Central Government Departments

 

Vigilance in Housing and Urban Development Corporation Limited

Vigilance in HUDCO

1. Preventive Vigilance
2. Tenders & Contracts
3. Engineering Departments
4. Stores
5. Accounts Department
6. Personnel Department
7. Checklists for Appraisal of NGO Schemes
8. Checklist for Co-operative Housing Schemes
9. Checklist for Rural Housing Schemes
10. Checklist for Staff Housing Schemes
11. Checklist for Retail Housing Finance Schemes

PREVENTIVE VIGILANCE

Corruption cannot be eliminated or even significantly reduced unless preventive measures are planned and implemented. Some of the preventive vigilance check areas and preventive steps in the form of DOs and DON’Ts are detailed below under relevant activities/departments. The following illustrative preventive measures will help understand problem areas and obviate the occurance of irregularities and malpractices.

A. General Conduct

DOs

i) Every executive having supervisory functions is a vigilance officer in respect of persons/work responsibility under his charge and the conduct rules enjoins upon him to take all possible steps to ensure the integrity and devotion to duty of the employees under his control and authority.

ii) One’s actions and decisions in official matters should be such as a person of ordinary prudence would take in his own personal business affairs. In matters requiring technical expertise of the discipline to which the officer belongs, the actions and decisions should be able to stand the test of the required experties/technical knowledge.

iii) Be conversant with the current rules and regulations before taking any decision and if the decision can be taken at your level according to the powers delegated, it should be taken and communicated promptly to avoid any loss to the organisation caused due to delay/indecision.

iv) Keep your image both in public and staff as that of an honest, impartial and just, but firm officer. Use your discretion properly to avoid any miscarriage of justice. Be dispassionate while taking decisions so that no undue favour accrues to any one.

v) Observe courtesy in dealings with public, subordinates and colleagues. Pay prompt attention to the complaints or grievances and redress the grievance, wherever possible.

vi) Have respect for laws of the land and observe them in letter and spirit. Infringment or violation of any law for the time being in force could result in departmental action apart from the proceedings under the violated law.

vii) In an organisation like ours, we can not always insist on bureaucratic practices of detailed records as executives have to deliver the goods. Whenever you are departing from the existing instructions/practices etc., record reasons for deviations in your own interest.

viii) Surprise/periodical visits to check stores,etc. and on spot recording of inconsistencies, if any, keeps the employees under you not only on their toes, but is an insurance against irregularities and pilferage.

ix) Immovable property return in prescribed proforma,due on the first day of every alternate year, should be submitted without fail, notwithstanding that the return is `nil’ or there is no acquisition in the period under report; or the acquisition has already been reported to the competent authority.

(x) Under the CDA rules,every employee is required to maintain absolute integrity at all times. This is not only so in his official capacity, but even in his private life and dealings, he is required to maintain absolute integrity.

“Conscience is a watch dog that barks at sins.”

DON’Ts

i) Don `t be arbitrary and capricious in your decisions. The decision coud be justifiable on all counts.

ii) Don’t forget to put a date under your signature.

iii) Do not take part in the Tender Committee meetings/appraising of schemes, if any of your relatives is one of the tenderers/agency representative.

iv) Do not sit on the Selection Board when any relative of yours is appearing for selection. If a member of your family is to secure job in a private firm with which you have official dealing, intimate and take prior permission of the competent authority. However, in case of emergency employment isionally.

v) Don’t delay submission of the T.A. bills. These should be submitted carefully and any excuse that wrong daily allowance has been claimed as the bill was prepared by PS is not accepted.

vi) Don’t engage yourself directly or indirectly in any trade or business or undertaking any other employment. Even negotiating for taking an employment is also prohibited.

vii) Avoid sanctioning a privilege to yourself even if it is within your own competence. Let such sanction be accorded by your superior.

“We can believe what we choose. We are answerable for what we choose to believe.”

Tenders and Contracts

DOs

i) Allow adequate and reasonable minimum time (as prescribed) for opening of tenders to encourage proper response - except in emergencies.

ii) Record reason for non-issue of tender, and intimate the applicant if demanded.

iii) Verify eligibility criteria before issue of tender.

iv) Publishing advertisement in local newspapers except for specialised/ high value tenders.

v) Conditions in the tender should be clear, unambiguous and complete.

