such fraud could have been avoided
conditions offered by the tenderer. even if staffs do not make entry/endorsement on the pass. It has
been advised to competent authority to take up the matter with
 In all cases, where the lowest or lower tenders are rejected, full CRIS for defining the procedures in PRS software, for curbing
reasons for the rejection should be recorded so that the reason such misuse of passes.
for such rejection would be available on files.
4. IRREGULARITIES IN SCRAP OFFER AND DELIVERY OF
 In case where the performance of lowest/lower offer is not U/S P. WAY MATERIALS
satisfactory and next offer is considered for full/part quantity
order, performance of the same firm should also be assessed and During vigilance check conducted in one of the scrap offer &
placed on record.
(4)
(47)

delivery case of CST-9 pots, delivery was in progress and part  Electrical contractor's license validity to be ensured during
materials were loaded in 6 trucks and part materials were lying on execution of the work.
ground. All the CST-9 pots, loaded on trucks and lying on ground,
were counted and it was noticed that 5488 nos. of CST- 9 pots  In Service Contract, ensure PF and ESI subscription payments
were found excess in the lot. The scrap sale value of such excess before passing CC bills.
5488 nos of CST-9 pots was Rs. 18, 93,360/-. On further
verification, it was found that concerned custodian (SSE) had  Accept the LTUG cables along with Test Certificates as per
forged signature and seal of stock verifier in scrap statement of specification given.
said lot with an aim of pilferage/theft. Departmental DAR action
has been taken against defaulting official.  All new Contract Materials must be entered into DMTR/Ledger.
DMTR numbers must be quoted for released and supply materials
5. IRREGULARITIES IN PAYMENT OF LEADING in Measurement Book
MISCELLANEOUS MATERIALS
 Refer drawings, specifications/Third Party inspections as per
As per USSOR-10, USSOR item no.021160 is for leading Agreement conditions.
miscellaneous material for lead up to 50m and USSOR item
no.021161 is for additional lead for every subsequent 50m or part  Timely process EIG proposals for commissioning of HT/EHT
thereof, over 50m and up to 500m over item no.021160. Further, substations and equipments therein and obtain EIG sanction
USSOR item no.021170 is for leading miscellaneous material for before energizing the same.
lead over 500m and up to 10Km. As per the note given under
description of USSOR item no.021170, it is clearly mentioned that Don'ts
lead under USSOR item no.021170 is payable when the same
exceed 500m. It means, when lead is more than 500m and up to  Do not modify the LT/HT overhead lines without competent
10Km, then payment for such work should be made under item authority's approval/sanction.
no.021170 only.
 Do not accept the material of other make, which are not included
In a preventive check conducted in division, it was detected that for in the work order/contractor.
the items having more than 500m and up to 10Km lead, payment
was made to the contractor against all the three items i.e. item no.  Do not miss to note the proper chainage/kilometers in MB for
021170, 021160 & 021161. Thus, extra payment against item cable laying work.
no.021160 & item no.021161 was made to the contractor. Such excess
amount has been recovered from the concerned contractor and  Do not mention such 'Makes' of electrical items in works contracts,
disciplinary action has been taken against the concerned official. which are not equivalent cost wise or quality wise.

6. EXCESS PAYMENT RELEASED IGNORING PROVISIONS  Do not include in works contracts, normally those electrical items,
OF UNIFIED STANDARD SPECIFICATION FOR WORKS which are available on DGS&D rate contract, without competent
& MATERIALS authority's approval.

During preventive check conducted in a division, it was detected  Do not include procurement of cables in work contracts unless it
is of urgent in nature and that too with competent authority's
(5) approval and ensure that the rates should competitive with store
procurement.

(46)

 Don't install charged batteries without retentivity test. that payment of earth work (USSOR 0131120) and Mechanical
compaction was made in CC-IV & CC-V bills without deducting
 GI and similar pipes must be tested before accepting by its specified shrinkage allowance from gross quantity. As per USSOR-
specified weight/thickness only, but not based on paint mark. 2010, 5% deduction towards shrinkage allowance is to be done
from gross quantity of earthwork. Excess amount has been
 Don't accept the materials after the delivery period of purchase recovered from the contractor and disciplinary action has been
order initiated against concerned official.

 Don't accept the material without original bills and invoices. 7. IRREGULAR PAYMENTS IN HOSTEL SUBSIDY

 Without checking the cables insulation and its loop resistance Hostel Subsidy is applicable in respect to the child studying in a
don't take in DMTR. residential educational institution located at least 50 kms from the
place of posting or place of residing. However, during preventive
 Don't issue credentials before completion of the work. check conducted in HQs and Divisions, it is observed that staff/
officers had claimed and been paid the Hostel Subsidy without
ELECTRICAL following the stipulated eligibility criteria. All such undue claims
were recovered to the tune of Rs. 38.36 lakhs and DAR action had
Do's been initiated against the defaulting officials.

 Ensure proper electrical earthing of all installations during work 8. IRREGULAR FIXATION OF PAY WHILE MERGING THE
execution. CADRES

 Ensure provision of proper rating MCB/MCCB and other safety During preventive check in two divisions it was observed that the
devices irregular pay fixation benefit was awarded to the Sr. Supervisor (
P.Way ) who were merged with the Cadre of Junior Engineer
 Reconcile the Quantity of OHE conductor at regular interval and (P.Way) w.e.f 03.07.2013 as per Railway Board's Circular No.RB-
take the scrap in custody from contractor. 95/2013 Circulated Vide No.PCVI/2011/IC/I dated 12.09.2013.
The overpayment of such irregular pay fixation benefited to 45
 Ensure that the installation register for electrical fittings provided nos staff in both divisions had been assessed and an amount to the
in Quarters/Service buildings are maintained upto date. tune of Rs.30.08 lakhs had been recovered.

 Ensure proper size of equipment/wiring/cables according to the 9. TIE-UP WITH PRIVATE LAB
sanctioned load.
During preventative check conducted at one of Divisional Railway
 While executing works, follow the standard drawings & Hospital in connection with tie-up for special pathological tests
specifications. on rate contract basis with private laboratory, it was observed that
the doctor in the rank of ACMS was actively involved in the
 Electrical installations and wiring should be done as per Indian finalization of contract and passing of bills at different stages. After
Electricity rules. detailed investigation, it was found the pathological laboratory

 For major installations power calculations should be done for (6)
selection of MCBs.

 Ensure that defective energy meters are replaced on priority.

(45)

selected for tie-up belonged to the wife of above mentioned ACMS.  In Telecom works, ensure proper parameters of Quad and OFC
The same was later agreed by the doctor in his clarification. before release of final payments.

10. IRREGULARITIES IN INITIAL MEDICAL EXAMINATION OF  Ensure proper Insulation Resistance through meggering of cables
SAFETY CATEGORY STAFF and it's recording of readings.

