1. PREVENTIVE VIGILANCE
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2. What is Vigilance
KEEPING A WATCH TO MAINTAIN THE INTEGRITY OF AN ORGANISATION,
ITS PROCEDURES AND ITS EMPLOYEES
OUR FOCUS
PREVENTION OF FRAUDS & LEAKAGE OF REVENUE
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3. Vigilance means Watchfulness
Why Vigilance
Vigilance means Watchfulness
Vigilance to be given a rightful place in the Management.
If the vigilance set up is effective, it will certainly ensure the functioning of the other segments
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4. Purpose is to prevent lapses from happening.
Why Vigilance…
`Vigilance’ is liked neither by an honest officer nor a dishonest officer, yet its absence will be harmful to the organization.
In the long run, it will be in the good health of the organization.
The purpose of vigilance is not to wait for lapses to be committed and then try to conduct post mortem.
Purpose is to prevent lapses from happening.
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5. Preventive Vigilance Punitive Vigilance Types of Vigilance
Helps us to avoid commission of offences by officials through proper surveillance.
Calls for constant review of rules, procedures and practices.
Helps management to get optimum results from the different activities.
Punitive Vigilance
Takes care of enforcing necessary punishment after the irregularity/fraud is detected.
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6. Components of Preventive Vigilance
Identification of areas where surveillance is necessary
Maintenance and preservation of records/data
Carrying out visits and inspections from Vigilance angle
Formation of vigilance squads and surprise visits
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7. Components of Preventive Vigilance…..
Analysis of visit/inspection reports and identify new areas requiring surveillance
Review of Rules and Procedures based on the above analysis
Implementing suggestions based on review
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8. List some of the Vigilance Activities
Preventive
Examination of procedures to remove loopholes
Regular and surprise inspections
Monitoring the activities of the employees through
returns
Detective
Investigation of complaints or any other information
regarding Irregularities
Punitive
Punishment to the guilty
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9. Vigilance Tools available
Surprise Visits – to Post Offices and Mail Offices
Annual Inspections – Questionnaire
Squad Visits – Divisional, Regional and Circle
Review at various levels and follow up
Review of Rules and Procedures based on DLIR/CLIRs
Complaints from customers
Verification of high value withdrawals and Money order
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10. Areas for Preventive Vigilance
Financing of post offices and RMS units
Savings Bank and Savings Certificates
Money orders
Mails
Inspections/visits
Buildings and their security
Computerized office
Miscellaneous
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11. Financing and Accounting
Realistic fixation of cash balance
Critical review of
Daily accounts
ECB
SPM’s Monthly Report
Review of BO abstract & MO paid statements
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12. Financing and Accounting…
Surprise verification of cash balances of SBPA, Treasurer, Stamp vender
Duplicate key of safe not to be kept in treasury
Examination of safe custody of insured articles and cash bags/account bags
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13. Financing and Accounting…
Safe custody of stamps and seals
Transfer of cash as per rules
Escorting cash conveyance
Avoid unnecessary cross remittance
Observance of limit of cash remittance
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14. Financing and Accounting…
SO account and SO daily account should be prepared by SPM personally
Whether transit items of remittance are being watched personally by SPM/PM
Special attention on security arrangement of cash chests and treasury
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15. Savings Bank/Savings Certificates
Adding of interest in PB
GDSBO’s should collect and send it to AO
Special Error book of PBs not received for entry of int
The list of PBs not received for entry of int by 30th June
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16. Savings Bank/Savings Certificates
Defaulted RD accounts
Notice to be sent to depositor of those a/cs where there is more than 3 defaults
List of RD accounts selected at random of to be sent to IPs for verification
Verification of withdrawals of Rs.10000/ and above in SB accounts at BO and Single-handed SOs.
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17. Savings Bank/Savings Certificates…
Cent per cent verification of accounts in one or two single handed offices under each HO
(SB accounts only)
Watch register to monitor the credits of PRSS
Register of undelivered pass books
Maintenance of index registers for SB-26, SB-28 and NC 4a receipt books
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18. Savings Bank/Savings Certificates…
SB/SBCO Objection Registers
Cases of minus balances
Un posted items in SB/RD
Stock register of blank pass books
Invoices of Pass books
Duplicate Pass books
Spoiled/defective pass books
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19. Savings Bank/Savings Certificates…
MPKBY RD schedules
Prescribed format should be used
Each schedule to be assigned serial number in format X/Y/L
X – Month
Y – Serial number
L – Last serial number
SBCO to check continuity
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20. Savings Bank/Savings Certificates…
Checking of NC-4(a) by inspecting officers
Checking of unsold certificates by Inspecting officers
Maintenance of NC 12(a) register
Checking of invoices
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21. Money Order Source of Money order should be only
Registered list/SO daily a/c/SO slip
e-Money Order
High value Money Order list properly filed
Verification of Money orders paid
IP – 25 per month (minimum)
MO – 50 per month (minimum)
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22. Mails Proper checking of articles posted for dispatch Letter Box
Bulk Mails
Franked articles
RNPs/Periodicals/Printed Books
Monitoring of mails received for delivery
Unpaid articles
Breach of condition in RNP/Periodicals/Printed Books
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23. Mails.. Register of unpaid articles received for delivery
Letter/Postman postage account
Checking of accountable articles received for delivery
Before issuing to Postmen
After receipt of returns
Remarks on returned articles
Verification of MOs paid
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24. Inspection/visit Should be surprise
Verification of pass books during inspection & visit
SB-46 notice to depositors
Checking of stock of pass books and certificates
Verification of money orders paid
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25. Security of building to be ensured
Night watchman
Police patrolling
Attached quarters
Lock and key – watching
Cash chest/Iron safe
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26. Computerized office Ensure accounting of entire counter collection
Supervisor to take shift report for entire day
Ensure total collection incorporated in PO account
Correction in shift report/cancelled shift report – viewed suspiciously
Ensure that postage paid in cash is not booked under prepaid option
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27. Computerized office… Ensure correct tariff is configured in POS
Ensure none of system is working in stand-alone mode
Ensure password security
Ensure daily back up is being taken and kept in the custody of Supervisor
Power supply/back up – to avoid loss of data
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28. Preventive vigilance- Misc.
Adequacy of security bonds
Treasurer
C – class SPM
Gramina Dak Sevak
Critical review of Inspection Reports and Visit Reports
Avoiding unauthorized persons in PO premises
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29. Preventive vigilance- Misc….
Observance of tenure of officials dealing with cash
Vulnerable POs be identified and their periodical surprise visit
Single hand SPMs should not be posted on rotation from one single hand office to another.
Postmaster or treasurer not availing leave.
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30. Exercise
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31. Thank you
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