DON’Ts :

i) Do not change the Tender Committee members once constituted, without prior approval of competent authority.

ii) Do not consider delayed/late tenders except under specified exceptional circumstances.

iii) Do not allow anomalies in evaluation of special conditions to affect the acceptance of the offer recommended.

iv) Do not carry out negotiations with any other party other than L1.

v) Do not accept individual items rates which are abnormally high or unworkable in respect of major items of
work in a tender.

vi) Do not accept a single tender received in response to a call for limited tender unless the work is very urgent and permission from competent authority has been obtained.

vii) Do not advise the Tender Committee prior to their deliberations on the suitability or otherwise of any particular offer.

Engineering Departments

Civil Engineering

DOs

i) Ensure good workrmanship by proper supervision.

ii) Keep proper account of cement and other materials if issued, to the contractors at the site of work.

iii) Ensure inspection and passing of materials supplied by contractors before these are used in work. Maintain proper records.

iv) Issue materials to contractors only through authorised representatives with proper receipts from him and control the issues commensurate with progress of work.

v) Ensure recovery of cost of materials supplied by Authority, hire charges for tools and plants etc. from the contractors, running bills immediately after their use.

DONT’s

i) Don’t allow execution of work without proper sanctioned work order except in special circumstances and obtain sanction of appropriate authority promptly.

ii) Don’t allow the contractor to first execute only those items considered more profitable by him at his discretion so
that Contractor’s interest in completing the whole work remains.

iii) Don’t allow execution of partly left over work by another agency before taking final measurements of earlier contract and getting them accepted both by the old and the new contractor.

iv) Don’t operate non-schedule items where it is possible to do work as per scheduled items or a combination thereof and without sanction of the competent authority. In exceptional cases where it has to be done, maintain necessary site records.

Electrical Works

Dos

i) Ensure good workmanship by proper supervision.

ii) Keep proper account and classification of issued material.

iii) Hire charges for electrical gadgets/equipment should be vetted by finance.

iv) Ensure that the installation register for electrical fittings provided in Quarters are maintained correctly upto date and handing over/ taking over of electrical installation in Quarters are done correctly.

Dont’s

i) Do not tamper with the electrical wiring of Quarter/ Service building for additional points.

ii) Do not tamper the seal of house service meters provided in residential buildings.

iii) Do not mention such `makes’ of electrical items in works contracts which are not equivalent qualitywise.

STORES

DOs

(a) Indenting Stores

i) Furnish detailed and unambiguous description witth specification and drawing number, wherever applicable.

ii) Indicate quantity, both in figures and words, as per approval of the approving authority.

iii) Specify a reasonable delivery period. Avoid terms like `Urgent’ and `Immediate’ and be specific about the date by which the material is required.

iv) Always guard against suppliers asking for relaxation in description or specifications after release of order,as it is quite possible that the relaxation asked for has been already rejected in the original tender.

(b) Purchase

i) As far as possible adopt competitive tendering systems such as open tenders.

ii) Ensure that the tender opening is done in letter and spirit as per the relevant instructions.

iii) Even if the lowest offer is accepted, still ensure that the rate accepted is reasonable.

iv) Be vigilant while having to decide on offers with small, differences on all-inclusive prices.

v) When the descriptions or specifications undergo significant changes after invitation of tenders, ensure that equal opportunity is afforded to all the suppliers either by re-tender or by negotiations where grave urgency exists.

© Local purchases

i) Ensure that a register of local purchase sources is maintained after inspection of their capacity by a duly constituted committee.

ii) Ensure that always sealed quotations are obtained.

iii) Where bearer quotations are collected, ensure acknowledgment of receipt of quotations from indenting suppliers.

iv) Avoid cash payments as far as possible.

(d) Receipt of Materials

i) Ensure that quantity is checked without fail adopting the most appropriate method.

ii) Ensure that the quality of supplies is checked with reference to the order description and specifications.

(e) Scrap Sales/unservicable items

i) Ensure that reserve price is fixed for each lot without fail before auction.

ii) Ensure that lots are maintained in such a way that they cannot be changed by unauthorised persons before the delivery is completed.