During preventative check conducted in different divisions in  Cable marker should be provided with proper concreting.
connection with Defective Colour Vision detected during
Periodical Medical Examination (PME) of staff belonging to Safety  Maintain separate account of uncharged and charged cells.
Category, it was observed that the employees found detected with
defective colour vision had not been suffering from any type of  Verify the serial nos. of equipments, whether it is matching with
pathological disease of eye or not developed any type of RITES/RDSO inspection certificates or not.
pathological conditions of optic nerve. The findings were based
on report of DMC's and opinion of UBM institute, Dadar Mumbai.  Verify the Halograms/Specimen symbols on equipments specially
In this context, referring to Para-512(2) (ii) of IRVM-2000 Vol-I, RITES/RDSO Inspection.
stated that "It must be remembered that an individual, having a
normal colour perception retains such normalcy throughout the  Ensure proper specified cables while installing S&T equipments
life unless he develops some pathological conditions of the optic like IPS, Data loggers, Electronic inter-locking etc.
nerve." In view of this, it was proved that all the employees having
in-borne defective colour vision, in turn, it was evident that the  Check the items in the pre-commissioned check list thoroughly
Initial Medical Examination (IME) was not done properly by the in field before signing in the Joint Report.
concerned examining doctors.
 Ensure proper installation of LC gates as per drawings.
It was also noted that the Departmental authority/Medical Memo
issued by competent authority was not in proper format as per  If inspection clause is modified to consignee inspection with
IRMM Para-515 & 516 of Annexure-V. Fit certificate given on competent authority's approval necessary deduction from
the medical memo itself without authorized seal/stamp of contractor's bill may be done if inspection charges are to be paid
examining doctor and no office records were found available of by contractor.
the defaulting candidates, which is against the provisions of Para
516 & 521, Annexure -IX, IRMM 2000 Vol-I.  Always insist the authority letter from the Service Engineers who
are attending AMC's of all Electronic Interlocking system.
" Don't take rest afer your first victory
because if you fail in second, more lips  Field supervisors insist for latest drawings, specifications and
are waiting to say that you first victory amendments referred in contract agreement.
was just luck
Don'ts
- A.P.J Abdul Kalam
 Don't operate labour portion without ensuring site requirements.
(7)
 Don't change RDSO/RITES inspection certificate to consignee
inspection without approval of accepting authority. Similarly,
strict compliance of instructions from HQ with regard to
consignee inspection.

(44)

SIGNALLING & TELECOM SUGGESTIONS FOR SYSTEM
IMPROVEMENTS
Do's
1. MAINTAINING STANDARD AND UNIFORM MATERIAL
 Ensure correct nature of soil with regard to cable laying works CARRYING CHALLAN
before specifying conditions in tender document.
"Material Carrying Challan" is a vital document/record, having
 Ensure proper depths to be mentioned in the MB for cable laying information regarding quality, weight, distance etc. in connection
work. with transportation of P.Way materials from one location to other
as per site requirement.
 No measurements should be copied from any papers other than
field book/daily progress register. During investigation of various cases, it has been found that
"Materials Carrying Register" being maintained by site/field
 Supply portion in schedule by contractor should be taken into supervisors was without mentioning any distance, leading to chance
DMTR account with proper invoice bills and test reports. of manipulation during payment of leading items. Therefore, in
order to ensure accuracy and to improve transparency in
 Issue of material to contractor's representative for execution, maintaining proper records in "Materials Carrying Challan" and
should be done duly after receipt of firm's requisition and after to ensure accuracy in payment for leading items, a format
submission of INDEMNITY bond. incorporating all necessary information has been suggested as
system improvement.
 Insist on warranty certificate as per terms of rate contract while
passing bills for RC items. 2. RENEWAL OF WAY LEAVE FACILITIES

 DMTR transactions must be closed everyday and initial the Way leave facilities/easement rights on Railway Land are generally
DMTR once in a week and send the statement to the Divisional given after realizing charges in advance in block of 10 years and
Headquarters every month. entering into an agreement. The License agreement required
renewal after expiry of validity period by realizing further charge.
 Ensure relay frames and termination racks are of proper
dimensions. During vigilance check conducted in various divisions, it was found
that "way leave facilities/easement rights" on Railway Land are
 Ensure proper termination of cables and soldering and bunching continuing even after expiry of validity period. It is noticed that
of wires. timely renewal of agreements are not being done due to non-
initiation of renewal process timely and lack of proper monitoring
 Ensure earthing and location boxes as per drawings. system. Non-renewal of way leave cases would lead to non-
realization of way leave charges and corresponding loss to Railway.
 Ensure updated drawings of location boxes, signal posts etc are
provided with contract agreement to field units. (8)

 Ensure technical specification should incorporate conditions,
parameters as per manuals or standing guidelines prevailing at
that time.

 Ensure definition of “Similar nature of Work” in eligibility criteria
as per latest guidelines.

(43)

In order to avoid delay in renewal of existing "way leave facilities/  Do specify the LD clause in case of delay in completion of
easement rights", a format has been suggested for monitoring the intermediate milestone activities and overall project/contract.
cases, as system improvement. Divisions are also advised to keep
a register for "Way leave cases" and maintain the details against  Do take care that specialized work is executed through specialized
each case on separate page as suggested in the format. The register agency.
shall be checked by concerned DEN/Sr.DEN once in six month.
Division should start process for renewal of License Agreement at  Do reconcile materials issued by department at various stages of
least 1 year in advance before expiry date and thereafter it should work.
be monitored on monthly basis to avoid delay in renewal of
agreement.  Do ensure that the proper technical staff is employed by the
contractor and work is executed qualitatively and timely.
3. ENGAGEMENT OF THIRD PARTY INSPECTION/
QUALITY ASSURANCE SERVICES IN THE RAILWAY  Do ensure that the project is not delayed due to contractor's fault
PROJECTS such as non deployment of adequate plant and machinery,
technical staff, material, labor etc.
During intensive examination conducted by CTE/CVC in a
Construction project, it has been found that Contract Agreement  Do ensure that officer in charge of work has to specify the items/
stipulated for engagement of third party for Quality Assurance of location for which he has conducted the 20% test check.
welding/third party inspecting Agency for witnessing various tests.
Contract agreement further stipulated that such third party should  Do ensure to specify location of work and other details before
be deployed by contractor after taking approval from Railway and filling up MBs.
expenses for deployment of 3rd party to be borne by Contractor.
Don'ts
It is observed in this regard that it is quite possible that contractor
may influence/interfere in the independent and transparent working  Don't forget to take built drawings on completion of any contract.
of 3rd party agency if he deploy such 3rd party at his own expenses.
Independency and transparency is essence to the working of 3rd  Don't' forget to adjust all advances before completion of project
party to achieve desired quality output. The third party inspection/ and release of final payment. Don't forget to record delays on the
quality assurance providing agency should be independent from part of contractor and recover LD as per provision of contract.
contractor. Thus engagement as well as payment of such 3rd party
inspection/quality assurance providing agency should have been  Don't forget to take Bank Guarantees for long term guarantee for
made by Railway to safeguard its own interest. specialized items, if specified in contract.

Therefore, it has been suggested that "whenever third party  Don't release retention money before due date.
inspection/quality assurance services are taken for a project, then
third party inspection/quality assurance providing agency should  Don't go for unreasonable variations in terms of quantities and
be engaged by the Railways and thereafter payment should also items unless and otherwise required.
have been made by the Railways".
 Counter signing is not allowed in MB, only test checks of specific
(9) & location to be mentioned.

 Don't execute the item which is not having detailed technical
specification/drawings in the agreement.

(42)

Don'ts 4. MAINTAINING "MATERIAL PASSING REGISTER"

 Don't keep a file pending for decision by the approving authority "Materials Passing Register" is a very important document/record,
after the recommendation of the tender committee has been having information regarding make/brand of materials, test
received. certificates/reports, independent test reports/results etc. on the basis
of which "Material Passing Authority" passes the materials before
EXECUTION OF CONTRACT procurements/use in contractual works.

Dos During investigation of various cases, it has been found that format
of "Materials Passing Register" being maintained by site/field
 Maintain the requisite contract related site registers viz. Field supervisors is not uniform & standard and sometimes the format
registers, Site Order register, Hindrance registers etc. On has no provision to record requisite information in connection with
completion of the work the registers should be submitted back to quality of materials. "Materials Passing Register" is a very
divisional office. important Quality Control Tool, and therefore, format for a
particular material should be standard & uniform and should have
 Take proper inventory of material to be released and obtain provisions to record all the requisite information to determine the
contractor's signature. quality of material as per specifications.

 Ensure that contractor's representative is nominated in writing. Therefore, in order to ensure quality and to improve transparency
in maintaining the proper records in "Materials Passing Register",
 Departmental tools & plant to be given to the contractor as per formats for some of the commonly used materials in construction
agreement conditions. works has been suggested as system improvement, which was
further issued through PCE circular.
 Beware of Vitiation due to non-operation of unworkable items
or Excess operation of high value items. 5. SPECIFYING LOCATION OF WORK IN MEASUREMENT
BOOK (MB)
 Get test certificates of material wherever prescribed.
It is observed that field officials maintaining Measurement Books
 Do not use departmental labour along with contractor's labour. (MBs) are not specifying work execution details before recording,
which are required to be mentioned as per Engineering Code vide
 Ensure that released materials is brought back to the required para 1320. Further officials recording measurements are also not
point and neatly stacked by the contractor. specifying the location of work done. As all payments for work
are based on the quantities recorded in the MB, it is incumbent on
 Ensure proper gate passes & correct leads with regard to the person taking measurements to specify the work details
transportation of materials accurately. As such, field officials should invariably mention actual
location of work done in MBs, against which final survey or scope
 Painting works-Check quantity of paint used by the contractor of work was assessed. Hence, a system improvement was suggested
and ensure state-wise thickness. to modify/add location of work in the said provisions of
Engineering Code and further counsel and sensitize all field
 Do stipulate milestones in the contract for the specific schedule
of completion of contract in an unambiguous manner. (10)

 Do monitor progress in accordance with such schedule.

(41)

officials to specify location of work while recording measurements  Don't conduct post tender negotiations, unless unavoidable,
in MBs. without recording valid reasons and approval of competent
authority.
6. IRREGULARITES IN BILL PROCESSING OF FIELD
UNITS  Don't assume unreasonably high rates towards transportation cost,
labour cost, local taxes, inflation etc.
Anomalies were observed in a bill processing unit, where no records
of receipt of bills forwarded by field units were maintained, which AWARD OF WORK AND SIGNING OF CONTRACT
led to un-traceability of bills and delaying the payment without AGREEMENT
any valid reason. Further, BR number was assigned to the respective
bills only after signing off by Bill passing authority i.e. at the end Dos
of the process and sometimes there was no countersign of the
concerned official on the respective entries in BR register. Hence,  Do ensure that once the offer is found techno -commercially
a system improvement was suggested in this regard that bills acceptable, the work is awarded without any loss of time.
received from field units should be posted in a receipt register
duly indicating the receipt date. Further, the BR number should be  Do issue letter of intent after approval of tender and take
assigned to the respective bills once the initial scrutinisation by acceptance of tenderer before signing of agreement.
respective OS or bill clerk is complete and same should be
forwarded to the bill passing authority along with the BR register  Do keep the entire necessary documents ready before hand and a
for countersigning and once the bill is signed by the executive, the formal contract agreement containing all the requisite documents
same should be forwarded to the concerned finance without any forming part of the agreement should be signed within a
delay with due entries made on dispatch register. This will not reasonable time.
only ensure transparency in the system but also ensure traceability
of the bills.  Do ensure that the contract document is precise, definite and
complete.
7. MAINTENANCE OF REGISTERS IN REQUISITION OF
NON-STOCK ITEMS  Do make the important papers, such as any amendments
subsequent to the issue of tender documents, a part of contract
Huge irregularities were observed in processing of Non-Stock agreement.
requisitions from a office, wherein during 2017 around 160 nos of
requisitions pertaining to printer cartridge/toner were processed  Do ensure that the detail of awarded contract is sent for posting
by forging the officer's signatures in requisitions and forfeiting on the web site.
the technical remarks in store tender files. Subsequently, around
150nos purchase orders were issued against such purchase requests  Do make the contractor sign the detailed agreement within the
and thereafter, payments have been made against POs by forging time frame to avoid any complication in the contract at later date.
signatures in bills. It was noticed during investigation that vital
registers/files such as NS requisition register, Bill passing register,  Do ensure that the agreement is well bound, page numbered,
Liability register and Store Ledger etc. were either found not signed by both the parties and well secured.
available or not maintained. In view of this, system improvement
 PG to be submitted within 30 days from the date of issue of LOA,
(11) if it is submitted between 30-60 days-penal interest of 15% to be
recovered, if it is beyond 60 days-tender to be discharged duly
fortifying EMD and other dues .
(40)

 Do verify credentials of agencies. instructions were issued for maintaining proper records/register/
files vide NS requisition register, Liability Register, Bill passing
 Do finalize tenders within validity period. register, store ledgers and other necessary files and advised to
follow the prescribed rules & procedures in processing NS
 Do negotiate with only valid lowest eligible tenderer. requisitions and thereafter bill payments.

 Do ensure that L-1 is not ignored of flimsy grounds. 8. SPECIFIC GUIDELINE FOR LAYING OF HDPE DUCT
CARRYING OFC CABLE
 Do establish the reasonableness of rates on the basis of estimated
rates and the prevailing market rates before accepting offer. During preventive checks conducted on S&T work of laying
underground OFC and Quad cable, it was observed that HDPE
 Do identify the abnormally high rate and abnormally low rate duct carrying OFC cable was laid over the antitheft arrangement
items and the officials/agencies responsible for execution of work i.e. RCC concreting over Quad cable though as per CA's
should be intimated to exercise appropriate control on such specification the same should be placed along the quad cable inside
identified items to avoid vitiation. the RCC concreting. Field official justified the executed practiced
on technical conveyance of future maintenance of OFC cable. As
 Uniform/consistent approach to be adopted while awarding the no specific guideline was in existence, either in Board level or
work zonal level, a System improvement was suggested to formulate
and issue specific guidelines on the practice to be followed for
Don'ts laying of HDPE duct carrying the OFC cable, where antitheft
arrangement is being provided, duly taking into consideration
 Don't relax tender conditions as it will create a discriminatory technical convenience from the point of field execution. The same
treatment to others. guideline should be made part of the CA's technical specification
to avoid any future contradiction while laying HDPE duct for OFC
 Don't evaluate bids on the basis of information not furnished by cable.
bidder /tenderer.
9. NON DECLARATION OF PRIVATE CASH BY AC STAFF
 Don't entertain any new information/document after tender is
opened and evaluated unless the same is called for. No unified system is being followed in declaring private cash while
carrying escorting duties by Non-Commercial mobile staff vide
 Don't disclose details of evaluation of tender till it is officially AC Coach in-charges (ACCI) and attendants (ACCA) including
accepted/rejected. contractual bedroll porters. It was noticed that staff declares private
cash in AC coach log books/duty pass/travel authority/individual
 Don't deny any bidder pre-qualification/post qualification for diaries/Registers etc. and most of the times they are unaware of
reasons unrelated to its capability and resources to successfully such declaration of private cash and same is not being maintained.
perform the contract. In this context, a system improvement has been suggested to all
divisional units for issuing a booklet where in each page of the
 Don't prepare rate analysis after opening of tender to justify the booklet is serially numbered and contain details of cash carried
high rates received, though valid LARs is available. and the journey details along with mentioning the same in duty

 Private firm credentials should not be considered as credentials. (12)
Railway/Govt/Quasi Govt. officials credentials only to be
considered.