“Only your real friends will tell you when your face is dirty.”

DON’Ts

(a) Indenting Stores

i) Do not furnish specifications that are tailormade to attract offers from only one or two suppliers.

ii) Do not issue proprietary article certificate for items for common usage or for items covered by fairly comprehensive description or specification.

iii) Do not issue letters to supplier in the nature of amendments to the purchase contracts and always write to the purchasing authority for issue of amendment where necessary.

(b) Purchases

i) Do not accept delayed or late tenders except when sufficient reasons exist for such a consideration.

ii) Do not consider offers modified after opening tenders.

iii) Do not accept single quotation against limited tender in a routine manner without checking the urgency or reasonableness of rates.

iv) Do not accept an offer to a sample if the tenders are issued to a standard specifications.

© Local Purchases

i) Do not split requirements to bring the purchase within local purchase powers.

ii) Do not entertain open quotations or quotations which are unsigned or appear to be corrected on terms involving financial implications without being attested by the tenderer.

“Never under estimate your power to change yourself”

(d) Receipt of Materials

i) Do not resort to inspection of materials by comparison with sample or to practical check, when clear description and specifications are stipulated in the order.

ii) Do not allow the materials/purchases received without opening for a long time as this may result in the forfeiture of your rights to raise a claim on the supplier for shortages/damages.

iii) Do not accept a supply without checking the seals and the supporting inspection certificate

ACCOUNTS DEPARTMENT

DOs

i) Ensure that the expenditure or remission of revenue has been sanctioned by the competent authority and that the expenditure has been incurred by an officer competent to incur it.

ii) Ensure that the expenditure has been properly and fully vouched and has been so recorded as to render the second claim on the same account impossible.

iii) The bill should be in original and in prescribed form and alterations, if any, in the bill have been duly attested by the officer and contractor/supplier.

iv) Ensure that the prescribed percentage checks are done.

v) Ensure that advance payment is released only in accordance with provisions of contract and that such payments are adjusted as per terms and conditions of the contract.

vi) Before making final payment, ensure that a certificate has been furnished by the executives that the Corporation’s properties, if issued for temporary use of the contractors, have been returned in good condition appropriate amount is recovered in lieu thereof.

DON’Ts

i) Do not allow payment of rates higher than those included in the Agreement.

ii) Do not delay refund of earnest money/security deposit to the contractors after the work or supply has been completed and the maintenance period has been completed.

iii) Do not delay refund of earnest money to the unsuccessful tenderers after the tenders are finalised.

iv) Do not allow delays in passing contractor’s bills and staff payments such as PF advance,TA bills or final settlement bills etc. as delays are major source of corruption.

PERSONNEL DEPARTMENT

IMPORTANT PREVENTIVE CHECK AREAS

1.) Selection & Promotions

i) Postponement of regular selection on flimsy grounds so as to permit continuance of ad-hoc personnel.

ii) Unauthorised alterations in the tabulation sheets after the same had been signed by members of the
Selection Board.

iii) Deliberate violation or non-observance of prescribed selection procedure

2.) Recruitment

i) Not giving sufficient publicity to the recruitment advertisement.

ii) Arbitrary screening of applications received i.e. bviously better qualified candidates not been called for
selection interview.

iii) Not offering employment in the order of merit from the list of duly empanelled candidates.

iv) Failure to observe instructions regarding medical examination and verification of original educational
and experience certificates and antecedents.

v) Appointment on casual basis without proper advertisements or getting nominations from respective
Employment Exchange.

3.) Service Record

i) Connivance of staff concerned who deliberately remove important papers from Personnel files.

ii) Deliberately ignoring the entry of orders of penalty imposed in the PF of the employees.

iii) Leave Account of staff should be checked. Ensure that LTC and leave encashment is entered in the
leave account/service book, to be computerised directly linked with punching, where installed.

iv) Ensure that service books and other personnel records are maintained properly.

v) Following up of performance appraisal report without any subjectivity while keeping in view the
performance and the areas where the employee can further improve.