(39)

registers maintained at controlling offices before taking charge. Don'ts
This is in view of streamlining the system of declaring private
cash by non-commercial mobile staff.  Never incorporate eligibility criteria to suit a particular firm

10. CONTRADICTORY DESCRIPTION OF ITEMS IN WORK  Don't forget to mention important clauses pertaining to earnest
SCHEDULE AND TECHNICAL SPECIFICATIONS money deposit, completion schedule, testing of equipments,
performance bank guarantee, payment terms, penalty clauses,
During scrutinisation of Contract Agreements, it was observed that comprehensive insurance cover, contractor's liability, safety
there were contradictions on the item description as defined in arrangements, statutory requirements for labour welfare,
'Schedule of work' and in 'Technical specifications". In preparation arbitration clause etc. in a proper and explicit manner.
of contract agreements, drafting of specifications play a very
important part and should not be ambiguous or contradictory. Such  Don't sub divide/split a bigger work into smaller work without
contradictions create confusion to the field supervisors during approval of Competent Authority.
execution stage and may sometimes lead to vigilance angle. This
generally happens due to reasons that different parts of the tender  Don't provide unrealistic period of completion of work as
documents such as schedule of works and technical specifications unworkable period leads to frequent grant of extension of time
are prepared by different people or sometimes copied from old and litigation.
tenders in hurried manner without checking or updating with latest
guidelines. EVALUATION OF TENDER

In view of this, a system improvement was suggested that the Dos
executive delegated to sign the CA should ensure proper check
during drafting of CA /Tender document specifically with respect  Do ascertain whether bid is responsible as per laid down criteria.
to technical specifications which should supplement the item
description in 'schedule of work' rather than contradict it. The  Do evaluate tender as per the notified criteria
official preparing & checking the tender schedule and specification
may invariably made to endorse in the concerned file to instill  Do evaluate all pre-requisite criteria met by bidder before
accountability in preparing unambiguous and uniform qualifying technical bid.
specification. In absence of such accountability the officials tend
to be casual while drafting work schedule/technical specifications.  Do finalize the acceptability of the bidding firms in respect of
the qualifying criteria before or during holding technical
11. IMPLEMENTATION OF CVC GUIDELINES FOR E- negotiations with them.
TENDERING IN MEDICAL DEPARTMENT
 Do ask additional information only when it is mentioned in the
In course of preventive checks conducted in connection with local tender or desired, otherwise avoid calling bidder.
purchases of medicines through LT basis within powers of CMS
in Divisions, it was found that the medicines had been purchased  Do complete the exercise of short listing of qualifying firms before
through manual tendering process by calling quotation from opening of price bid/calling price bids.
empanelled/registered firms. It is observed that 80% (based on
 Do open price bids (in two bid system)/call price bids of only
(13) whose bidders whose design and other technical proposals are as
per tender requirements.

(38)

NIT & TENDER/BID DOCUMENT value) of procurement of medicine is done at PCMD/HQ level
through e-tender after consolidating the yearly demand of all
Dos divisional hospitals and 20% is done by the field units through
local purchase to meet out the immediate need of medicines. In
 Do advertise in Local and National newspaper for wide circulation this regard, it has been again emphasized for resorting to e-
and also publish the same on website of organization with all tendering mode for procurement of medicine at divisional level
relevant information viz. tender cost, cost of tender document, and also requested to issue instructions to all the field units for
EMD, nature of work etc. strict compliance.

 Do provide sufficient time to the bidder for preparation and 12. POSTING OF OPHTHALMOLOGIST IN DIVISIONAL
submission of the bid. RAILWAY HOSPITAL

 Do check the dates of submission of bids with respect to working In course of preventive checks conducted in one of the Divisional
days and timing of closure and opening of bids Railway Hospital in connection with Periodical Medical
Examination (PME) of Railway staff belonging to category A-1 &
 Issue necessary corrigendum/addendum as and when required, A-2, It was observed that the time taken for PME of loco pilots
not on flimsy grounds. found to be 4 to 6 days due to non -availability of ophthalmologist.
The concerned loco pilots had been sending to NBQ and MLG
 Do update tender documents to suit the present contract Railway hospitals for ophthalmological examination, which is
requirements. causing huge man-days being lost collectively of such a vital
category.
 Do mention the form in which EMD is acceptable clearly in the
tender documents. Since Periodical Medical Examination of loco pilots is related to
train running, it has been requested to concerned authorities for
 Do incorporate in the bid documents detailed generic technical providing an ophthalmologist or suitable alternative arrangement
specifications. at the concerned Divisional Railway Hospital which may save man-
days lost of loco pilots in PME, besides, it will also help patients
 Do specify the conditions for tender responsiveness. suffering from eye problems. It is also requested to look into the
similar matter in other Divisional Railway Hospitals and address
 Do specify in unequivocal terms in the bidding documents, the the same.
performance parameters and the technical evaluation criterion,
if any. 13. INCORPORATION OF APPROPRIATE RULEs UNDER
THE RAILWAY SERVICE (CONDUCT) RULE 1966
 Do specify proper drawings with reference numbers, relevant
specifications while preparing tender document. During scrutiny of various DAR cases, it has observed that in almost
all the charge sheets, imputation of misconduct or misbehavior
 Do follow Railway Board Guidelines in splitting of works in was framed for violation of Railway Service Conduct Rule 3(1)
true spirit. (i) or 3(1)(ii)or 3(1)(iii) only, whereas, violation of other suitable
Rules/clause under Railway Service conduct Rules 1966 are not
 Do ensure condition stipulated in technical specifications should
supplement into descriptions in Schedule of work. (14)

Honesty is the first chapter in the book of wisdom

- Thomas Jefferson

(37)

incorporated which is essence in framing a charge sheet. In this WORKS AND SERVICE CONTRACTS
regard system improvement has been suggested to all concerned
PHOD and DRMs to keep all the sub rules of 3(1) in mind while ESTIMATE
framing the charge sheet to suitably incorporate the rules/sub rules/
clauses best suited to the committed misconduct/misbehavior. Do's

Don't complain about the snow on your  Do prepare realistic estimates taking into account various factors
neighbor's roof, when you own door-step viz. site condition, geographical location, law and order situation
is unclean etc.

- Confucius  Do try to include items with standard specifications only.

A successful man is one who can lay a  Do prepare the estimates based on available LARs and if proper
firm foundation with the bricks other LARs are not available, prepare estimates based on realistic
have thrown at him market rates.

- David Brinkley  Do include all commercial clauses including taxes, duties of all
types and other statutory charges.
Be faithful in small things because it is
in them that your strength lies  Do take approval of estimates from Competent Authority, before
calling for tender.
- Mother Teresa
Don'ts
(15)
 Don't make vague estimates without rate analysis and adequate
details, which may lead to huge quantity variations and creation
of extra and substituted items.

 Don't mention conflicting conditions.

 Don't include such items or scope of work not directly related to
the work.

 Don't revise the estimates to justify the received L-1 rates after
opening of the price bids.

Every noble work is at first impossible

- Thomas Carlyle

(36)

 Ensure releasing of Leave encashment to the family as defined CHECKS IN MASS CONTACT AREAS
in Rule 549A of IREC-I.
I. PARCEL UNDERCHARGE CASES
 Insist for succession certificate only when there is no family
member who is eligible to receive a particular settlement due.  During check conducted at DMV 26.07.2017 against Demand VPU
no WR 098312 booked from LKO to DMV loaded with pigs, it
 Ensure release of withheld DCRG in cases of commercial/Stores was detected that it contains excess 7nos of pigs as against per-
debits within time limits prescribed to avoid payment of interests. missible 104 nos of pigs. Undercharge amounting to Rs.13,451/-
was collected vide MR NO. 390248 dated 27.07.17.
 Ensure fulfillment of income and other eligibility criteria by
widowed/divorced daughters before sanctioning family pension.  During check conducted at DMV on 09.08.2017 against Demand
VPU no NR 11907 booked from LKO to DMV loaded with pigs,
 Ensure receipt of Foreign Service contributions from the it was detected to contain 169 nos of pigs instead of permissible
respective organization in favor of employees on deputation with 104 nos pigs i.e. an excess by 65 nos of pigs. Undercharge
them. amounting to Rs. 1,24,908/- was collected vide MR NO. 390366
dated. 01.09.17.
 Ensure receipt of 'No due Certificate' from all the Railways/
Organizations where the employee has worked before his  Inward Parcel consignments booked from KYQ to SPTR were
retirement. brought under check on 19.09.17. After re-weighment, excess of
1000 Kgs, 1170 kgs & 180 Kgs were detected against Parcel
 Obtain legal opinion in all cases of disputes and dual/rival claims consignment booked under P.W. Bill Nos 996331 dated 17.09.17,
before releasing of settlement dues. 996341 dated 18.09.17 and 996335 dated 18.09.17, thereby, an
amount of Rs.1764/- was realized as undercharges vide MR No.
DON'Ts 145625 to 145627 dated 19.09.17.

 Don't recover government dues from any settlement benefit except  Inward Parcel consignments at RNY & RPAN were brought under
DCRG & DR payable on pension. check on 06.09.17 & 07.09.17. After re-weighment, excess of 544
kgs were detected against Parcel consignment booked under P.W.
 Don't authorize Guardian to receive family pension in favor of a Bill No.825290 dated 05.09.17, 852748 dated 06.09.17 and 852749
minor child, but ensure PPO on the name of the minor child, dated 06.09.17 and an amount of Rs.1085/- was realized as
indicating Guardian's name. undercharges vide MR No. 145625 to 145627 dated 19.09.17.

 Don't release DCRG if the employee does not vacate the Railway  Parcel consignments unloaded from train no. 15717 at KYQ station
accommodation on the day of superannuation. were brought under check on 16.09.17. After re-weighment, an
excess of 1744 Kgs were detected and thereby an amount of
 Don't insist for medical examination if the retired employee Rs.3409/- was realized vide MR No.773056-59 dated 16.09.17.
applies for commutation within a year.
(16)
Power corrupts, absolute power corrupts
absolutely

- Lord Action

(35)

 Inward Parcel consignments booked from NMZ were brought under  Advise the employees to declare date of birth and age of each
check on 16.09.17 at DMV. After re-weighment, excess of 288 family member including married children, irrespective of their
kgs were detected against Parcel consignment booked under P.W. ineligibility for availing Pass/PTO.
Bill No.362043-45 dated 12.09.17 and an amount of Rs. 924/-
was realized as undercharges vide MR No. 390406-08 dated  Ensure periodical checks by senior subordinates to ensure that
16.09.17. SRs/Leave accounts are in update condition.

 Inward Parcel consignments at RNY & KYQ were brought under  Ensure verification of Service Register and leave Accounts by
check on 13/14.09.17 and 20.09.17. After re-weighment, excess Accounts department before six months in case of NRs and as
of 814 kgs were detected and an amount of Rs. 1431/- was realized quickly as possible in case of ONRs.
as undercharges vide MR No. 048252/53 dated 14.09.14 dated
13/14.09.17 & 7730621-62 dated 20.09.17.  Reckon 'Qualifying Service' but not 'length of Service' for grant
of pension benefits.
 Inward Parcel consignments booked from APDJ were brought
under check on 12.09.17 at KYQ. After re-weighment, excess of  Advise the retiring employee/family to opt only a Nationalized
1251 kgs were detected against Parcel consignment booked under Bank for drawl of Pension/Family pension.
P.W. Bill No.675093/95/96/99 dated 11.09.17 & 675103 dated
11.09.17 and an amount of Rs. 2248/- was realized as undercharges  Ensure mentioning in the PPO, of additional quantum of pension
vide MR No. 773042-45 dated 12.09.17. @ 20%, 30%, 40%, 50% & 100% on completion of 80 years, 85
years, 90 years, 95 years and 100 years respectively.
 Inward Parcel consignments booked from NJP & RJPB were
brought under check on 26.09.17 at GHY & KYQ. After re-  Ensure supply of 'Calculation Sheet' to employees along with
weighment, excess of 453 kgs were detected against Parcel settlement papers.
consignment booked under P.W. Bills No.9938064/06 dated
25.09.17, 2005435654, 2005437137 dated 24.09.17 and  Ensure mentioning all eligible family members in the PPO with
2005426829 dated 23.09.17 and an amount of Rs. 1540/- was their dates of birth.
realized as undercharges vide MR No. 609879/77 dated 26.09.17
and 773074/73/72 dated 26.09.17.  Ensure sanction of provisional pension, in case departmental/
judicial proceedings are pending on the date superannuation of
 Inward Parcel consignments booked from SC & BZA were brought the employee.
under check on 26.09.17 at GHY. After re-weighment, excess of
134 kgs were detected against Parcel consignment booked under  Decide family member to receive Family Pension in terms of
P.W. Bills No.20054342 dated 24.09.17 & 20054064 dated Rule 75(19)(b) of pension Rules & RBE Nos. 142/97, 81/98, 44/
19.09.17 and an amount of Rs. 1175/- was realized as undercharges 2005 & 159/2009 since nomination is not required.
vide MR No. 609880/81 dated 26.09.17 .
 In the absence of nomination, release DCRG to family member
 Inward Parcel consignments booked from CDG-DMV which defined as such in Rule 70(5) of RS (Pension) Rules, 1993.
arrived by train no. 15904 were brought under check on 01.11.17
at DMV. After re-weighment, excess of 119 kgs in total were  In the absence of nomination, release amount of PF to a family
member defined as such in chapter 9 of IREC-I.
(17)
 In the absence of nomination, release CGEIS amount to a family
member as defined in SC No. 97/77.