CHECK LISTS FOR APPRAISAL OF NGO’s SCHEMES

i) Whether NGO have a past record of minimum three years of undertaking integrated community development programmes for the targetted beneciaries.

ii) Whether rating of the NGO has been done by HUDCO and if so, the current rating of the NGO.

iii) Whether the spread over Hudco’s lending rate of interest is 2% or more, administrative and servicing charges are limited to 2.5% and security is as per Hudco guidelines or not.

CHECK LISTS FOR APPRAISAL OF HOUSING SCHEMES

ARCHITECTURAL & TOWN PLANNING CHECK LIST

i) Whether scheme conforms to approved Master Plan.

ii) Whether site is clear from encroachments or not.

iii) Whether land use is in order or not.

iv) Whether layout plan and building plans are in order or not.

ENGINEERING CHECK LIST

i) Whether plot area, plinth area and plinth area rates are within norms.

ii) Whether escalation of rates over the project period considered.

iii) Whether organisational set-up of Agency is adequate to implement the project.

FINANCIAL CHECK-LIST

i) Whether applicant authorised to raise the loan.

ii) Whether annual reports and audited accounts received for the last three years.

iii) Whether financial position/results of the Agency satisfactory.

iv) Whether rating of the Agency has been done by HUDCO and if so, the current rating of the Agency.

v) Whether there is proved demand for the houses/plots duly supported by registration fee.

vi) Whether repayment periods are in accordance with HUDCO’s policy.

CHECK LIST FOR LAND ACQUISITION SCHEMES

i) Whether agency competent under its constitution or the law governing it to raise the loan for the land acquisition.

ii) Whether resolution of the Executive/Management Board of the applicant agency authorising the proposed scheme and borrowing.

iii) If land has been acquired under Land Acquisition Act, whether necessary notification has been issued.

iv) Whether tentative development plan for the land proposed to be acquired furnished or not.

v) Whether site is technically fit for the proposed land use.

CHECKLIST FOR COOPERATIVE HOUSING SCHEMES

i) Whether the members constituting the primary cooperative society are of MIG and HIG or not.

ii) Whether the members of primary society are the employees of one corporate body; government employees, University teachers, CBO and NGO and the employer have undertaken the responsibility of deductions of repayments at source out of salary of employee.

iii) Whether land without encumbrances and encroachments and with a clear and marketable title is in possession of society.

iv) Whether conveyance deed or the lease deed of the land, duly registered, is in Society’s name.

v) Whether society has arranged for differential of loan from Hudco and the project cost.

vi) Whether loan application is supported by the authenticated estimates and building plans sanctioned by the local authority.

vii) Whether the documentary evidence in support of Society’s borrowing powers is available.

CHECK LIST FOR RURAL HOUSING SCHEMES

i) If scheme is for landless populace, whether State Government has agreed to make budgetary allocation each year for Hudco’s repayment.

ii) Whether Agency proposing the scheme is competent under its constitution to undertake such project.

iii) Whether the Agency proposing to undertake the scheme has been authorised by the State Government for the same.

iv) Whether the State Government guarantee for full amount of loan and interest thereon is available.

CHECK LIST FOR STAFF HOUSING SCHEMES ON RENT OR HIRE-PURCHASE

i) Whether Corporate Body proposing scheme is in possession of land with clear and marketable title, free from encroachments.

ii) Whether the borrower has already invested and/or made arrangements for loan differential between project cost and loan amount.

iii) Whether the schemes conforms to the statutorily backed Master Plan/Development Plan of the area, if any.

iv) Whether the habitat related infrastructure is available in vicinity or proposed for.

CHECK LIST FOR RETAIL HOUSING FINANCE SCHEME

i) The equated monthly instalment do not exceed 30 to 35% of gross monthly income.

ii) The salary certificate or salary slip submitted by the salaried applicant should must indicate all deductions _ statutory or otherwise and the salary slip his appropriate authentication.

iii) Copies of P and L Account and Balance Sheet for the last three years in respect of firm’s business/profession (in case of self-employed cases) certified by a Chartered Accountant is available.

iv) The security proposed to be furnished is of acceptable nature.

v) The “Guarantor” proposed to be taken are of acceptable nature.

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