(34)

after acceptance of offer and attending the medical examination detected against Parcel consignment booked under P.W. Bills
save with the approval of next higher authority. No.031570 dated 29.10.17 and an amount of Rs. 1134/- was
realized as undercharges vide MR No. 390608 dated 01.11.
 Don't offer appointments to regular pay band of Level-1 to those
wards who are not in possession of minimum educational  Inward Parcel consignments booked from HWH-NTSK were
qualification of SSC/ITI. brought under check on 23.11.17 at NTSK and an amount of Rs.
801/- was realized as undercharges vide MR No. 466210 & 466216
 CG is not to be considered if a partially de-categorized employee dated 23.11.17 against excess weight of 55 kgs after re-weighment.
has less than 5 years to superannuate.
 F/SLR-RC ER-99724 of 13141 that arrived NOQ station on
 Educational qualification acquired by a ward subsequent to the 24.11.17 was brought under check and all the packages were
date of application is not to be considered for determining the reweighed after unloading. A total of 890 kgs in excess were
Group/Post. detected and an amount of Rs. 32,313/- vide MR No. 19163577
dated 24.11.17 was realized as undercharge.
 Don't fix the pay of the CG appointee at a higher stage than
admissible without prior and personal finance concurrence of  An amount of Rs. 59,829/- was realized as undercharges from
FA&CAO and the approval of GM. leased SLR during a check conducted by vigilance on 24.04.18 at
NJP/JPG stations.
SETTELEMENTS
 An amount of Rs.1001/- was realized as parcel undercharge in
DO's course of a vigilance check conducted at MXN/Parcel office on
29.01.18.
 Publish retirement list of employees retiring within the next two
years and notify the employees concerned.  An amount of Rs. 11970/- was realized as under charge check
conducted by vigilance at DMV on 28.03.18 in view of overloading
 Ensure regular and continuous updating of Service Register & of pigs in VPU.
Leave accounts to avoid delays in settlements.
 An amount of Rs. 6240/-was realized as parcel undercharges at
 Ensure safe custody of SRs and leave accounts and watch the Agartala during check conducted on 20.08.18.
movement in case of transit to other sections/units.
 An amount of Rs. 1124/- was realized as parcel undercharges at
 Take immediate action in reconstructing the lost Service Registers MXN/parcel during check conducted by vigilance on 07.09.18.
and missing leave Accounts.
II. GOODS UNDERCHARGE CASES
 Organize permanent drives to obtain nominations from staff by
utilizing services of S&WIs.  One mixed load rake ex DKZ to NGC was taken for weighment at
one of the Weigh Bridges at RNI/KIR Division on 05.08.17.
 Make nomination entries in the Service Register and paste the Overloading of 8.5 tonne was detected in five wagons and
same in it. consequently an amount of Rs. 24,785/- was realized as
undercharge at NGC on 06.08.17 to 08.08.17.
 Advise the employees to promptly report the additions/alterations
of family. (18)
(33)

 One cement rake Ex PACT to NGC was taken for weighment at  Render the family all possible assistance in getting the formalities
RNY on 09.08.17. Overloading of 5.1 tonne was detected in four fulfilled for consideration of appointment.
wagons and amount of Rs. 6,674/-was realized as undercharge at
NGC on 11.08.17.  Save the family from falling prey in the hands of unscrupulous
elements.
 One mixed goods rake ex DKZ to NGC was taken for weighment
at DDNI Weigh Bridges. Overloading was detected in the said  Thoroughly check the credentials of the candidate being presented
rake and an amount of Rs. 44,826/-was realized as undercharge at for appointment by verifying various declarations submitted by
NGC on 21.11.17 & 22.11.17. the employee while in service.

 One cement rake ex PACT to NTSK was taken for weighment at  Check the documents submitted in proof of age, educational
NCH Weigh Bridges. Overloading was detected in the rake and an qualification etc. thoroughly, by making necessary enquiries with
amount of Rs. 1,42,099/-was realized as undercharge at NTSK on the educational institutions and Boards.
03.11.17.
 Follow the time limits prescribed for various priorities by holding
 One rake ex KSWR to BMGN was taken for weighment at DDNI the screening tests, regularly on the nominated day every month.
Weigh Bridges on 21.09.18. Overloading was detected in the said
rake and an amount of Rs. 49,473/- was collected as undercharge  Ensure competent authority's approval for relaxation of age limits
at BMGN On 21.09.18. where required.

III. TICKET CHECKING CASES  Follow the Board's instructions issued time to time in determining
the eligible family member for appointment.
 During check conducted in Train No.12514 Up Ex. NBQ to NJP
on 03.08.17, a sum of Rs. 1,185/- was collected vide EFT No.  Ensure prescribed competent authority i.e. DRM/CWM/PHOD/
689447 against one passenger without ticket. GM/Railway Board approves the appointment depending on the
circumstances of the case.
 During check conducted in GS coach of Train No.15909 Dn Ex.
DMV to GHY on 09.08.17, a sum of Rs. 1,060/- was collected  Ensure that the suitability test i.e. Written Test and Viva-voice is
vide EFT No. 844463/725985-86 against three passenger without completed on a single day.
tickets.
 Ensure obtaining declaration from the CG appointee that he/she
 During check conducted in Train No.12514 Up Ex. NBQ to NJP will maintain the family dependent on the employee at the time
on 03.08.17, a sum of Rs. 1,185/- was collected vide EFT No. of death.
689447 against one passenger without ticket.
 Ensure that the S&WI's report is kept in the service Register of
 An amount of Rs. 7,225/- was realized from regularizing passenger the appointee.
at the instance of vigilance check conducted on 31.01.18 onboard
Train No. 12236 ex KOJ to GHY. DON'T's

(19)  Don't offer the post that is not within the competence of a
particular authority.

 Don't consider the request of the candidate for change of category

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Don'ts  During check conducted in Train No.12516 on 27.06.18, 38 I/T
passengers were detected which fetched an amount of Rs. 22,390/
 An Officer whose name is borne on the Agreed List/Secret List - vide EFT Nos 963440-43, 978443-45, 040761-67 dated 27.06.18.
should not be nominated in the Selection Board/Committee.
 An amount of Rs. 40,865/- had been realized from W/T & I/T
 Members of the Selection Board/Committee should not be Passengers during a drive conducted in Agartala and onboard trains
subordinate to one another. during 20.08.18 to 23.08.18.

 Once nominated, the Selection Board/Committee should not be IV. DEMURRAGE CHARGES:
changed except when unavoidable. During check conducted at Goods Office/JRNA on 12.07.17, an
unaccounted amount to the tune of Rs. 80,424/- was found in the
 Do not change the number of vacancies once Notification is possession of On duty Goods Supervisor. Later it was found that
issued. the said amount was part of accrued demurrage charges of parcel
rake which was delivered on 16.09.16. Amount was paid vide MR
 Lead pencil should not be used for evaluation of answer sheets. No. 207560/- dated 28.07.17.

 Marks once awarded against objective type questions should not Integrity is telling myself the truth and
be altered by correcting or overwriting or erasing. honesty is telling the truth to other people

 Marks once awarded against descriptive type questions should - Spencer Johnson
not be altered, if required genuinely, fresh marks to be awarded
by clearly cutting the earlier awarded marks duly initialed. Being ignorant is not so much a shame,
as being unwilling to learn
 Answer to the objective type questions with cutting/overwriting/
erasing etc. should not be evaluated. - Benjamin Franklin

 Evaluating Officers should not re-evaluate his own evaluation. (20)

 Evaluation of answer sheets should not be done by any other
person than the officer nominated for the purpose.

COMPASSIONATE GROUND APPOINTMENTS

DO's

 Register the cases immediately on occurrence of the event priority-
wise.

 Ensure submission of S&WI's report as early as possible.

 If there's any anticipated delay in submission of documents like
death certificate etc. by the family, complete all other formalities
so that the case is processed immediately on receipt of documents.

(31)

IMPORANT CIRCULARS DO'S AND DON'T'S

1. Sub : Procedure for dealing with DAR cases against Group PERSONAL
'C' and 'D' staff arising out of Vigilance Investigation.
SELECTIONS
Ref : RB's letter no. 2012/V-1/Meet/5/2 dated 28/11/2017
Do's
Instructions have been already been laid down on the procedure to
be followed for dealing with DAR cases against Group 'C' and 'D'  Ensure correct assessment of vacancies and obtain approval of
staff arising out of Vigilance investigation, vide this office letters competent authority before issuing notification.
No. 2006/V-1/Meet/6/1 dated 19/07/2006 (RBV No. 13/2006) and
2010/V-1/Meet/5/1 dated 11/08/2011 (RBV No. 10/2011). These  Ensure constitution of Selection Committee properly following
instructions were reiterated vide letters No. 2012/V-1/Meet/5/2 Railway Board's guidelines issued time to time.
dated 18/10/2012 (RBV No. 6/2012) for compliance.
 Ensure Nomination of Coding/Decoding officer separately.
It has now come to notice that some Railways, the adequacy of the
quantum of punishment is also being decided in consultation with  It should be ensured by Personnel Department that the guidelines/
Vigilance. It is clarified that there is no provision in the IR Vigilance instructions issued by Railway Board are communicated to the
Manual for such practice. Hence, in cases where the Disciplinary Officers nominated for setting question paper and evaluation of
Authority agrees with the advice of the Vigilance Department for answer sheets.
imposing a major or minor penalty, there is no further need to
consult the Vigilance Department regarding the quantum of the  In the event of any change in the eligibility condition after issue
punishment. It may be noticed that DA has to apply his/her own of notification, it should be ensured that opportunity is given to
mind in each case as per common prudence. all candidates who may have become eligible according to the
revised eligibility condition.
2. Sub: Empanelment of serving/retired Officers as Arbitrator
and Consultants in PSUs.  Candidates should be advised that there should not be any cutting/
overwriting/erasing in the answers to the objective type questions.
Ref: RB's letter no. 2017/V-1/VC/1/1 dated 16.03.2018
 Answer sheets should be endorsed by Personnel Branch officer
Empanelment of serving / retired Officers as Arbitrator cannot and handed over to the nominated evaluating officer immediately
be done for: after the written examination.

a) Persons borne on current 'Agreed / Secret' list.  Ensure absolute secrecy in the printing and distribution of
question paper.
b) Persons involved in any current vigilance/CBI cases or against
whom disciplinary or prosecution proceedings are in process.  The Selection Proceedings as well as the Tabulation Sheet
showing the marks obtained by the candidates under different
c) Persons who had been imposed a major penalty or two or more headings should be signed by all the selection committee members
minor penalty or two or more minor penalties or against whom with date and designation.
administrative action has been taken three times or more or who
has been imposed one Minor Penalty and against whom two (30)
administrative actions have been taken as a result of vigilance /
CBI action while in service on Railways.

(21)

(ii) Renew focus on promoting transparency, d) Persons against whom minor penalty has been imposed during the
simplification of procedures and reduction in preceding 5 years for serving officers and last 5 years of service
discretionary powers. for retired Officers.

(iii) Improve internal vigilance, sealing corruption e) Persons against whom administrative action has been taken during
opportunities. the preceding 5 years for serving officers and last 5 years of service
for retired Officers.
(iv) Pursue quality-in Works and procurement contracts.
(v) Organize training programmes for SMEs and f) If any officer appointed as Arbitrator is subsequently detected to
be involved in a Vigilance / CBI case, action will be taken as per
contractors on their rights, responsibilities in tenders extant guidelines.
and contracts.
(vi) Conducting preventive check on public interface g) The officers working in the Vigilance Organization should not be
activities of contractual staff. considered for appointment as Arbitrators, even if empanelled, as
per extant guidelines.
I cannot speak anything but the truth, I
cannot turn back on my duty just to please Appointment of retired officers as Consultants etc. in PSUs cannot
some one be done for:

- Sardar Vallabhai Patel a) Persons borne on current 'Agreed / Secret' list.

Live as if you were to die tomorrow, learn b) Persons involved in any current vigilance / CBI cases or against
as if you were to live forever whom disciplinary or prosecution proceedings are in process.

- Mahatma Gandhi c) Persons who had been imposed a major penalty or two or more
minor penalty or two or more minor penalties or against whom
You can't cross the sea merely by standing administrative action has been taken three times or more or who
and staring at the water has been imposed one Minor Penalty and against whom two
administrative actions have been taken as a result of vigilance /
- Ravindranath Tagore CBI action while in service on Railways.

(29) d) Persons against whom minor penalty has been imposed during the
preceding 5 years for serving officers and last 5 years of service
for retired Officers.

e) Persons against administrative action have been imposed during
the preceding 5 years for serving officers and last 5 years of service
for retired Officers.

f) If any officer appointed as Arbitrator is subsequently detected to
be involved in a Vigilance/CBI case, action will be taken as per
extant guidelines.

(22)

3. Sub: Administrative/Disciplinary action against Malpractices (ii) Irregularities in inspection of Materials by consignee
Detected by Executive. and RITES

Ref: Railway Board's letter no. 2018/V-1/VP/1/5 dated (iii) Proper documents checking while supplying the
23.05.2018 materials (Third party Challan)

Administrative/disciplinary action against malpractices is the 3. Other Checks:-
primary responsibility of the Executive. It is t important that the
concerned department which has discovered the fraud takes (i) Claim settlement cases under section 124-A including
appropriate administrative/disciplinary action on its own initiative timely payment of compensation after judgment
in cases where clear irregularity has been detected by them.
Administrative action such as suspension/transfer to prevent further (ii) Monitor coverage and usage of CCTVs and other
damage and tempering of evidence should be taken immediately. Surveillance mechanism at various critical
Issuing of charge -sheet for fraud discovered by the department infrastructures of Railways where misuse is rampant
itself should be initiated by the department concerned where clear
cut irregularity has already been identified, instead of waiting for (iii) Checks on non issued and special cancellation in PRS
a further investigation by vigilance. Immediate action is necessary and UTS
to ensure that there is visible impact and a message that the
administration will come down hard on corruption is sent down (iv) Checks on reservation done on zero value and pre-
the line. bought tickets

Nevertheless, when cases where clear-cut prima-facie corruption/ (v) Checks on records of overloading of VPI SLR at
irregularity have occurred, such as in the cases mention above, contracting Division/HQ
and these have been handed over to vigilance for further
investigation, they must be investigated on top priority. Vigilance 4. Maintenance and upkeep of in motion weighbridges
must work towards completing the investigation reports and putting
them up as per procedure within a period of 15 days Delay 5. Accounts Departments:-
occurring due to non- availability of documents or obtaining of
clarificatory statements etc may be brought to the notice of the (i) Failed NEFT transactions and bankers cheques
PHODs/GM for quick resolution.
(ii) The CPC arrears and allowances
4. Sub : Simultaneous action of prosecution and initiation of
departmental proceedings-guidance thereof. (iii) Memorandum of differences for salary payment

Ref : (i) RB's L/ No. 2012/VI/CBI/1/2 dated 10/09/2018 (iv) Reports of paid RRs- deduction of surcharge and
(ii) CVC L/No. pp/VGL/087-389176 dated 31 /07/2018 deposit of BGs

As per judgments' of the Hon'ble Supreme Court and guidelines (v) Reconciliation of receipts through electronic mode.
of Department of Personnel & Training issued thereon, it has been
reaffirmed that there is no bar in conduction simultaneous criminal 6. Apart from above thrust areas, it is also advised for:-
and departmental proceedings. Attention is invited to the of
(i) Monitor early finalization of tender (Work, stores and
(23) commercial)

(28)

THRUST AREAS Department of Personnel & Training O M No. 11012/6/2007-Estt
(A-III) dated 1st August, 2007 and 21st July 2016 in this regard.
Thrust areas of the Vigilance organization for the year 2018 with
focus on measures related to: The commission while examining the disciplinary cases referred
to it for advice has noticed that in cases where simultaneous action
 Improving systems and procedures aimed at eliminating of prosecution and initiation of departmental proceedings are
scope for corruption. advised, the departmental proceedings are unduly delayed by
Departments/Organisations by keeping them in abeyance on the
 Identifying complex rules & procedures and simplifying the ground that the matter in under trail in the court. Such an approach
same. in finalizing disciplinary matters is a matter of serious concern
and is also not a correct approach.
 Reviewing discretionary powers.
 Ensuring accountability. The Disciplinary Authority has been vested with the powers to
 Sensitizing officials, and carry out its statutory duly/obligations by initiation of appropriate
 Facilitating a culture of integrity by promoting ethical departmental actions. This is as much to ensure that delinquent
public servant does not get undue benefit either by the long
practices. pendency of court proceedings or by the higher standard of proof
required as it is to protect innocent public servant from vexatious
Accordingly, the following thrust areas have been identified for proceedings. It is not open to the Disciplinary Authorities to await
the year 2018 by Railway Board: the outcome or decision of investigating/prosecuting agency or
the Court trial.
1. Scrutiny of expenditure contracts covering all Engineering
Departments viz Engineering, Electrical, S&T and The commission would like to clarify that Disciplinary Authorities
Mechanical for each of the following categories:- are vested with responsibility to ensure that employees under their
control against whom criminal trial is pending are proceeded
(i) Quality check of safety items on coaches, Locos & against forthwith for simultaneous departmental proceedings.
wagons Further, a view as to whether simultaneous disciplinary proceedings
are to be initiated need to be invariably taken by the Competent
(ii) Irregularities in Eligibility criterion- Special condition Authorities at the time of considering the request for grant of
restrictive in nature sanction for prosecution itself. However, the Disciplinary Authority
may withhold departmental proceedings only in exceptional cases
(iii) Duplicity/Unrealistic assessment of work in Estimate wherein the charge in the criminal trial is of grave nature which
and Tender schedule involves questions of fact and law. In other words in complex
matters where in case it is not possible to delineate the misconduct
2. In order to cover large value works/Machinery & Plants/ for the purpose of RDA. If the charge in the criminal case is of a
procurement, the following plan Heads have been identified grave nature which involves complicated questions of law and
for conducting preventive checks, including proper Administrative Authorities/Disciplinary Authorities to the undue
accountal of stores:- delays in finalizing vigilance cases especially the conduct of
(i) Action on Cartelization relevant for Stores as well as disciplinary proceedings despite having a built in time line for
Engg Departments in procurements of materials every activity. Further, such unexplained delays lead to Central

(27) (24)

fact it would be desirable to stay the departmental proceedings till Administrative Tribunals and the High Court quashing the charge-
the conclusion of the criminal case. Further, even if stayed at one Sheets to the delinquents after very long periods of commission of
stage the decision may require reconsideration, if the criminal case alleged misconduct etc. and also for unexplained delays in
gets unduly delayed. It may be noteworthy to mention that the conducting disciplinary inquiries.
Hon'ble Supreme Court in state of Rajasthan Vs B.K. Meena &
Ors (1966) 6 SCC 417 emphasized the need for initiating Timely completion and finalization of disciplinary proceedings in
departmental proceedings and stated as below : the prime responsibility of the Disciplinary Authority/
Administrative Authorities concerned in all Departments/
"It must be remembered that interest of administration demand Organizations. More so, such long delays in finalizing disciplinary
that the undesirable elements are thrown out and any charge of matters are not only unjust to officials who may be finally
misdemeanor is enquired into promptly. The disciplinary exonerated, but helps the guilty to evade punitive action. The
proceedings are meant not really to punish the guilty but to keep Commission had earlier vide its circular No. 02/01/2016 dated 18/
the administrative machinery unsullied by getting rid of bad 01/2016 emphasized on the various steps needed to be taken by all
elements. The interest of the delinquent officer also lies in a prompt concerned obviating delays at different stages of the process right
conclusion of the disciplinary proceedings. If he is not guilty of from investigation to finalization of disciplinary proceedings by
the charges, his honour should be vindicated at the earliest possible way of regular monitoring of these cases/matters.
moment and if he is guilty, he should be dealt with promptly
according to law. It is not also in the interest of administration that The Commission while retreating the above said instructions would
persons accused of serious misdemeanor should be continued in impress upon all concerned that the time limits prescribed by the
office indefinitely, i.e. long periods awaiting the result of criminal commission/DoPT for processing disciplinary cases at various
proceedings." stages may be strictly adhered to. All disciplinary authorities in
each Ministry/Department/Organisation need to regularly monitor
The Commission would therefore, advice all concerned the progress to ensure that the disciplinary proceedings are
Administrative Authorities that in cases where it is appropriate to completed within prescribed time-limits and are not unduly
initiate disciplinary proceedings along with criminal prosecution, delayed.
the disciplinary proceedings must be initiated simultaneously.
Our greatest glory is not in never falling,
5. Sub : Inordinate delays leading to complete blunting of but in rising every time we fall
Vigilance administration-Adherence to time limits in
processing of disciplinary cases - Confucius

Ref : (i) RB's letter No. 2016/V1/CVC/1/1 dated 11/9/2018 A life spent worthily should be measured
(ii) CVC's No. 000/VGL/18-388880 dated 26/07/2018 by deeds, not by years

The Commission has been emphasizing from time to time on the - Sheridan
need for expeditious completion of disciplinary proceedings. The
model time limit for investigation of complains and for different (26)
processes of disciplinary proceedings have been laid down in
commission's letter of even number dated 23rd May 2000.

The Commission would like to invite the attention of the

(25)